[Federal Register Volume 64, Number 83 (Friday, April 30, 1999)]
[Proposed Rules]
[Pages 23510-23516]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-10704]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Parts 1220, 1222, and 1228
RIN 3095-AA86
Storage of Federal Records
AGENCY: National Archives and Records Administration.
ACTION: Proposed rule.
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SUMMARY: NARA proposes to amend its records management regulations
governing records creation, maintenance, and disposition to update
provisions relating to the storage of Federal records. Current
regulations focus on the use of NARA records centers for off-site
storage and provide procedures for securing NARA approval of agency
records centers. However, in addition to records centers operated by
NARA and other Federal agencies, some agencies now use commercial
records storage facilities for the storage of their records. Among the
proposed changes is a new requirement that agencies maintain the same
level of intellectual control over records stored in their own records
centers and commercial records storage facilities, as is required for
records stored in NARA records centers. As part of this requirement,
agencies must report to NARA when permanent or unscheduled records are
sent for storage to an agency records center or
[[Page 23511]]
commercial storage facility. The revised regulations specify that
agencies must store Federal records in space with appropriate
environmental controls to ensure their preservation until the
expiration of their retention period (for temporary records) or until
the date of transfer to the National Archives of the United States (for
permanent records). In a separate related proposed rule published
elsewhere in this separate part of the Federal Register, NARA is also
proposing to update facilities standards for records storage
facilities.
DATES: Comments must be received by June 29, 1999.
ADDRESSES: Comments should be sent to Regulation Comment Desk (NPOL),
Room 4100, National Archives and Records Administration, 8601 Adelphi
Road, College Park, MD 20740-6001. Comments may also be faxed to 301-
713-7270.
FOR FURTHER INFORMATION CONTACT: Nancy Allard at 301-713-7360.
SUPPLEMENTARY INFORMATION: The Federal Records Act assigns
responsibility to NARA to provide guidance and assistance to Federal
agencies regarding records creation, maintenance, and disposition, and
to develop and issue standards, procedures, and guidelines for the
proper management of Federal records (44 U.S.C. 2904). The law further
charges NARA with responsibility for establishing standards for the
identification of permanent records and assisting agencies in applying
those standards (44 U.S.C. 2905). The law authorizes NARA to operate
records centers (44 U.S.C. 2907) and requires NARA approval for records
centers maintained and operated by Federal agencies (44 U.S.C. 3103).
Finally, the law requires NARA approval for the disposal of records (44
U.S.C. 3303a).
Many agencies use the records centers operated by NARA for records
storage. Some agencies operate their own records centers. In addition,
some agencies may use commercial records storage facilities. NARA's
oversight encompasses the protection and preservation of Federal
records for as long as they are needed, wherever they are stored, in
keeping with its statutory responsibility for records management
oversight and for the identification and preservation of permanent
records.
Over the past three months NARA has reviewed all of its records
management regulations to identify provisions that related to records
storage and is updating them here to reflect what agencies must do to
manage their records wherever they are stored. These changes include:
New definitions for ``records storage facility'' and
``commercial records storage facility.''
Clarified definitions for ``disposition,'' ``permanent
record,'' and ``records center.''
A requirement that agencies maintain adequate records
management controls over their records, wherever they are maintained.
This requirement is implicit in current regulations. It is made
explicit now because more agencies than in the past are operating large
records centers, and other agencies are placing their records in
commercial facilities for storage.
A requirement that agencies report to NARA on permanent
and unscheduled records transferred to storage. For records transferred
to NARA records centers, the transfer documentation serves as the
report. For records transferred to other records storage facilities,
the agency must submit its report within 30 days of transferring the
records.
A requirement that agencies ensure that temporary records
are destroyed according to schedule provisions and permanent records
are transferred to NARA in accordance with schedule provisions,
wherever the records may be at the time of final disposition. NARA
takes responsibility for the proper disposition of records in NARA
records centers under the provisions of records schedules, including
initiating SF 258's for permanent records when they are eligible to be
transferred to NARA's legal custody in the National Archives of the
United States. Agencies need to ensure that records disposition is
properly implemented for records that are not in NARA records centers.
A requirement that agencies store records only in
facilities that meet the standards specified in 36 CFR 1228 subpart K,
as proposed for revision in a separate proposed rule published
elsewhere in this separate part of the Federal Register. This
requirement was implicit in the current subpart K and is emphasized
here.
A requirement that agencies obtain NARA approval to change
the period of time permanent records will remain in the custody of the
agency before transfer to the National Archives of the United States.
Authorization for agencies to retain records for up to one
year beyond their scheduled retention period if needed for
administrative purposes such as audit or investigation without
requesting formal approval from NARA. Currently, agencies must obtain
approval from NARA for any temporary extension, but this approval has
been handled informally when records are stored at NARA records
centers.
A requirement that permanent records be transferred to the
National Archives of the United States as individual series spanning
one or more years. This requirement will ensure that permanent records
stored in facilities that control records at the box level will be
transferred to the National Archives of the United States in series
order.
Modification of some restrictions on storing unscheduled,
contingent, and ``frozen'' records at NARA records centers.
NARA also is proposing other minor clarifications to existing
regulations. These changes are not substantive. In addition, NARA
proposes to remove some of the detailed instructions for storing and
accessing records in NARA records centers. These instructions will be
addressed in NARA bulletins and other guidance issuances.
This proposed rule would completely revise subpart I of Part 1228,
add a new subpart J to Part 1228, redesignate the current subpart J as
subpart L, and revise individual sections or paragraphs of other
records management regulations in 36 CFR Chapter XII, Subchapter B. We
have written subparts I and J in the plain language format required by
the Presidential memorandum of June 1, 1998, Plain Language in
Government Writing. We intend to rewrite the other records management
regulations included in this proposed rule in plain language format in
a future rulemaking. At this time, we have determined that piecemeal
reformatting of individual sections or paragraphs is not appropriate.
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 Parts 1220, 1222, and 1228
Archives and records.
For the reasons set forth in the preamble, NARA proposes to amend
36 CFR parts 1220, 1222, and 1228 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, revise the definitions of ``Disposition'',
``Permanent record''
[[Page 23512]]
and ``Recordkeeping requirements'; and add new definitions in
alphabetical order for ``Commercial records storage facility'',
``Records center'', and ``Records storage facility'' to read as
follows:
Sec. 1220.14. General definitions.
* * * * *
Commercial records storage facility is a private sector commercial
facility that offers records storage, retrieval, and disposition
services.
* * * * *
Disposition means those actions taken regarding records no longer
needed for the conduct of the regular current business of the agency.
* * * * *
Permanent record means any Federal record that has been determined
by NARA to have sufficient value to warrant its preservation in the
National Archives of the United States. Permanent records include all
records accessioned by NARA into the National Archives of the United
States and later increments of the same records, and those for which
the disposition is permanent on SF 115s, Request for Records
Disposition Authority, approved by NARA on or after May 14, 1973.
* * * * *
Recordkeeping requirements means all statements in statutes,
regulations, and agency directives or authoritative issuances, that
provide general and specific requirements for Federal agency personnel
on particular records to be created and maintained by the agency.
* * * * *
Records center is defined in 44 U.S.C. 2901(6) as an establishment
maintained and operated by the Archivist or by another Federal agency
primarily for the storage, servicing, security, and processing of
records which need to be preserved for varying periods of time and need
not be retained in office equipment or space.
* * * * *
Records storage facility is a records center or a commercial
records storage facility, as defined in this section, i.e., a facility
used by a Federal agency to store Federal records, whether that
facility is operated and maintained by the agency, by NARA, by another
Federal agency, or by a private commercial entity.
* * * * *
3. In Sec. 1220.18, revise the section heading, designate the
existing text as paragraph (b), and add new paragraph (a) to read as
follows:
Sec. 1220.18 Inspection of records.
(a) In order for NARA to conduct inspections and studies required
in 44 U.S.C. Chapter 29 and records appraisals in 44 U.S.C. Chapter 33,
agencies must provide access for authorized NARA staff members to
records in the agency's legal custody, regardless of the physical
location of the records.
* * * * *
4. Revise Sec. 1220.36 to read as follows:
Sec. 1220.36 Maintenance and use of records.
(a) Agencies must institute adequate records management controls
over the maintenance and use of records wherever they are located to
ensure that all records, regardless of format or medium, are organized,
classified, and described to promote their accessibility, and make them
available for use by all appropriate agency staff for their authorized
retention period. Agencies must also maintain permanent records in a
format that will permit transfer to the National Archives of the United
States.
(b) Agencies must ensure that they maintain adequate information
about their records moved to an off-site records storage facility (see
36 CFR 1228.154). Agencies must also create and maintain records that
document the destruction of temporary records and the transfer of
permanent records to the National Archives of the United States. The
disposition of records that provide such documentation is governed by
General Records Schedule (GRS) 16.
(c) Agencies must also comply with GSA regulations on the
maintenance and use of records found in 41 CFR part 101-11.
5. Revise Sec. 1220.38 to read as follows:
Sec. 1220.38 Disposition of records.
(a) Agencies must ensure the proper, authorized disposition of
their records, regardless of format or medium, so that permanent
records are preserved and temporary records no longer of use to an
agency are promptly deleted or disposed of in accordance with the
approved records schedule when their required retention period expires.
As an intermediate step when records are not needed for current day-to-
day reference, they may be transferred to a records storage facility.
(b) Agencies must secure NARA approval of a records schedule or
apply the appropriate General Records Schedule item before destroying
any temporary records or transferring permanent records to the National
Archives of the United States (see 36 CFR part 1228).
6. Revise Sec. 1220.42 to read as follows:
Sec. 1220.42 Agency internal evaluations.
Each agency must periodically evaluate its records management
programs relating to records creation and record keeping requirements,
maintenance and use of records, and records disposition. These
evaluations shall include periodic monitoring of staff determinations
of the record status of documentary materials in all media, and
implementation of these decisions. These evaluations should determine
compliance with NARA regulations in this subchapter, including
requirements for storage of agency records and records storage
facilities in 36 CFR part 1228, subparts I and K, and assess the
effectiveness of the agency's records management program.
PART 1222--CREATION AND MAINTENANCE OF FEDERAL RECORDS
7. In Sec. 1222.20, remove the period at the end of paragraphs
(b)(5), (b)(8), and (b)(9), and add a semicolon in its place, and add
paragraph (b)(10) to read as follows:
Sec. 1222.20 Agency responsibilities.
* * * * *
(b) * * *
(10) Ensure that records storage facilities used to store the
agency's records comply with the standards specified in 36 CFR part
1228, subpart K. The agency must also comply with 36 CFR 1228.240 by
obtaining NARA approval of an agency records center or submitting
documentation of compliance by a commercial records storage facility
before the agency transfers records to that facility.
8. In Sec. 1222.50, revise the section heading and add paragraph
(c) to read as follows:
Sec. 1222.50 Records maintenance and storage.
* * * * *
(c) Agencies must ensure that records in their legal custody sent
for off-site storage are maintained in facilities that meet the
standards specified in 36 CFR part 1228, subpart K, and that the
information requirements specified at 36 CFR 1228.154 are met. Agencies
must remove their records from any records storage facility that is
found to be non-compliant with the standards specified in 36 CFR part
1228, subpart K, if the facility is not brought into compliance within
6 months of initial discovery by NARA or the using agency.
[[Page 23513]]
PART 1228--DISPOSITION OF FEDERAL RECORDS
9. In Sec. 1228.22, revise paragraph (d) to read as follows:
Sec. 1228.22 Developing records schedules.
* * * * *
(d) Based on agency need, develop specific recommended retention
and disposition instructions for each records series or each part of an
automated information system, including file breaks, retention periods
for temporary records, transfer periods for permanent records, and
instructions for the transfer of records to an approved records storage
facility when appropriate.
* * * * *
10. In Sec. 1228.24, revise paragraph (c)(2) to read as follows:
Sec. 1228.24 Formulation of agency records schedules.
* * * * *
(c) Provisions of schedules. * * *
(2) The removal to a records storage facility of records not
eligible for immediate destruction or other disposition but which are
no longer needed in office space. These records are maintained by the
records storage facility until they are eligible for final disposition
action;
* * * * *
11. In Sec. 1228.32, add paragraph (c), to read as follows:
Sec. 1228.32 Request to change disposition authority.
* * * * *
(c) Agencies must secure NARA approval before changing the
provision in a disposition instruction that specifies the period of
time that permanent records will remain in agency legal custody prior
to transfer to the National Archives of the United States.
12. In Sec. 1228.50, revise paragraphs (a)(1) and (a)(3) to read as
follows:
Sec. 1228.50 Application of schedules.
* * * * *
(a) * * *
(1) Published schedules do not include nonrecurring records for
which NARA has granted authority for immediate disposal or transfer to
the National Archives of the United States. They do include general
instructions for transfer of records to a records storage facility,
transfer of records to the National Archives of the United States, and
other retention and disposition procedures.
* * * * *
(3) Prior to issuance, agencies may consult with NARA concerning
directives or other issuances containing approved schedules,
instructions for use of NARA records centers, transfer of records to
the National Archives of the United States, or other matters covered by
NARA procedures or regulations.
* * * * *
13. In Sec. 1228.54, revise paragraphs (a), (c)(4), and (e) and
remove paragraphs (g) and (h) to read as follows:
Sec. 1228.54 Temporary extension of retention periods.
(a) Approved agency records schedules and the General Records
Schedules are mandatory (44 U.S.C. 3303a). Records series or systems
eligible for destruction must not be maintained longer without the
prior written approval of the National Archives and Records
Administration (NWML) except when:
(1) The agency has requested a change in the retention period for
the records series or system in accordance with Sec. 1228.32; or
(2) Records are needed for up to one year beyond the date they are
eligible for disposal. When such records are in a records storage
facility, the agency must notify the facility of the need for continued
retention of the records.
* * * * *
(c) * * *
(4) A statement of the current and proposed physical location of
the records.
* * * * *
(e) Agencies must ensure that affected records storage facilities
are notified when NARA approves an extension of the retention period
beyond the period authorized in the records control schedule. Agencies
must forward to NARA (NWML) two copies of all formally issued
instructions which extend the retention periods.
* * * * *
14. In Sec. 1228.100, revise paragraph (a) to read as follows:
Sec. 1228.100 Responsibilities.
(a) The Archivist of the United States and heads of Federal
agencies are responsible for preventing the alienation or unauthorized
destruction of records, including all forms of mutilation. Records may
not be removed from the legal custody of Federal agencies or destroyed
without regard to the provisions of agency records schedules (SF 115
approved by NARA or the General Records issued by NARA).
* * * * *
15. Revise subpart I to read as follows:
Subpart I--Transfer of Records to Records Storage Facilities
Sec.
1228.150 Where can a Federal agency transfer records for storage?
1228.152 Under what conditions may Federal records be stored in
records storage facilities?
1228.154 What requirements must an agency meet when it transfers
records to a records storage facility?
1228.156 What procedures must an agency follow to transfer records
to an agency records center or commercial records storage facility?
Subpart I--Transfer of Records to Records Storage Facilities
Sec. 1228.150 Where can a Federal agency transfer records for storage?
Federal agencies may store records in the following types of
records storage facilities, so long as the facilities meet the facility
standards in subpart K of this part. Records transferred to a records
storage facility remain in the legal custody of the agency.
(a) NARA records centers. NARA owns or operates records centers for
the storage, processing, and servicing of records for Federal agencies
under the authority of 44 U.S.C. 2907. These NARA records centers
include a National Personnel Records Center which contains designated
records of the Department of Defense and the Office of Personnel
Management and other designated records pertaining to former Federal
civilian employees. A list of NARA records centers is available from
the NARA web site at http://www.nara.gov and also in the U.S.
Government Manual, which is for sale from the Superintendent of
Documents, U.S. Government Printing Office, Mail Stop: SSOP,
Washington, DC 20402-9328, and is available on the Internet from http:/
/www.access.gpo.gov/nara.
(b) Records centers operated by or on behalf of one or more Federal
agencies other than NARA.
(c) Commercial records storage facilities operated by private
entities.
Sec. 1228.152 Under what conditions may Federal records be stored in
records storage facilities?
The following chart shows what records can be stored in a records
storage facility and the conditions that apply:
[[Page 23514]]
------------------------------------------------------------------------
Type of record Conditions
------------------------------------------------------------------------
(1) Permanent records........ (i) Any storage facility that meets the
provisions of subpart K of this part.
(2) Unscheduled records...... (i) Any storage facility that meets the
provisions of subpart K of this part.
(ii) Also requires submission of SF 115
and its acceptance from NARA under the
provisions of subpart B of this part.
(3) Temporary records (i) Any storage facility that meets the
(excluding Civilian provisions of subpart K of this part.
Personnel Records and
Military Personnel Records).
(4) Vital records............ (i) Storage facility must meet the
provisions of subpart K of this part and
36 CFR part 1236.
(5) Civilian Personnel (i) May only be transferred to NPRC, St.
Records and Military Louis as required by this part.
Personnel Records.
------------------------------------------------------------------------
Sec. 1228.154 What requirements must an agency meet when it transfers
records to a records storage facility?
An agency must meet the following requirements when it transfers
records to a records storage facility:
(a) Ensure that the requirements of subpart K of this part are met.
Special attention must be paid to ensuring appropriate storage
conditions for records on non-paper based media (e.g., film, audio
tape, magnetic tape), especially those that are scheduled for long-term
or permanent retention, as those records typically require more
stringent environmental controls (see 36 CFR parts 1230 through 1234).
(b) To transfer unscheduled records, submit an SF 115 to NARA
(NWML) prior to the transfer. The agency may transfer the records only
after NARA has determined that the SF 115 meets the requirements
specified in this part.
(c) Create documentation sufficient to identify and locate files.
(1) Such documentation must include for each individual records
series spanning one or more consecutive years transferred to storage:
(i) Creating office;
(ii) Series title;
(iii) Description (in the case of permanent or unscheduled records,
the description must include a folder title list of the box contents or
equivalent detailed records description);
(iv) Date span;
(v) Physical form and medium of records (e.g., paper, motion
picture film, sound recordings, photographs or digital images);
(vi) Volume;
(vii) Citation to NARA-approved schedule or agency records
disposition manual (unscheduled records must cite the date the SF 115
was submitted to NARA);
(viii) Restrictions on access if applicable;
(ix) Disposition (``permanent,'' ``temporary,'' or ``unscheduled;
SF 115 pending'');
(x) Date of disposition action (transfer to the National Archives
of the United States or destruction);
(xi) Physical location, including name and address of facility; and
(xii) Control number or identifier used to track records.
(2) In the case of permanent and unscheduled records, provide
copies of such documentation to NARA.
(d) Ensure that NARA-approved retention periods are implemented
properly and that records documenting final disposition actions
(destruction or transfer to the National Archives of the United States)
are created and maintained as required by 36 CFR 1220.36.
(1) Retain temporary records until the expiration of their NARA-
approved retention period and no longer, except as provided for in
Sec. 1228.54.
(2) Transfer permanent records to the National Archives of the
United States in accordance with Sec. 1228.260.
(e) Provide access to appropriate NARA staff to records wherever
they are located in order to conduct an evaluation in accordance with
36 CFR 1220.50 or to process a request for records disposition
authority.
(f) Move temporary records that are subsequently reappraised as
permanent to a facility that meets the environmental control
requirements for permanent records in Sec. 1228.236 within six months
of their re-appraisal, if not already in such a facility. (Paper-based
permanent records in an existing records storage facility that does not
meet the environmental control requirements in Sec. 1228.236(b) on
October 1, 2009, must be moved from that facility no later than
February 28, 2010.)
Sec. 1228.156 What procedures must an agency follow to transfer
records to an agency records center or commercial records storage
facility?
Federal agencies must use the following procedures to transfer
records to an agency records center or commercial records storage
facility:
(a) Agreements with agency records centers or contracts with
commercial records storage facilities must incorporate the standards in
subpart K of this part and allow for inspections by the agency and NARA
to ensure compliance. An agency must remove records promptly from a
facility if deficiencies identified during an inspection are not
corrected within six months.
(b) For temporary records , the agency must make available to NARA
on request the documentation specified in Sec. 1228.154. For permanent
or unscheduled records, the agency must transmit this documentation to
NARA (NWML) no later than 30 days after records are transferred to the
agency records center or commercial records storage facility.
(c) Agencies must establish procedures that ensure that temporary
records are destroyed in accordance with NARA-approved schedules and
that NARA-approved changes to schedules, including the General Records
Schedules, are applied to records in agency records centers or
commercial records storage facilities in a timely fashion. Procedures
must include a requirement that the agency records center or commercial
records storage facility notify agency records managers or the creating
office prior to the disposal of temporary records unless disposal of
temporary records is initiated by the agency.
(d) Agencies must establish procedures to ensure that the agency
records centers or commercial records storage facilities transfer
permanent records to the National Archives of the United States as
individual series spanning one or more years and in accordance with the
provisions of Sec. 1228.272.
(e) Agencies must ensure that records that are restricted because
they are security classified or exempt from disclosure by statute,
including the Privacy Act (5 U.S.C. 552a), or regulation are stored and
maintained in accordance with applicable laws, executive orders, or
regulations.
(f) Agencies must ensure that disposable records, including
restricted records (security classified or exempted from disclosure by
statute, including the Privacy Act, or regulation), are
[[Page 23515]]
destroyed in accordance with the requirements specified in
Sec. 1228.58.
(g) Agencies must ensure that emergency operating vital records, as
defined in 36 CFR 1236.14, that are transferred to an agency records
center or commercial records storage facility are available in
accordance with 36 CFR part 1236.
16. Redesignate subpart J of part 1228 as subpart L of part 1228 as
set forth in the following redesignation table:
------------------------------------------------------------------------
New section
Old section subpart J subpart L
------------------------------------------------------------------------
1228.180................................................ 1228.260
1228.182................................................ 1228.262
1228.183................................................ 1228.264
1228.184................................................ 1228.266
1228.186................................................ 1228.268
1228.188................................................ 1228.270
1228.190................................................ 1228.272
1228.192................................................ 1228.274
1228.194................................................ 1228.276
1228.196................................................ 1228.278
1228.198................................................ 1228.280
1228.200................................................ 1228.282
------------------------------------------------------------------------
17. Add a new subpart J to read as follows:
Subpart J--Transfer, Use, and Disposition of Records in a NARA Records
Center
Sec.
1228.160 How does an agency transfer records to a NARA records
center?
1228.162 How does an agency transfer vital records to a NARA
records center?
1228.164 What records must be transferred to the National Personnel
Records Center (NPRC)?
1228.166 How does an agency transfer records to the National
Personnel Records Center (NPRC)?
1228.168 How can records be used in NARA records centers?
1228.170 How are disposal clearances managed for records in NARA
records centers?
Subpart J--Transfer, Use, and Disposition of Records in a NARA
Records Center
Sec. 1228.160 How does an agency transfer records to a NARA records
center?
An agency transfers records to a NARA records center using the
following procedures:
(a) General. NARA will ensure that its records centers meet the
facilities standards in subpart K of this part, which meets the
agency's obligation in Sec. 1228.154(a).
(b) NARA records centers will not accept records that pose a threat
to other records or to the health and safety of users including
hazardous materials such as nitrate film, radioactive or chemically
contaminated records, records exhibiting active mold growth, or
untreated insect or rodent infiltrated records. Agencies may contact
the NARA records center for technical advice on treating such records.
(c) Agencies may use any NARA records center (see Sec. 1228.154(a))
if space is available for the storage of unclassified records. All NARA
facilities are equipped to store classified records that have a
national security classification up to Confidential, and certain NARA
facilities can also accept Secret (or ``Q'') classified records. Only
the Washington National Records Center is equipped to store records
that have been assigned a national security classification of Top
Secret, as defined in Executive Order 12958 (3 CFR, 1995 Comp., p. 333)
and predecessor orders. For storage of restricted records requiring
vault storage (regardless of the level of classification), agencies
must contact the records center(s) they wish to use to find out if the
center(s) can properly store the records.
(d) Transfers to NARA records centers must be preceded by the
submission of a Standard Form 135, Records Transmittal and Receipt.
Preparation and submission of this form will meet the requirements for
records description provided in Sec. 1228.154(c), except the folder
title list required for permanent and unscheduled records. A folder
title list is also required for records that are scheduled for sampling
or selection after transfer.
(e) A separate SF 135 is required for each individual records
series spanning one or more consecutive years with the same disposition
authority and disposition date.
(f) For further guidance on transfer of records to a NARA records
center, consult the NARA Records Management Web Site (http://
www.nara.gov), or current NARA publications and bulletins by contacting
the Office of Regional Records Services (NR), individual NARA regional
facilities, or the Washington National Records Center (NWMW).
Sec. 1228.162 How does an agency transfer vital records to a NARA
records center?
For assistance on selecting an appropriate site among NARA
facilities for storage of vital records, agencies may contact NARA
(NR), 8601 Adelphi Rd., College Park, MD 20740-6001. The actual
transfers are governed by the general requirements and procedures in
this subpart and 36 CFR part 1236.
Sec. 1228.164 What records must be transferred to the National
Personnel Records Center (NPRC)?
General Records Schedules 1 and 2 specify that certain Federal
civilian personnel, medical, and pay records must be centrally stored
at the National Personnel Records Center (Civilian Personnel Records),
111 Winnebago Street, St. Louis, MO 63118. An agency must transfer the
following four types of records to the NPRC:
(a) Official personnel folders of separated Federal civilian
employees;
(b) Service record cards of employees who separated or transferred
on or before December 31, 1947;
(c) Audited individual earnings and pay cards and comprehensive
payrolls; and
(d) Employee medical folders of separated Federal civilian
employees.
Sec. 1228.166 How does an agency transfer records to the National
Personnel Records Center (NPRC)?
(a) Agencies must use the following procedures when transferring
records to the NPRC:
(1) Forward the official personnel folder (OPF) and the employee
medical folder (EMF) to the National Personnel Records Center at the
same time.
(2) Transfer EMFs and OPFs in separate folders.
(b) For further guidance consult the NPRC web site (http://
www.nara.gov/regional/cpr.html).
(c) Consult the Office of Personnel Management web site (http://
www.opm.gov/feddata/html/opf.htm) for the OPM publication The Guide to
Personnel Recordkeeping for procedures on the transfer of OPFs and
EMFs. (The Guide is also available from the Superintendent of
Documents, U.S. Government Printing Office, Mail Stop: SSOP,
Washington, DC 20402-9328.)
Sec. 1228.168 How can records be used in NARA records centers?
(a) Agency records transferred to a NARA records center remain in
the legal custody of the agency. NARA acts as the agency's agent in
maintaining the records. NARA will not disclose the record except to
the agency which maintains the record, or under rules established by
that agency which are not inconsistent with existing laws.
(b) Federal agencies must use Standard Form (SF) 180, Request
Pertaining to Military Records, to obtain information from military
service records in the National Personnel Records Center (Military
Personnel Records). Agencies may furnish copies of that form to the
public to aid in inquiries. Members of the public and non-governmental
organizations also may obtain copies of SF 180 by submitting a written
request to the National Personnel Records Center (Military Personnel
Records), 9700 Page Boulevard, St. Louis, MO 63132. OMB
[[Page 23516]]
Control Number 3095-0029 has been assigned to the SF 180.
(c) Use Standard Form 127, Request for Official Personnel Folder
(Separated Employee), to request transmission of personnel folders of
separated employees stored at the National Personnel Records Center.
(d) Use Standard Form 184, Request for Employee Medical Folder
(Separated Employee), to request medical folders stored at the National
Personnel Records Center.
(e) Use Optional Form 11, Reference Request--Federal Records Center
to request medical records transferred to other NARA records centers
prior to September 1, 1984. The request must include the name and
address of the agency's designated medical records manager.
(f) For any other requests, use the Optional Form 11, Reference
Request--Federal Records Centers, a form jointly designated by that
agency and NARA, or their electronic equivalents.
Sec. 1228.170 How are disposal clearances managed for records in NARA
records centers.
(a) Records at the National Personnel Records Center covered by
General Records Schedules 1 and 2 will be destroyed in accordance with
those schedules without further agency clearance.
(b) Other records of Federal agencies held by NARA records centers
will be destroyed only with the concurrence of the agency having legal
custody of the records.
(c) Documentation on the final disposition of records, as required
in 36 CFR 1220.36, will be maintained by NARA records centers for the
period of time required by General Records Schedule 16.
(d) When NARA approves an extension of retention period beyond the
time authorized in the records schedule for records stored in NARA
records centers, NARA will notify those affected records centers to
suspend disposal of the records (see Sec. 1228.54(e)).
18. In newly redesignated subpart L, revise the subpart heading to
read as follows:
Subpart L--Transfer of Records to the National Archives of the
United States
19. In newly redesignated Sec. 1228.272, revise the section heading
and paragraph (a) to read as follows:
Sec. 1228.272. Transfer of records to the National Archives of the
United States.
(a) Policy. (1) Federal records will be transferred to NARA's legal
custody into the National Archives of the United States only if they
are listed as permanent on an SF 115, Request for Records Disposition
Authority, approved by NARA since May 14, 1973, or if they are
accretions (continuations of series already accessioned) to holdings of
the National Archives. Transfers are initiated by submission of an SF
258, Agreement to Transfer Records to the National Archives of the
United States.
(2) Each SF 258 must relate to a specific records series, as
identified on the SF 115, Request for Records Disposition Authority, in
accumulations of one or more consecutive years.
* * * * *
Dated: February 25, 1999.
John W. Carlin,
Archivist of the United States.
[FR Doc. 99-10704 Filed 4-29-99; 8:45 am]
BILLING CODE 7515-01-P
