Agency Program Evaluations

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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