[Federal Register Volume 59, Number 106 (Friday, June 3, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-13517]
[[Page Unknown]]
[Federal Register: June 3, 1994]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Part 1220
RIN 3095-AA48
Agency Program Evaluations
AGENCY: National Archives and Records Administration (NARA).
ACTION: Final rule.
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SUMMARY: This rule more fully describes agency and NARA
responsibilities as part of the records management evaluations of
Federal agencies that NARA conducts on a regular basis. It discusses
the authority, purpose, and scope of these evaluations and describes
specific agency requirements related to the evaluation notification,
the evaluation process, transmittal of the report, and preparation of
action plans and regular progress reports.
EFFECTIVE DATE: July 5, 1994.
FOR FURTHER INFORMATION CONTACT: Mary Ann Hadyka or Nancy Allard at
301-713-6730 (FTS 301-713-6730) or TDD 301-713-6760.
SUPPLEMENTARY INFORMATION: NARA published a notice of proposed
rulemaking on December 10, 1993 (58 FR 64915) for a 30-day comment
period. Subsequently, in a notice published on February 16, 1994 (59 FR
8150), NARA reopened the comment period for an additional 30-day period
and announced a public meeting for agency records officers on February
28, 1994. Twenty-three written comments were received. Approximately 50
records officers attended the meeting held at the National Archives at
College Park to discuss the proposed regulations. All comments received
careful consideration in the development of the final rule. Following
is a section-by-section discussion of the major issues raised in the
public meeting and written comments.
Section by Section Analysis
Section 1220.14 General Definitions
One agency proposed changing the definition of evaluation to that
included in NARA's A Records Management Glossary. NARA agrees and has
changed the definition. In addition, language reflecting the followup
aspect of an evaluation has been added.
One agency suggested that the use of ``adequate and proper
documentation'' for consistency with current NARA regulations and
published guides. This change has been made.
Section 1220.42 Agency Internal Evaluations
This requirement generated numerous comments and discussion. All
comments noted that the proposed biennial evaluation of an agency's
records management program would place an unnecessary burden on
agencies that already have limited resources for records management.
One agency pointed out that the Paperwork Reduction Act requires
triennial reviews of information management programs. Other agencies
commented that this proposed rule seems inconsistent with the intent of
the current mandates to reinvent government and streamline government
operations.
Because of the burden a biennial reporting requirement would impose
on agencies this proposed requirement has been dropped. The requirement
that an agency ``should periodically evaluate its records management
programs * * *'' that was contained in the superseded regulation at
Sec. 1220.54 is retained in this regulation. NARA is developing
additional guidance to aid agencies in performing self-evaluations of
their records management programs.
Section 1220.50 Authority
One agency suggested that NARA should be required to estimate costs
incurred by implementation of NARA evaluation report recommendations
which an agency agrees to implement and that reports to Congress, OMB,
or other oversight agency, should include an agency's success stories.
To the extent that NARA can identify and obtain cost information,
it will be included in any reports to Congress. NARA's policy is to
always include agency success stories in final evaluation reports,
whether or not the reports are to be submitted to Congress.
Section 1220.52 Purpose and Scope
Three agencies suggested clarifications. Two agencies commented
that NARA does not quantify the efficacy of Federal agencies efforts to
make and preserve complete and accurate records but rather that NARA
reviews records management programs. NARA has modified this section to
indicate that evaluations assess records management programs. This more
accurately describes the evaluation process as a cooperative effort.
One agency noted the misuse of ``inter-agency'' in describing a
single agency evaluation focusing on all aspects of records management
at all administrative levels. The phrase ``inter-agency'' has been
changed to ``one agency.''
Section 1220.54 NARA Evaluation Process
Selection Process
Several agencies suggested changes in the selection criteria used
by NARA. Suggested alternatives included conducting an evaluation only
upon request; setting an evaluation cycle; and identifying agencies
that have significantly changed patterns of use of Federal records
centers. Attendees at the records officer meeting and the majority of
written comments agreed with the criteria proposed in the notice of
proposed rulemaking. This section has not been changed in the final
rule.
Two agencies questioned the meaning of ``perceived need'' and
``compliance monitoring cycle.'' Perceived need means NARA's knowledge
of agency operations as they apply to the records management program.
This includes retirement patterns of records to FRCs, the transfer of
permanent records to NARA, and scheduling activities by the agency. The
compliance monitoring cycle, to be developed by NARA, is a method of
tracking the cyclical review of agencies.
Method of Notification
Two agencies suggested that the NARA letter of notification should
specify the scope of the evaluation to enable agencies to make adequate
preparations. Another agency stated that the agency head or his/her
designee will determine who will carry out responsibilities stipulated
in the regulations. Another agency suggested that the regulations
regarding agency response exceeds NARA's authority to direct the
internal operation of the agency concerning the individuals to be
notified of the evaluation.
NARA agrees and made appropriate changes.
Provision of Information Prior to an Evaluation
Two agencies noted that NARA has all approved agency schedules; two
agencies found the requirement to provide all issuances relating to
records management to be onerous; one agency objected to providing a
list of agency information systems not currently covered by schedules;
one agency noted that contractors will have serious reservations about
making records with proprietary and trade information available to
NARA; and one agency objected to the tone of this section.
Becoming familiar with an agency's records management program,
including the program's internal requirements, is an important
preliminary step for NARA prior to beginning an evaluation. However,
NARA agrees that most relevant information is available in a limited
number of agency issuances and NARA does have copies of all approved
agency schedules. Section 1220.54(b)(4) has been changed to reflect
this.
The maintenance of a list of agency information systems is required
by OMB Circular A-130, section 9a(5), so providing this information to
NARA should not impose an additional burden. NARA will use this list to
determine which systems have not been scheduled.
36 CFR 1222.48(e) states that ``All data created for Government use
and delivered to, or falling under, the legal control of, the
Government are Federal records and shall be managed in accordance with
records management legislation * * *'' Records created by contractors
for the agency are Federal records and as such are included in NARA's
evaluation authority. NARA staff are trained to handle agency records
containing sensitive information appropriately.
Section 1220.56 Evaluation Report
Report Distribution
The distribution requirements of the final report generated
comments and discussion. Some agency representatives think that
distribution should be limited to individuals and offices affected by
findings and recommendations, while others thought the reports should
be widely distributed. One agency suggested that the final report
should be sent to the Agency Records Officer with a copy to the agency
head.
While NARA thinks that a wide distribution of the report within an
agency will help to highlight the importance of proper records
management, it is appropriate that the agency determine the internal
distribution of a report. The final report is issued under the
signature of the Archivist of the United States and should be
transmitted to his or her equivalent at the agency. Additionally,
sending the report to the agency head will ensure that he or she is
aware of the evaluation and this action may heighten awareness of the
agency records management program at the highest level of agency
management.
NARA agrees that the agency should determine the distribution of
the final report within the agency. The language of the regulation has
been changed to read ``Distribute the final report to all concerned and
appropriate persons and offices.''
Reporting Deadlines and Draft Report
Agencies commented that, while the regulations specify reporting
deadlines for agencies to respond to an evaluation, there is no time
limit for NARA to finalize the report. One agency suggested that this
section indicate that the 120-day period NARA has to provide a draft
report to the agency begins following the last site visit or final exit
briefing.
NARA agrees and changed the regulation to add that NARA will
produce the draft report within 120 days following the last site visit
or final exit briefing and that the final report will be sent to the
head of the agency within 30 days after receiving agency comments on
the draft report.
One agency suggested that agencies should be allowed to comment on
the recommendations when commenting on the factual contents of the
report. This is standard practice when reviewing an audit or evaluation
report. If an agency chooses to comment on the recommendations at this
stage, the comments will allow NARA to identify potential problems that
may develop during the followup actions. Furthermore, such comments may
clarify an agency's internal operations for NARA and allow the
development of a more appropriate recommendation. The regulation has
been changed accordingly.
Two agencies suggested that the provision in the current
Sec. 1220.52(b)(1) giving agencies the right to provide rationale in
the action plan for not implementing a recommendation be included in
the revised regulations. NARA agrees that an agency should have the
right to provide rationale for not implementing a recommendation if it
is unable to do so. Section 1220.58(a)(1)(ii) has been amended
accordingly.
Section 1220.58 Agency Action Plans and Progress Reports
One agency requested a 120 day period after receiving the final
report submitting an action plan to NARA, stating that this extension
is important for agencies that are deficient in many areas. NARA thinks
that 90 days is an adequate period for most agency to prepare an action
plan. However, the regulation has been changed to allow for agencies to
request an extension.
One agency commented extensively on NARA's proposed requirement
that agencies provide individual action plans for evaluated field
sites. They noted that such reports are an unauthorized interagency
reporting requirement; there is no indication that NARA would analyze
field action plans and provide feedback to the agency about them; and
without periodic status reports, there is no value to the action plans.
The value of including individual site summaries in the final
report has been proven in previous evaluations. NARA intends to
continue this practice. In order to track followup actions at these
individual sites, it may be necessary to request individual action
plans. If this is the case, NARA will analyze them and provide
feedback. The language of the regulation has been changed to reflect
this intention.
One agency suggested that estimating the month and year for
starting and completing each action is unrealistic: proposed quarters
and years would be better. NARA agrees and has changed the regulation
accordingly.
In response to a suggestion from one agency, NARA added criteria
for closing recommendations to this section of the regulation.
One agency suggested that the action plan be submitted by the
agency head or Designated Senior Official for Information Resources
Management rather than ``senior management official responsible for
records and information management.'' We have made this change.
One agency noted that the requirement to provide the name of
officials or offices specifically responsible for initiating and
completing each proposed action is extensive. NARA agrees that it is
appropriate for the agency to determine who will track individual
recommendations. The regulation has been changed to require the agency
head to designate an individual who will serve as NARA's contact for
evaluation followup.
Section 1220.60 Followup Notification and Reviews
One agency suggested that reporting to Congress and/or appropriate
Federal oversight agencies of evaluation findings and agency response
be mandatory. Other agencies commented that reporting to Congress would
be a valuable tool to use to highlight the importance of records
management in agencies. The majority opinion is that NARA should send
every evaluation report to Congress or the appropriate Federal
oversight agency.
One agency said that NARA should be required to provide agencies
with the factors by which NARA determines that an agency is not
progressing in a satisfactory manner and that the agency head should be
notified before NARA reports to Congress.
If NARA determines that there has been insufficient progress in
fully implementing recommendations or that the agency has not corrected
problems identified by NARA, then NARA will notify the head of the
agency. After the head of the agency has been notified, NARA may also
notify the appropriate oversight agencies or appropriate Congressional
committees. Section 1220.60 has been changed accordingly.
Other Comments
In the preamble to the proposed rule, NARA asked for specific
comments on NARA's selection criteria and criteria for performance
measurement. Comments received on selection criteria are discussed
under the heading ``SELECTION PROCESS'' above. Several agencies * * *
commented on criteria for performance measurement. One agency suggested
that ``one approach would be to establish a baseline for specific
functions/responsibilities via a status survey and to monitor
improvement progress for those functions.'' Another agency suggested
that a performance measurement could be ``how well agencies * * * carry
out recommendations without follow-up notification and reviews.''
Another idea is ``whether violations of applicable laws or regulation *
* * has been corrected timely.'' Other commentators suggested that NARA
conduct a government-wide survey of all Federal agencies' records
management programs. Such a survey would provide an initial starting
point for identifying problems or regulations that are difficult to
implement and enforce.
NARA plans to develop performance measurements that will help
determine how effectively agencies are implementing evaluation
recommendations. NARA also plans to develop measures to assess the
success of its evaluation program in terms of programmatic improvements
or improved work products.
Three agencies offered general comments on the evaluation process.
One agency would like to see NARA conduct studies of more agencies in
shorter time frames and then share the findings government-wide. This
would be ``more beneficial to the government and an improved use of
limited NARA resources.'' One agency thinks the time frame (13 months)
to conduct an evaluation is too excessive.
NARA will continue to conduct full evaluations of agency records
management programs. Additionally, in FY95 NARA will begin conducting
additional shorter and more focused evaluations.
Another agency suggested that, while NARA evaluations are similar
to GSA IRM reviews, they are conducted very differently. GSA, for
example, takes steps to prepare agencies for reviews by using standard
scoping questionnaires and with self assessment tools that are linked
to their evaluation process. GSA issues its cyclical review schedule
each year so agencies know well in advance when they can expect to be
reviewed and can prepare for it. Since NARA only notifies an agency 60
days before an evaluation, this can result in agencies being more
surprised than prepared and the evaluation can become a negative rather
than a positive experience.
We agree that earlier notification would assist agencies being
evaluated, and have modified Sec. 1220.54 (a) to provide the notice of
a planned evaluation at least 180 days in advance. NARA also intends to
work with the appropriate office in GSA to determine how best to
coordinate the evaluation processes of both agencies.
This rule is not a significant regulatory action for the purposes
of Executive Order 12866 and has not been reviewed by OMB. As required
by the Regulatory Flexibility Act, it is hereby certified that this
proposed rule will not have a significant impact on small business
entities.
List of Subjects in 36 CFR Part 1220
Archives and records.
For the reasons set forth in the preamble, part 1220 of the title
36 Code of Federal Regulations is amended as follows:
PART 1220--FEDERAL RECORDS; GENERAL
1. The authority citation for part 1220 continues to read as
follows:
Authority: 44 U.S.C. 2104(a) and chs. 29 and 33.
2. In Sec. 1220.14, the term Evaluation is added in alphabetical
order to read:
Sec. 1220.14 General definitions.
* * * * *
Evaluation means the selective or comprehensive inspection, audit,
or review of one or more Federal agency records management programs for
effectiveness and for compliance with applicable laws and regulations.
It includes recommendations for correcting or improving records
management policies, procedures, and activities, and follow-up
activities, including reporting on such activities, for implementing
the recommendations.
* * * * *
3. Section 1220.42 is added to subpart B to read as follows:
Sec. 1220.42 Agency internal evaluations.
Each agency should periodically evaluate its records management
programs relating to adequate and proper documentation, maintenance and
use of records, and records disposition. These evaluations should
determine compliance with NARA regulations in Subchapter B and assess
the effectiveness of the agency's programs. Criteria for agency self-
evaluations are available from NARA's Office of Records Administration,
Agency Services Division (NIA).
4. Subpart C is revised to read as follows:
Subpart C--NARA Evaluation Program
Sec.
1220.50 Authority.
1220.52 Purpose and scope.
1220.54 Evaluation process.
1220.56 Evaluation report.
1220.58 Agency action plans and progress reports.
1220.60 Followup notification and reviews.
Subpart C--NARA Evaluation Program
Sec. 1220.50 Authority.
44 U.S.C. chapter 29 vests in the Archivist of the United States
the responsibility for providing guidance and assistance to Federal
agencies with respect to ensuring adequate and proper documentation and
proper records disposition. Sections 2904 and 2906 specifically
authorize the Archivist to conduct inspections or surveys of records
and records management programs and practices within and between
Federal agencies and require officers and employees of agencies to
cooperate fully in such inspections. Section 2904 also authorizes the
Archivist to report to the appropriate oversight and appropriations
committees of the Congress and the Director of OMB on the results of
inspections, the responses by agencies to NARA evaluation
recommendations, and estimates of the costs to the Federal government
resulting from the failure to implement such recommendations.
Sec. 1220.52 Purpose and scope.
(a) NARA evaluations assess how effectively Federal agencies make
and preserve complete and accurate records of their organization,
functions, policies, decisions, procedures, and essential transactions;
and maintain an active, continuing records management program including
proper records disposition. Agencies shall be evaluated for compliance
with requirements in 44 U.S.C. chapters 31 and 33 and all the
regulations issued thereunder in 36 CFR subchapter B.
(b) NARA evaluations may include comprehensive reviews of agency
records management programs, or selective reviews focused on adequate
and proper documentation, on records disposition, on the management of
specific types of record media or on the management of records in
particular program areas. NARA evaluations may be of one agency or may
be multi-agency. These evaluations may be conducted solely within
headquarters offices, only at field locations, or at a combination of
field sites and headquarters.
(c) Evaluations will involve site visits by NARA; submission by
NARA to the agency of a written report containing findings, analyses,
and recommendations; and submission to NARA by the agency of an action
plan for implementing the recommendations followed by regular progress
reports. Interagency report control number 0153-NARA-AR has been
assigned to the action plan and progress reports in accordance with 41
CFR subpart 201-45.6.
Sec. 1220.54 Evaluation process.
(a) NARA shall select Federal agencies to be evaluated on the basis
of perceived need by NARA or specific request by the agency, or on the
basis of a compliance monitoring cycle developed by NARA. NARA will
determine the scope of the evaluation. An agency may request an
evaluation of its records management program by contacting the
Assistant Archivist for Records Administration; however, the final
determination of agencies to be evaluated will be made by NARA. The
heads of agencies will be notified in writing by the Archivist of the
United States of the intent to conduct an evaluation and the scope of
the evaluation at least 180 calendar days prior to initiating the
evaluation.
(b) Once NARA has notified the agency, the agency head will, by the
date specified in the Archivist's letter:
(1) Acknowledge in writing NARA's intention to evaluate, and
provide the Archivist with the name and telephone number of the senior
official with overall responsibility for records management and of a
headquarters official who will work with NARA to facilitate the
evaluation process;
(2) Provide written notification of the evaluation to all
appropriate offices and employees and contractors potentially involved;
this notification will include instructions to cooperate with NARA by
setting up interviews, providing requested information, and making
records available for inspection;
(3) Provide NARA with a copy of the written notification in
paragraph (b)(2) of this section and with a list of names and telephone
numbers of officials responsible for records management in field sites,
if applicable, who will work with NARA during the evaluation;
(4) For comprehensive evaluations, provide NARA with a set of
internal records management directives, orders, bulletins, or similar
authoritative issuances; copies of the two most recent internal records
management evaluations; and any special records-related reports.
Included may be: issuances relating to adequate and proper
documentation and recordkeeping requirements; personal papers;
management and disposition of textual, electronic, audiovisual,
cartographic and architectural, micrographic, and vital records;
disaster mitigation and recovery; and any other records-related
documentation requested by NARA. A subset of this documentation will be
requested for more limited evaluations;
(5) Provide NARA with a current version of the agency manual(s)
covering records creation, maintenance, storage, and disposition, and a
list of information systems maintained as required by OMB Circular A-
130, section 9a(5), and a list of offices and/or functions and
activities not currently covered by schedules;
(6) Arrange for appropriate management and program officials in
headquarters and, if applicable, at field sites to be briefed by NARA
at the beginning and at the end of the evaluation process; and
(7) Take immediate corrective action regarding any serious problems
that NARA may bring to the agency's attention during the course of the
evaluation process such as the unauthorized destruction of records or
the unauthorized donation or other transfer of records to non-NARA
facilities.
Sec. 1220.56 Evaluation report.
(a) NARA will submit a draft evaluation report for factual review
and comment to the agency within 120 calendar days of the last
evaluation site visit or exit briefing. After receipt of agency
comments, NARA will finalize the report, incorporating any changes
resulting from factual errors identified by the agency. The final
report will be transmitted by the Archivist to the head of the agency
within 30 calendar days of receiving comments from the agency.
(b) The head of the agency will:
(1) Comment within 60 calendar days, in writing, on the contents of
the draft report. If necessary, agencies can request extensions. No
response from the agency within the allotted time will indicate that
the agency concurs in the factual accuracy of the draft report.
(2) Review the final report and assign implementation
responsibility; and
(3) Distribute the final report to all concerned and appropriate
persons and offices.
Sec. 1220.58 Agency action plans and progress reports.
(a) Action plans. (1) The action plan will be submitted to NARA
within 90 calendar days after the date of transmittal of the final
report. If necessary, agencies can request extensions. The plan shall
be submitted by the agency head or the designated senior official for
information resources management. The action plan will include:
(i) The name of the senior official and the office responsible for
coordinating implementation agency-wide;
(ii) The specific action(s) the agency will take to implement each
evaluation report recommendation. If an agency is unable to implement a
recommendation, the rationale for not acting shall be documented in the
action plan;
(iii) The name of the official and office or program responsible
for the overall coordination of the agency's followup actions who will
be the liaison with NARA;
(iv) The estimated time needed to complete each action and the
proposed quarter and year for starting and completing each action;
(v) Major milestones with dates for tracking the completion of
implementation actions that are expected to extend longer than 3 years
past the date of the action plan; and,
(vi) If requested by NARA, separate action plans for each field
site visited, incorporating the information required by paragraphs
(a)(1)(i) through (a)(1)(v) of this section.
(2) NARA will analyze the action plan(s) submitted by the agency
for adequacy and effectiveness in implementing the recommendations
contained in the evaluation report. NARA will provide comments to the
agency on the plan(s) within 60 calendar days.
(3) The agency will revise the action plan until it is approved by
NARA.
(b) Progress reports. (1) Once the action plan(s) has been approved
by NARA, the head of the agency will submit progress reports to NARA
every 6 months. The reports will include:
(i) A description of what has been accomplished on each action
since the last report;
(ii) The current status of the action;
(iii) Any changes in the offices or programs responsible for over-
all or specific action implementation; and,
(iv) If appropriate, explanation of any delays in implementation
and revised target dates and milestones for completion of the action.
(2) The agency will continue to submit these progress reports until
NARA and the agency agree all actions have been completed, NARA and the
agency agree that the agency has implemented the recommendation(s) to
the fullest extent possible, or NARA indicates in writing that regular
progress reports are no longer required.
(3) NARA will review and comment on agency progress reports, and
work closely with the agency to provide assistance in evaluation
implementation.
Sec. 1220.60 Follow-up notification and reviews.
(a) If NARA determines that there is not substantial progress in
the full implementation of evaluation recommendations or that the
agency has not corrected serious problems identified in the report, the
Archivist, after notifying the head of the agency, may notify Congress
and appropriate Federal oversight agencies of the evaluation findings
and the agency response.
(b) NARA may initiate follow-up reviews at specific offices or
field sites. Results of these follow-up reviews shall be communicated
to the head of the agency and, if NARA determines it to be appropriate,
to Congress and Federal oversight agencies.
Dated: May 25, 1994.
Trudy Huskamp Peterson,
Acting Archivist of the United States.
[FR Doc. 94-13517 Filed 6-2-94; 8:45 am]
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