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NARA Federal Records Management

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NARA Federal Records Management Powered By Docstoc
					The National Archives and
 Records Administration

   Federal Records
Management Regulations
      LAURA MCCARTHY, NARA
 NARA’s Federal Records Management Regulations




NARA’s Revisions to the Federal Records
 Management Regulations found at 36
 CFR Chapter XII, Subchapter B.
 NARA’s Federal Records Management Regulations


So where does all this begin and how does it happen?

NARA revises or amends its regulations according to
 the procedures found in the the Administrative
 Procedures Act (APA), 1946, and other procedural
 statutes.
  Specifically found at 5 U.S.C. § 553
  For our purposes , NARA’s rulemaking is “informal,” or
   “notice-and-comment” rulemaking
 NARA’s Federal Records Management Regulations


Additional requirements for rulemaking concerning
 Office of Management and Budget oversight:

 Paperwork Reduction Act originally created the
 Office of Information and Regulatory Affairs (OIRA)
 within OMB

 May be imposed by Executive Order (see Executive
 Order 12,866)
 NARA’s Federal Records Management Regulations


Where does it say NARA has the authority to do all
 this?
 Enabling Regulatory statute: 44 U.S.C. 2104: The
 Archivist shall prescribe such regulations as the Archivist
 deems necessary to effectuate the functions of the Archivist.

 Also the Federal Records Act of 1950, as amended,
 establishes the basis for records management programs in
 Federal agencies. See 44 U.S.C. chapters 21, 29, 31, and 33.
 NARA’s Federal Records Management Regulations


NARA Statutory Authority:

44 U.S.C. Chapter 21, National Archives and Records
  Administration
44 U.S.C. Chapter 29, Records Management by the Archivist
  of the United States and by the Administrator of General
  Services
44 U.S.C. Chapter 31, Records Management by Federal
  Agencies
44 U.S.C. Chapter 33, Disposal of Records.
 NARA’s Federal Records Management Regulations


NARA’s Process for Revising Subchapter B

Initial Advanced Notice of Public Rulemaking
  (ANPRM) in 2004
 Federal Register (69 FR 12100) 3/15/2004
  Open for comments until 5/14/2004
  Provided Table of Contents with the proposed
   reorganization of the current regs and proposed headings
   for new sections
 NARA’s Federal Records Management Regulations


In the ANPRM, NARA identified several reasons for
  revising the regulations:

 Challenges of a changing recordkeeping environment
 Incorporate current standards and practices
 Reflect the lifecycle of records
 Re-write in accordance with plain language principles
 Make it easier for Federal agencies and records
  management contractors to follow our regulations
 NARA’s Federal Records Management Regulations


In response to the ANPRM, NARA received both
  specific and general comments

 Overall, the comments were in favor, including it was time
  for an update and the regulations “needed to incorporate
  changes to address the evolution of technology.”

 Recommended that NARA reference ISO 15489 throughout
  regs, not just part on electronic records management.
 NARA’s Federal Records Management Regulations


NARA’s Proposed Rule on Revisions to the Federal
 Records Management

 Published on 8/4/2008 (73 FR 45274)
 Identified the same reasons as in the ANPRM
 Also indicated the Strategic Directions for Federal
  Records Management (7/31/03) laid out the goals,
  strategies, and tactics for 21st century RM.
 Interagency review (under E.O. 12866) before
  proposed rule was published.
 NARA’s Federal Records Management Regulations


Final Rule published 10/2/09, effective 11/2/09.

 60 day public comment period. 192 timely
  comments received (42 pages).
 NARA review and analysis of all comments to
  develop draft final rule. Then coordination of
  comment handling with agencies.
 Interagency review, again, of final rule with Obama
  Administration before publication
NARA’s Federal Records Management Regulations


Some comments about the general layout of the
 revised regulations:

 Consistent format: at the beginning of each part—
 Authorities, definitions, standards, and if
 incorporation by reference, also in the first
 sections .

 If there are subparts within the parts, move from
 the general to the more detailed.
 NARA’s Federal Records Management Regulations


Part 1220, Federal Records, General:
 Provides the statutory basis for Federal records
  management
       Role of NARA—new summary in 1220.12
       Other oversight agencies, e.g., GSA
       Responsibilities of every Federal Agency in carrying out
       RM
 Added definitions. (Most definitions unchanged.)
 Added NARA acronyms
 NARA’s Federal Records Management Regulations


Part 1222, Creation and Maintenance of Federal
  Records:
 Records, personal files, and nonrecord materials.
 Prescribes recordkeeping responsibilities for
  agencies, Federal employees, and contractors.
 § 1222.16(b): New to regulations, formerly covered
  in guidance for managing nonrecord materials.
 NARA’s Federal Records Management Regulations


Part 1222 (cont.)
 § 1222.18: conditions under which classified
  nonrecord materials may be removed have been
  updated.
 Creation and maintenance of records by
  contractors in Nat'l Industrial Security Program
 § § 1222.26 and 1222.28- NEW- on recordkeeping
  requirements
     formerly covered in guidance
 NARA’s Federal Records Management Regulations


Part 1223, Management of Vital Records:

 Necessary action that each agency must take to
 ensure proper and adequate documentation for
 continuing agency operations in the event of an
 emergency or disaster.

 In conformance with FCD 1 and FCD 2
NARA’s Federal Records Management Regulations


Part 1224, Disposition of Federal Records; General

 Specifies elements of a records disposition
 program
 NARA’s Federal Records Management Regulations


Part 1225, Scheduling Records:
 Outlines the process for developing records schedules and
  obtaining records disposition authorities.

 § 1225.10 Statement of policy that all records must be
  scheduled; based on longstanding policy.

 1225.12: Conducting functional or work processes analysis
  and flexible scheduling
 NARA’s Federal Records Management Regulations


Part 1225 (cont.)

 § 1225.14: Scheduling permanent records
 § 1225.16: Scheduling temporary records
 § 1225.22: When new SF 115 is needed: media
 neutral (see 1225.12(e))
 NARA’s Federal Records Management Regulations


Part 1226, Implementing Disposition:

 § 1226.12 No longer need to submit hard copies to NARA;
  send electronic copy via link or file.

 § 1226.14 No need to notify NARA if court-ordered
  expungement of temporary records.

 If court ordered extension of retention, no need to contact
  NARA (still need to contact records storage provider).
NARA’s Federal Records Management Regulations


Part 1227, General Records Schedules:

 Same for most part, however, no longer include
 list of schedules. Link to website is provided.

 § 1227.12 Agency must notify NARA within 120
 days (change from 90 days) if using agency
 schedule instead of GRS.
 NARA’s Federal Records Management Regulations


Part 1228, Loan of Permanent and Unscheduled
 Records

 § 1228.10 Added requirement that agencies must
 obtain NARA approval prior to loaning permanent
 or unscheduled records.
 NARA’s Federal Records Management Regulations


Part 1229, Emergency Authorization to Destroy
 Records

 Change from former regulation that details
 procedures for destroying nitrocellulose base;
 procedures for this are now rolled into general
 procedures.
 NARA’s Federal Records Management Regulations


Part 1230, Unlawful or Accidental Removal, Defacing,
 Alteration, or Destruction of Records

 Title changed to reflect wording used in 44 U.S.C. 3106


 Criminal penalties are revised and readers are referred to
  44 U.S.C. 641 and 2071

 § 1230.16 now includes the steps NARA will take when it
  receives credible information of action covered by part
  1230.
 NARA’s Federal Records Management Regulations


Part 1231, Transfer of Records from the Custody of
 One Executive Agency to Another

 For the most part unchanged; two sections were
 eliminated—transfer of records storage equipment
 and cost of transfers.
 NARA’s Federal Records Management Regulations


Part 1232, Transfer of Records to Records Storage
 Facilities

 Substantively unchanged; the requirements
 section in the former regs have been broken out
 into requirements and necessary documentation in
 the current regulation.
 NARA’s Federal Records Management Regulations


Part 1233, Transfer, Use and Disposition of Records in
 a NARA Records Center

 Provision that agency use designated NARA FRC as
 cited in the Agency Agreement.

 Provides for the use of an electronic system for
 reference requests.
 NARA’s Federal Records Management Regulations


Part 1234, Facility Standards for Records Storage
 Facilities

 Move old 36 CFR part 1228, subpart K, to new Part
 1234 without any changes.
 NARA’s Federal Records Management Regulations


Part 1235, Transfer of Records to the National
 Archives of the United States

 Elimination of descriptive information on the archival
  depositories where transferred records will be stored

 §§ 1235.14 and 1235.16 specification of timeframes for
  NARA approval or disapproval of agency requests to retain
  records beyond their expected transfer date.
    NARA’s Federal Records Management Regulations


Part 1225 (cont.)

    § 1235.42 Added digital photographic and
     geospatial data records to specifications and
     standards of transfers.

    § 1235.50 Added transfer specs and standards for
     electronic mail, scanned images of textual records,
     pdfs, digital photographic records, and Web
     content records
 NARA’s Federal Records Management Regulations


Part 1236, Electronic Records Management

 Update and reorganization of policies and procedures
 relating to electronic records management

 Explicitly state that all records management requirements
 found in Parts 1220-1235 also apply to electronic records

 Broadened coverage of text documents to include all
 unstructured records
 NARA’s Federal Records Management Regulations


Part 1237, Audiovisual, Cartographic, and Related
 Records Management

 Added definitions


 As with part 1236, reminds agencies that parts 1220-
 1235 pertain to part 1237, also.
 NARA’s Federal Records Management Regulations


Part 1238, Microforms Records Management

 Only substantive change is deletion of old § 1230.50
 concerning non-regulatory information on
 centralized micrographic services from NARA.
 NARA’s Federal Records Management Regulations


Part 1239, Program Assistance and Inspections
 No substantive changes to former 36 CFR 1238 on program
  assistance.
 Added definition of inspection
 Changes to inspections:
      NARA will undertake inspections when an agency, or a series of agencies
       in a specific line of business, fails to address high-level records
       management risks or specific problems identified through NARA's risk-
       based resource allocation model or other means such as Government
       reports or the media
      The time frames for the inspection steps have been shortened, reflecting
       the more focused nature of inspections.

				
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