[Federal Register Volume 60, Number 186 (Tuesday, September 26, 1995)]
[Proposed Rules]
[Pages 49532-49533]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-23818]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Part 1228
RIN 3095-AA65
Disposition of Federal Records
AGENCY: National Archives and Records Administration.
ACTION: Proposed rule.
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SUMMARY: NARA proposes to amend its regulations to require
reimbursement for all records maintained in Federal records centers
that have exceeded the authorized disposal date. In connection with
this requirement, NARA will stipulate that agencies should not request
a change in the retention period specified in a records schedule for
records that must be kept beyond their normal retention period for
audit, investigation, litigation, or any other administrative purpose.
NARA is taking this action because the Federal records centers have a
serious shortage of storage space and can no longer absorb the cost of
storing records beyond their scheduled disposal date.
DATES: Comments must be received by November 27, 1995.
ADDRESSES: Comments should be sent to Director, Policy and Planning
Division (PIRM-POL), National Archives and Records Administration 8601
Adelphi Road, College Park, MD 20740-6001.
FOR FURTHER INFORMATION CONTACT: Mary Ann Hadyka or Nancy Allard at
301-713-6730.
SUPPLEMENTARY INFORMATION:
Background
The Federal Records Act (FRA) confers broad authority on NARA to
formulate and implement records management policy for the Federal
government. This includes establishing Federal records centers (44
U.S.C. 2907), providing guidance and promulgating standards to ensure
adequate documentation of the policies and transactions of the Federal
government, ensuring proper records disposition (44 U.S.C. 2904), and
implementing procedures for the disposition, disposal, and reproduction
of records (44 U.S.C. 3302).
The Federal Records Act does not specifically instruct NARA
regarding what records it must store at Federal Records Centers (FRCs)
or the length of time for which it must store them. See 44 U.S.C. 2907.
For that reason, NARA may determine the scope of service provided at
FRCs, so long as NARA acts in a manner that it determines will best
serve the public, effectuate sound records management, and implement
the policy goals contained in the FRA. See B-211953, slip op. at 5
(Dec. 7, 1984) (Comp. Gen.).
In the Comptroller General decision just cited, the General
Accounting Office (GAO) held that the General Services Administration
(GSA), then NARA's parent agency, could be reimbursed under the Economy
Act for storing and serving current records at FRCs because the
function fell outside the range of services that GSA had determined it
was required to provide under the FRA and because GSA did not receive
appropriations for the service.
The GAO decision recognized that NARA possesses the authority to
``promulgate reasonable standards and guidelines for determining when
records may be transferred from agency office space to Federal records
centers (FRCs), so long as these guidelines are consistent with the
statutory goals of promoting economy and efficiency in records
management.'' B-211953, slip op. at 5. Further, GAO noted that it is
NARA ``which must determine the basis on which it will allocate limited
space and resources among client agencies.
NARA historically has interpreted its authority to operate FRCs as
permitting the storage and servicing of temporary records that are
retained beyond their scheduled disposition dates for administrative,
fiscal, legal, or other reasons, although it never sought
appropriations for that purpose. Now, NARA has determined, based on the
need to reallocate limited space and resources, that sound records
management practice requires that it no longer interpret its
responsibilities to include these functions. Therefore, unless Congress
specifically appropriates money in the future for the storage and
service of temporary records retained beyond their scheduled
disposition dates for administrative, fiscal, legal, or other reasons,
NARA will, under the Economy Act, provide such service on a
reimbursable basis only, so long as doing so does not interfere with
the agency's remaining responsibilities to operate FRCs.
Problem
Since the establishment of the records center system in 1950, there
has been a continuous growth in records holdings. Records center
holdings, in fact, have increased from 45,000 cubic feet in 1950 to
18,860,981 cubic feet as of April 1995. We expect the growth to
accelerate with the closure of military bases and installations as a
result of the Defense Base Closure and Realignment Act of 1990 (Pub. L.
101-510) and general Government-wide downsizing.
Currently, there are 13 Federal records centers and two National
records centers. The availability of open space, however, continues to
pose a critical challenge. Even with the addition of the Pittsfield
FRC, the records center system reached 95 percent of its capacity by
the end of FY 1994. It is only through the ongoing major redistribution
of records to the Pittsfield FRC and the new FRC in Philadelphia that
the records center system has been able to cope with records storage
demands.
The presence in records centers of temporary records that have
exceeded their scheduled disposition dates has significantly
contributed to the reduced storage capacity to meet records storage
demands. Indeed, records centers holdings of these retained records
have increased by over one million cubic feet in the past five years.
In May 1990, the volume of these records was over two million cubic
feet, about 12.5 percent of the total holdings for records centers.
About 3.2 percent (531,374 cubic feet) of those records were otherwise
eligible for disposal, but had to be retained. As of April 1995,
records center holdings of these records had increased to 3,247,506
cubic feet and approximately 38.8
[[Page 49533]]
percent (1,259,416 cubic feet) had exceeded their authorized disposal
date.
With the continuing growth of these records, and the acceptance of
new temporary records, including those from military base and
installation closures and other downsizing Government agencies, the
records center system can no longer absorb the cost of storing and
servicing records that have exceeded their authorized disposal date.
Moreover, agencies have no incentive under the present system to avoid
either retaining these records indefinitely or retaining a broader
category or greater number of records than is strictly necessary.
Proposed NARA Action
To alleviate this problem and to enable NARA to continue to offer
quality storage and service for temporary records that have not yet
reached their disposal date, NARA proposes to amend 36 CFR 1228.54(g)
to require reimbursement for records maintained in Federal records
centers that have exceeded their authorized disposal date. NARA also
proposes to amend 36 CFR 1228.32, which provides procedures for
changing retention periods of series of records, to state that agencies
should not request to change the scheduled retention period for records
needed beyond their normal retention periods for temporary
administrative purposes.
Agencies who do not wish to negotiate an agreement for
reimbursement will be required to arrange and pay for the return of the
records to the agency. Upon publication of this proposed rule, NARA
will notify all agencies that currently have temporary records
otherwise eligible for immediate disposal in Federal records center
space.
We intend that the fee for the storage and service of temporary
records retained beyond their scheduled disposal date will become
effective on January 1, 1996. For the period from January 1 through
September 30, 1996, the fee will be approximately $1.60 per cubic foot.
The fee may be adjusted in subsequent fiscal years based on increases
in rent and other overhead costs.
This rule is a significant regulatory action under E.O. 12866 of
September 30, 1993 and has been reviewed by OMB. As required by the
Regulatory Flexibility Act, it is hereby certified that this rule will
not have a significant impact on small entities.
List of Subjects in 36 CFR Part 1228
Archives and records.
For the reasons set forth in the preamble, NARA proposes to amend
36 CFR part 1228 as follows:
PART 1228--DISPOSITION OF FEDERAL RECORDS
1. The authority citation for part 1228 continues to read as
follows:
Authority: 44 U.S.C. chapters 21, 29, and 31.
2. Section 1228.32 is revised to read as follows:
Sec. 1228.32 Request to change disposition authority.
(a) Agencies desiring to change the approved retention period of a
series or system of records shall submit an SF 115. Disposition
authorities contained in approved SFs 115 are automatically superseded
by approval of a later SF 115 applicable to the same records unless the
later SF 115 specified an effective date. Agencies submitting revised
schedules shall indicate on the SF 115 the relevant schedule and item
numbers to be superseded, the citation to the current printed records
disposition schedule, if any, and/or the General Records Schedules and
item numbers that cover the records.
(b) Agencies proposing to change the retention period of a series
or system of records shall submit with the SF 115 an explanation and
justification for the change. The need to retain records longer than
the retention period specified in the disposition instructions on an
approved SF 115 for purposes of audit, investigation, litigation, or
any other administrative purpose that justifies the temporary extension
of the retention period shall be governed by the procedures set forth
in Sec. 1228.54. Agencies shall not submit an SF 115 to change the
retention period in such cases.
3. Section 1228.54(g) is revised to read as follows:
Sec. 1228.54 Temporary extension of retention periods.
* * * * *
(g) Except when NARA agrees to continue to store and service
records on a reimbursable basis, agencies shall remove from Federal
records centers at the agency's expense records that, because of court
order, investigation, audit, study, or any other administrative reason
the agency wishes to retain longer than the scheduled retention period
for the records. The removal of records must be accomplished within 60
days of the date of the notification from the Federal records center
that the retention period has expired. Agencies that wish to establish
an agreement or inquire about their records should write to NARA,
Office of Federal Records Centers (NC), 8601 Adelphi Road, College
Park, MD 20740-6001.
Dated: September 5, 1995.
John W. Carlin,
Archivist of the United States.
[FR Doc. 95-23818 Filed 9-25-95; 8:45 am]
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