# 73 FR 45274: Federal Records Management; Revision

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/FR_PRORULE_E8-17679

## Section

- **Citation:** 73 FR 45274
- **Heading:** Federal Records Management; Revision
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Federal Register / Vol. 73 / 73 FR 45274

## Text

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION 36 CFR Subchapter B [FDMS Docket NARA-08-0004] RIN 3095-AB16 Federal Records Management; Revision AGENCY:
National Archives and Records Administration (NARA).

ACTION:
Proposed rule.

SUMMARY:
As part of its initiative to redesign Federal records management, NARA is revising and reorganizing the existing regulations on Federal records management to update records management strategies and techniques and to make the regulations easier to read, understand, and use. This proposed rule will affect Federal agencies.

DATES:
Submit comments on or before October 3, 2008.

ADDRESSES:
NARA invites interested persons to submit comments on this proposed rule. Please include “Attn: 3095-AB16” and your name and mailing address in your comments. Comments may be submitted by any of the following methods:
• Federal e-Rulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting comments.
• Fax: Submit comments by facsimile transmission to 301-837-0319.
• Mail: Send comments to Regulations Comments Desk (NPOL), Room 4100, Policy and Planning Staff, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.
• Hand Delivery or Courier: Deliver comments to 8601 Adelphi Road, College Park, MD.
FOR FURTHER INFORMATION CONTACT:
Laura McCarthy at telephone number 301-837-3023 or Nancy Allard at telephone number 301-837-1477. They can also be reached at fax number 301-837-0319.

SUPPLEMENTARY INFORMATION:
Background
Overview
On July 31, 2003, the National Archives and Records Administration (NARA) issued our Strategic Directions for Federal Records Management. In that document we set out our goals, strategies, and tactics for redesigning Federal records management to serve agencies in the 21st century. This proposed rule reflects those strategic directions and the initiatives that NARA has undertaken in support of the redesigned Federal records management program
cords Administration (NARA) issued our Strategic Directions for Federal Records Management. In that document we set out our goals, strategies, and tactics for redesigning Federal records management to serve agencies in the 21st century. This proposed rule reflects those strategic directions and the initiatives that NARA has undertaken in support of the redesigned Federal records management program. It does not reflect pending 2008 legislation relating to management of electronic messages that was introduced after this proposed rule was developed; NARA will further revise proposed Part 1236 in a separate rulemaking should that legislation go into effect.
On March 15, 2004, at 69 FR 12100, NARA published an Advanced Notice of Proposed Rulemaking (ANPRM) requesting comments about a proposal to rewrite and restructure the Federal records management regulations contained in 36 CFR Chapter XII, Subchapter B. In response, we received remarks from one member of the public, seven Federal records management professionals, one records management contractor working for a Federal agency, one retired records management consultant, and one records management consultant.
Overall, the comments were in favor of our proposal. Many commented that it was time for an update and that the regulations needed to incorporate changes to address the evolution of technology. They also recommended that we use ISO 15489-1:2001, Records management—Part 1: General, as guidance for the entire revision, not just the sections pertaining to electronic records management.
In rewriting and restructuring the regulation, we incorporated plain language principles with the intent of making the regulations easier to read, understand, and use. We also organized the regulations according to the lifecycle concept of records, while acknowledging that the lifecycle is not linear. As recommended in the comments, the organization of the CFR parts in this proposed rule generally reflects the order outlined in the ANPRM
tion, we incorporated plain language principles with the intent of making the regulations easier to read, understand, and use. We also organized the regulations according to the lifecycle concept of records, while acknowledging that the lifecycle is not linear. As recommended in the comments, the organization of the CFR parts in this proposed rule generally reflects the order outlined in the ANPRM. Our comprehensive review of the Subchapter identified opportunities to consolidate related requirements that had been added over the years to different sections within the parts.
The existing Subchapter B contains several Parts that are subdivided into multiple subparts, making it difficult to locate information quickly. The proposed rule instead has broken the material into smaller, more focused Parts. Each part begins with a statement of the statutory authorities and the ISO 15489-1:2001 clauses that pertain to the provisions.
Discussion of Proposed Rule Provisions
Proposed Part 1220, Federal Records; General
This part sets out the statutory basis for Federal records management programs; the roles of NARA, other oversight agencies, and every Federal agency in carrying out records management; and general records management program requirements, which are specified in greater detail in subsequent parts. The material in proposed part 1220 is drawn from subparts A and B of the existing 36 CFR part 1220, plus existing §§ 1222.10 and 1222.20. Existing § 1220.18 is moved to proposed part 1239.
In proposed § 1220.18 we have added definitions for the following terms: Disposition authority, Information system, and Personal files. The definition for Personal files is based on the definition of “personal papers” in the existing 36 CFR 1222.36, but has been updated and clarified. We deleted the definition for Maintenance and use as the term is understandable in the regulations without the definition. A number of the other definitions in § 1220.18 have been edited but their substantive meaning has not changed
d Personal files. The definition for Personal files is based on the definition of “personal papers” in the existing 36 CFR 1222.36, but has been updated and clarified. We deleted the definition for Maintenance and use as the term is understandable in the regulations without the definition. A number of the other definitions in § 1220.18 have been edited but their substantive meaning has not changed.
We have not revised the definition of Records (Federal records) other than to add a cross reference to an explanation of the elements of the definition. We caution agencies and the public that the statutory definition of “record” in 44 U.S.C. 3301, and thus this regulatory definition, differs from statutory definitions of the same term for purposes of the Freedom of Information Act (5 U.S.C. 552), the Privacy Act ( 5 U.S.C. 552a), and other statutes.
The existing 36 CFR part 1220, subpart B has been reorganized and rewritten in plain language. The proposed provisions are organized around identification of agency records management responsibilities, general records management principles that agency records management programs must implement, and high-level statement of the actions agencies must take to carry out their records management responsibilities. Concepts in existing §§ 1222.10 and 1222.20 have been incorporated in the revised subpart B.
Proposed Part 1222, Creation and Maintenance of Federal Records
This part distinguishes between records, personal files, and nonrecord materials; and prescribes recordkeeping requirements for agencies, Federal employees, and Federal contractors. The material in proposed part 1222 is drawn from subparts A and C of existing 36
• In the new § 1222.18, we are revising the conditions under which nonrecord materials may be removed by departing employees from Government agency custody
hes between records, personal files, and nonrecord materials; and prescribes recordkeeping requirements for agencies, Federal employees, and Federal contractors. The material in proposed part 1222 is drawn from subparts A and C of existing 36
• In the new § 1222.18, we are revising the conditions under which nonrecord materials may be removed by departing employees from Government agency custody. Currently, the regulations permit nonrecord materials containing national security classified information or information restricted from release under the Privacy Act or other statutes to be removed from an agency if the information is appropriately protected. After consulting the Information Security Oversight Office, we have revised the provision relating to national security classified information to limit removal to instances governed by the National Industrial Security Program. We also propose to prohibit without exception removal of Privacy Act and other statutorily restricted nonrecord materials from Government custody. This section does not apply to use of records and nonrecord materials in the course of conducting official agency business, including telework and authorized dissemination of information.
• In the new § 1222.32, we have added clarification concerning creation and maintenance of records when a contractor operates a program for an agency and reference to the National Industrial Security Program requirements for national security classified information.
Proposed Part 1223, Management of Vital Records
This part establishes the necessary actions that each agency must take to ensure proper and adequate documentation for continuing agency operations in the event of an emergency or disaster. The material in proposed part 1223 is drawn from existing 36 CFR part 1236. There are no significant changes from the existing regulations other than updating references to the authorities
nt of Vital Records
This part establishes the necessary actions that each agency must take to ensure proper and adequate documentation for continuing agency operations in the event of an emergency or disaster. The material in proposed part 1223 is drawn from existing 36 CFR part 1236. There are no significant changes from the existing regulations other than updating references to the authorities.
Proposed Part 1224, Disposition of Federal Records; General
This part specifies the elements of a records disposition program, the details of which are covered in proposed parts 1225 through 1235. The requirements in existing 36 CFR 1228.12, Basic elements of disposition programs, are covered now in § 1220.34.
Proposed Part 1225, Scheduling Records
This part outlines the process for developing records schedules and obtaining records disposition authorities. The material in proposed part 1225 replaces subpart B of existing 36 CFR part 1228.
Proposed Part 1226, Implementing Schedules
This part instructs agencies on how to apply disposition instructions, dispose of records, and train agency personnel in these procedures. The material in proposed part 1226 is drawn from subpart D of existing 36 CFR part 1228. We have removed the requirement to submit 20 copies of printed schedules and now require only that an electronic copy be sent via e-mail. As authorized by a 2004 change to 44 U.S.C. 2909, the proposed § 1226.20 will allow agencies to temporarily retain records beyond their approved retention period when special circumstances alter the normal administrative, legal or fiscal value of the records. The existing regulation requires agencies to obtain NARA approval if the records must be kept for more than one year beyond the date they are eligible for disposal.
Proposed Part 1227, General Records Schedules
This part explains General Records Schedules (GRS) and when the GRS must be used by agencies. The material in proposed part 1227 is drawn from subpart C of existing 36 CFR part 1228
ds. The existing regulation requires agencies to obtain NARA approval if the records must be kept for more than one year beyond the date they are eligible for disposal.
Proposed Part 1227, General Records Schedules
This part explains General Records Schedules (GRS) and when the GRS must be used by agencies. The material in proposed part 1227 is drawn from subpart C of existing 36 CFR part 1228. The only significant change from the existing regulation is that the list of current GRS is no longer provided in the part. Instead, agencies are directed to NARA's Web site to obtain copies of the most current schedules.
Proposed Part 1228, Loan of Permanent and Unscheduled Records
This part prescribes the procedures for agencies to loan permanent and unscheduled records to other Federal agencies and non-Federal entities. The material in proposed part 1228 is drawn from subpart E of existing 36 CFR part 1228. Because the loan of permanent and unscheduled records increases the likelihood of the records becoming lost, misplaced, or incorporated into other files, we have added a requirement that agencies obtain prior NARA approval to loan original permanent or unscheduled records to other Federal agencies. We believe that there are few, if any, instances where agencies currently loan original records to another agency. Since agencies do not need to request NARA approval to provide copies of records to other agencies and entities, this provision should not place a burden on agencies.
Proposed Part 1229, Emergency Authorization to Destroy Records
This part outlines the steps agencies must take when they discover records that are a continuing menace to human health or life or to property. The material in proposed part 1229 is drawn from subpart F of existing 36 CFR part 1228
pies of records to other agencies and entities, this provision should not place a burden on agencies.
Proposed Part 1229, Emergency Authorization to Destroy Records
This part outlines the steps agencies must take when they discover records that are a continuing menace to human health or life or to property. The material in proposed part 1229 is drawn from subpart F of existing 36 CFR part 1228. The only significant change is to require agencies to notify NARA in all cases where records constituting a continuing menace to human health or life or to property are identified; the existing § 1228.92 permits agencies to deal with deteriorating nitrocellulose base film unilaterally, notifying NARA within 30 days after their action.
Proposed Part 1230, Unlawful or Accidental Removal, Defacing, Alteration, or Destruction of Records
This part sets out the penalties and reporting requirements when records are destroyed, damaged, or removed without authorization. The material in proposed part 1230 is drawn from existing 36 CFR part 1228, subpart G. The title of the part now reflects the wording used in 44 U.S.C. 3106. We have also updated the provision relating to criminal penalties to reflect amendments to 18 U.S.C. 2071. We have added a new § 1230.16 to address how NARA and agencies handle credible allegations of unlawful or accidental removal, defacing, alteration, or destruction of records.
Proposed Part 1231, Transfer of Records from the Custody of One Executive Agency to Another
This part provides procedures for the transfer of records between executive agencies. The material in proposed part 1231 is drawn from 36 CFR part 1228, subpart H. The only significant change from the existing regulation is the removal of sections concerning transfer of equipment and the cost of transfers.
Proposed Part 1232, Transfer of Records to Records Storage Facilities
This part provides procedures for the transfer of records to a NARA, agency-operated, or commercial records storage facility
osed part 1231 is drawn from 36 CFR part 1228, subpart H. The only significant change from the existing regulation is the removal of sections concerning transfer of equipment and the cost of transfers.
Proposed Part 1232, Transfer of Records to Records Storage Facilities
This part provides procedures for the transfer of records to a NARA, agency-operated, or commercial records storage facility. There are no substantive changes from the existing subpart I of 36 CFR part 1228.
Proposed Part 1233, Transfer, Use, and Disposition of Records in a NARA Records Center
This part provides procedures that apply to the use of NARA's Federal Records Center Program. There are no substantive changes from the existing subpart J of 36 CFR part 1228.
Proposed Part 1234, Facility Standards for Records Storage Facilities [Reserved]
At the final rule stage, we intend to re-designate the regulations currently in 36 CFR part 1228, subpart K, as new part 1234 without change. Comments are not being considered on the current subpart K or the move to a new part 1234.
Proposed Part 1235, Transfer of Records to the National Archives of the United States
The material in proposed part 1235 is drawn from 36 CFR part 1228, subpart L. The significant changes are elimination of descriptive information on the archival depositories in which transferred records will be stored and specification of timeframes for NARA approval or disapproval of agency requests to retain records beyond their expected transfer date.
Proposed Part 1236, Electronic Records Management
This part reflects an update and reorganization of policies and procedures relating to electronic records management, currently contained in 36 CFR part 1234. This proposed part 1236 reminds agencies that all records management program requirements in parts 1220 through 1235 apply to electronic records, and then focuses on additional requirements that apply to electronic records
cords Management
This part reflects an update and reorganization of policies and procedures relating to electronic records management, currently contained in 36 CFR part 1234. This proposed part 1236 reminds agencies that all records management program requirements in parts 1220 through 1235 apply to electronic records, and then focuses on additional requirements that apply to electronic records. The revision of this part was also informed by the responses NARA received to an ANPRM published on October 10, 2001 (66 FR 51740) addressing a petition for rulemaking. The petition had requested that the Archivist amend NARA rules concerning the management, scheduling and preservation of text documents created in electronic form.
The proposed part 1236 contains, in restated language, most of the provisions of the existing part 1234. We have broadened the coverage of text documents to include all unstructured records. We have eliminated the existing § 1234.26, Judicial use of electronic records, because those principles are now widely accepted by courts. As noted previously, this proposed part does not reflect pending legislation relating to requirements that electronic records be captured and preserved in electronic recordkeeping systems only.
Proposed Part 1237, Audiovisual, Cartographic, and Related Records Management
This proposed part expands and updates the audiovisual records management provisions in the existing 36 CFR part 1232 to address aerial photographic records, architectural engineering records, cartographic records, and digital photographs. As with the proposed CFR parts for electronic and micrographic records, this proposed part 1237 reminds agencies that all records management program requirements in parts 1220 through 1235 apply to audiovisual, cartographic and related records, and then focuses on additional requirements that apply specifically to records in these formats and media
s, cartographic records, and digital photographs. As with the proposed CFR parts for electronic and micrographic records, this proposed part 1237 reminds agencies that all records management program requirements in parts 1220 through 1235 apply to audiovisual, cartographic and related records, and then focuses on additional requirements that apply specifically to records in these formats and media.
Proposed Part 1238, Microforms Records Management
The material in proposed part 1238 is drawn from existing 36 CFR part 1230. The only substantive change is the deletion of the current § 1230.50 concerning non-regulatory information on centralized micrographic services from NARA.
Proposed Part 1239, Program Assistance and Inspections
The material in proposed part 1239 relating to program assistance NARA provides to agencies is drawn from existing 36 CFR part 1238; there are no substantive changes. The material relating to inspections of records management programs has been changed significantly from the current regulations on evaluations contained in subpart C of existing 36 CFR part 1220. As NARA announced in its 2003 Strategic Directions for Federal Records Management, 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.
Parts 1240 through 1249 are reserved.
Regulatory Impact
This proposed rule is a significant regulatory action for the purposes of Executive Order 12866 and has been reviewed by the Office of Management and Budget (OMB). The proposed rule incorporates changes made during the OMB and interagency review under E.O. 12866
eps have been shortened, reflecting the more focused nature of inspections.
Parts 1240 through 1249 are reserved.
Regulatory Impact
This proposed rule is a significant regulatory action for the purposes of Executive Order 12866 and has been reviewed by the Office of Management and Budget (OMB). The proposed rule incorporates changes made during the OMB and interagency review under E.O. 12866. As required by the Regulatory Flexibility Act, I certify that this proposed rule will not have a significant impact on a substantial number of small entities because this regulation will affect Federal agencies. This regulation does not have any federalism implications.
List of Subjects
Archives and records.

For the reasons set forth in the preamble, NARA proposes to revise Subchapter B of chapter XII, title 36, Code of Federal Regulations, to read as follows:
CHAPTER XII—NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
Subchapter B—Records Management
Part 1220 Federal records; general 1222 Creation and maintenance of Federal records 1223 Managing vital records 1224 Records disposition program 1225 Scheduling records 1226 Implementing disposition 1227 General records schedules 1228 Loan of permanent and unscheduled records 1229 Emergency authorization to destroy records 1230 Unlawful or accidental removal, defacing, alteration, or destruction of records 1231 Transfer of records from the custody of one executive agency to another 1232 Transfer of records to records storage facilities 1233 Transfer, use, and disposition of records in a NARA Federal Records Center 1234 Facility standards for records storage 1235 Transfer or records to the National Archives of the United States 1236 Electronic records management 1237 Audiovisual, cartographic, and related records management 1238 Microform records management 1239 Program assistance and inspections 1240-1249 [Reserved] Subchapter B—Records Management
PART 1220—FEDERAL RECORDS; GENERAL
Subpart A—General Provisions of Subchapter B
Sec
ecords storage 1235 Transfer or records to the National Archives of the United States 1236 Electronic records management 1237 Audiovisual, cartographic, and related records management 1238 Microform records management 1239 Program assistance and inspections 1240-1249 [Reserved] Subchapter B—Records Management
PART 1220—FEDERAL RECORDS; GENERAL
Subpart A—General Provisions of Subchapter B
Sec. 1220.1 What is the scope of Subchapter B? 1220.2 What are the authorities for Subchapter B? 1220.3 What standards are used as guidelines for Subchapter B? 1220.10 Who is responsible for records management? 1220.12 What are NARA's records management responsibilities? 1220.14 Who must follow the regulations in Subchapter B? 1220.16 What recorded information and documentary materials must be managed in accordance with the regulations in Subchapter B? 1220.18 What definitions apply to the regulations in Subchapter B? Subpart B—Agency Records Management Program Responsibilities
1220.30 What are an agency's records management responsibilities? 1220.32 What records management principles must agencies implement? 1220.34 What must an agency do to carry out its records management responsibilities? Authority:
44 U.S.C. Chapters 21, 29, 31, and 33.
§ 1220.1 What is the scope of Subchapter B? Subchapter B prescribes policies for Federal agencies' records management programs relating to proper records creation and maintenance, adequate documentation, and records disposition.

§ 1220.2 What are the authorities for Subchapter B? The regulations in this subchapter implement the provisions of 44 U.S.C. Chapters 21, 29, 31, and 33.

§ 1220.3 What standards are used as guidelines for Subchapter B? These regulations are in conformance with ISO 15489-1:2001, Information and documentation—Records management. Other standards relating to specific sections of the regulations are cited where appropriate
horities for Subchapter B? The regulations in this subchapter implement the provisions of 44 U.S.C. Chapters 21, 29, 31, and 33.

§ 1220.3 What standards are used as guidelines for Subchapter B? These regulations are in conformance with ISO 15489-1:2001, Information and documentation—Records management. Other standards relating to specific sections of the regulations are cited where appropriate.

§ 1220.10 Who is responsible for records management? (a) The National Archives and Records Administration (NARA) is responsible for overseeing agencies' adequacy of documentation and records disposition programs and practices, and the General Services Administration (GSA) is responsible for overseeing economy and efficiency in records management. The Archivist of the United States and the Administrator of GSA issue regulations and provide guidance and assistance to Federal agencies on records management programs. NARA regulations are in this subchapter. GSA regulations are in 41 CFR part 102-193.
(b) Federal agencies are responsible for establishing and maintaining a records management program that complies with NARA and GSA regulations and guidance. Subpart B of this part sets forth basic agency records management requirements.

§ 1220.12 What are NARA's records management responsibilities? (a) The Archivist of the United States issues regulations and provides guidance and assistance to Federal agencies on ensuring adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the Federal Government and ensuring proper records disposition, including standards for improving the management of records.
(b) NARA establishes standards for the retention of records having continuing value (permanent records), and assists Federal agencies in applying the standards to records in their custody.
nization, functions, policies, decisions, procedures, and essential transactions of the Federal Government and ensuring proper records disposition, including standards for improving the management of records.
(b) NARA establishes standards for the retention of records having continuing value (permanent records), and assists Federal agencies in applying the standards to records in their custody.
(c) Through a records scheduling and appraisal process, the Archivist of the United States determines which Federal records may be destroyed and which records must be preserved and transferred to the National Archives of the United States. The Archivist's determination constitutes mandatory authority for the final disposition of all Federal records.
(d) The Archivist of the United States issues General Records Schedules (GRS) authorizing disposition, after specified periods of time, of records common to several or all Federal agencies.

§ 1220.14 Who must follow the regulations in Subchapter B? The regulations in Subchapter B apply to Federal agencies as defined in § 1220.18.

§ 1220.16 What recorded information and documentary materials must be managed in accordance with the regulations in Subchapter B? The requirements in Subchapter B apply to recorded information and documentary materials that meet the definition of Federal records. See also part 1222.

§ 1220.18 What definitions apply to the regulations in Subchapter B? As used in subchapter B—
Agency (see Executive agency and Federal agency).
Adequate and proper documentation means a record of the conduct of Government business that is complete and accurate to the extent required to document the organization, functions, policies, decisions, procedures, and essential transactions of the agency and that is designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities
n means a record of the conduct of Government business that is complete and accurate to the extent required to document the organization, functions, policies, decisions, procedures, and essential transactions of the agency and that is designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities.
Appraisal is the process by which the National Archives and Records Administration (NARA) determines the value and thus the final disposition of Federal records, designating them either temporary or permanent.
Commercial records storage facility is a private sector commercial facility that offers records storage, retrieval, and disposition services.
Comprehensive schedule is an agency manual or directive containing descriptions of and disposition instructions for documentary materials in all physical forms, record and nonrecord, created by a Federal agency or major component of an Executive department. Unless taken from General Records Schedules (GRS) issued by NARA, the disposition instructions for records must be approved by NARA on one or more Standard Form(s) 115, Request for Records Disposition Authority, prior to issuance by the agency. The disposition instructions for nonrecord materials are established by the agency and do not require NARA approval. See also records schedule .
Contingent records are records whose final disposition is dependent on an action or event, such as sale of property or destruction of a facility, which will take place at some unspecified time in the future.
Disposition means those actions taken regarding records no longer needed for the conduct of the regular current business of the agency.
Disposition authority means the legal authorization for the retention and disposal of records. For Federal records it is found on Standard Forms 115, Request for Records Disposition Authority, which have been approved by the Archivist of the United States
ure.
Disposition means those actions taken regarding records no longer needed for the conduct of the regular current business of the agency.
Disposition authority means the legal authorization for the retention and disposal of records. For Federal records it is found on Standard Forms 115, Request for Records Disposition Authority, which have been approved by the Archivist of the United States. For nonrecord materials, the disposition is established by the creating or custodial agency. See also records schedule .
Documentary materials are a collective term that refers to recorded information, regardless of the medium or the method or circumstances of recording.
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 and procedures, and follow-up activities, including reporting on and implementing the recommendations.
Executive agency means any executive department or independent establishment in the executive branch of the U.S. Government, including any wholly owned Government corporation.
Federal agency means any executive agency or any establishment in the legislative or judicial branch of the Government (except the Supreme Court, Senate, the House of Representatives, and the Architect of the Capitol and any activities under his direction). (44 U.S.C. 2901(14)).
Federal records (see records) .
File means an arrangement of records. The term is used to denote papers, photographs, maps, electronic information, or other recorded
Information system means a discrete set of information resources organized for the collection, processing, maintenance, transmission, and dissemination of information, in accordance with defined procedures, whether automated or manual
ral records (see records) .
File means an arrangement of records. The term is used to denote papers, photographs, maps, electronic information, or other recorded
Information system means a discrete set of information resources organized for the collection, processing, maintenance, transmission, and dissemination of information, in accordance with defined procedures, whether automated or manual. (OMB Circular A-130.)
National Archives of the United States is the collection of all records selected by the Archivist of the United States because they have sufficient historical or other value to warrant their continued preservation by the Federal Government and that have been transferred to the legal custody of the Archivist of the United States, currently through execution of a Standard Form 258 (Agreement to Transfer Records to the National Archives of the United States). See also permanent record .
Nonrecord materials are those Federally owned informational materials that do not meet the statutory definition of records (44 U.S.C. 3301) or that have been excluded from coverage by the definition. Excluded materials are extra copies of documents kept only for reference, stocks of publications and processed documents, and library or museum materials intended solely for reference or exhibit.
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, even while it remains in agency custody. Permanent records are those for which the disposition is permanent on SFs 115, Request for Records Disposition Authority, approved by NARA on or after May 14, 1973. The term also includes all records accessioned by NARA into the National Archives of the United States
sufficient value to warrant its preservation in the National Archives of the United States, even while it remains in agency custody. Permanent records are those for which the disposition is permanent on SFs 115, Request for Records Disposition Authority, approved by NARA on or after May 14, 1973. The term also includes all records accessioned by NARA into the National Archives of the United States.
Personal files (also called personal papers ) are documentary materials, or any reasonably segregable portion thereof, regardless of physical form or format, of a private or nonpublic character that do not relate to and do not have an affect upon the conduct of agency business. Personal files are excluded from the definition of Federal records and are not owned by the Government.
Recordkeeping requirements means all statements in statutes, regulations, and agency directives or other authoritative issuances, that provide general or specific requirements for Federal agency personnel on particular records to be created and maintained by the agency.
Recordkeeping system is a manual or electronic system that captures, organizes, and categorizes records to facilitate their preservation, retrieval, use, and disposition.
Records or Federal records is defined in 44 U.S.C. 3301 as including all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the Government or because of the informational value of the data in them (44 U.S.C. 3301) (see also § 1222.10 of this part for an explanation of this definition).
Records center is defined in 44 U.S.C
d preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the Government or because of the informational value of the data in them (44 U.S.C. 3301) (see also § 1222.10 of this part for an explanation of this definition).
Records center is defined in 44 U.S.C. 2901(6) as an establishment maintained and operated by the Archivist (NARA Federal Records Center) 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. See also records storage facility .
Records management, as used in subchapter B, means the planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition in order to achieve adequate and proper documentation of the policies and transactions of the Federal Government and effective and economical management of agency operations.
Records schedule or schedule means:
(a) A Standard Form 115, Request for Records Disposition Authority that has been approved by NARA to authorize the disposition of Federal records;
(b) A General Records Schedule (GRS) issued by NARA; or
(c) A published agency manual or directive containing the records descriptions and disposition instructions approved by NARA on one or more SFs 115 or issued by NARA in the GRS. See also comprehensive schedule.
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.
Retention period is the length of time that records are to be kept
e schedule.
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.
Retention period is the length of time that records are to be kept.
Series means file units or documents arranged according to a filing or classification system or kept together because they relate to a particular subject or function, result from the same activity, document a specific kind of transaction, take a particular physical form, or have some other relationship arising out of their creation, receipt, or use, such as restrictions on access and use. Also called a records series.
Temporary record means any Federal record that has been determined by the Archivist of the United States to have insufficient value (on the basis of current standards) to warrant its preservation by the National Archives and Records Administration. This determination may take the form of:
(a) Records designated as disposable in an agency records disposition schedule approved by NARA (Standard Form 115, Request for Records Disposition Authority); or
(b) Records designated as disposable in a General Records Schedule.
Unscheduled records are Federal records whose final disposition has not been approved by NARA on a Standard Form 115, Request for Records Disposition Authority. Such records must be treated as permanent until a final disposition is approved.

Subpart B—Agency Records Management Responsibilities
§ 1220.30 What are an agency's records management responsibilities? (a) Under 44 U.S.C. 3101, the head of each Federal agency must make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency
a final disposition is approved.

Subpart B—Agency Records Management Responsibilities
§ 1220.30 What are an agency's records management responsibilities? (a) Under 44 U.S.C. 3101, the head of each Federal agency must make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency. These records must be designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities.
(b) Under 44 U.S.C. 3102, the head of each Federal agency must establish and maintain an active, continuing program for the economical and efficient management of the records of the agency.
(c) Agency records management programs must provide for:
(1) Effective controls over the creation, maintenance, and use of records in the conduct of current business; and
(2) Cooperation with the Archivist and the Administrator of GSA in applying standards, procedures, and techniques designed to improve the management of records, promote the maintenance and security of records deemed appropriate for preservation, and facilitate the segregation and destruction of records of temporary value.

§ 1220.32 What records management principles must agencies implement? Agencies must create and maintain authentic, reliable, and useable records and ensure that they remain so for the length of their authorized retention period. A comprehensive records management program provides policies and procedures for ensuring that:
(a) Records documenting agency business are created or captured, and the form or format of each record is specified;
(b) Records are organized and maintained to facilitate their use and usefulness throughout their authorized retention periods;
(c) Records are available when needed, where needed, and in a useable format to conduct agency business;
s policies and procedures for ensuring that:
(a) Records documenting agency business are created or captured, and the form or format of each record is specified;
(b) Records are organized and maintained to facilitate their use and usefulness throughout their authorized retention periods;
(c) Records are available when needed, where needed, and in a useable format to conduct agency business;
(d) Legal and regulatory requirements, relevant standards, and agency policies are followed;
(e) Records, regardless of format, are protected in a safe and secure environment and removal or destruction is carried out only as authorized in records schedules; and
(f) Continuity of operations is supported by a vital records program (see part 1223 of Subchapter B).

§ 1220.34 What must an agency do to carry out its records management responsibilities? To carry out the responsibilities specified in 44 U.S.C. 3101 and 3102, agencies must:
(a) Assign records management responsibility to a person and office with appropriate authority within the agency to coordinate and oversee implementation of the agency comprehensive records management program principles in § 1220.32;
(b) Advise NARA and agency managers of the name(s) of the individual(s) assigned operational responsibility for the agency records management program. To notify NARA, send the name, e-mail and postal addresses, telephone and fax numbers of the individual to NARA (NWM), 8601 Adelphi Road, College Park, MD 20740-6001 or to RM.Communications@nara.gov. The name, title, and telephone number of the official or officials authorized by the head of the agency to sign records disposition schedules and requests for transfer of records to the custody of the National Archives must also be submitted to NARA (NWM) or RM.Communications@nara.gov;
f the individual to NARA (NWM), 8601 Adelphi Road, College Park, MD 20740-6001 or to RM.Communications@nara.gov. The name, title, and telephone number of the official or officials authorized by the head of the agency to sign records disposition schedules and requests for transfer of records to the custody of the National Archives must also be submitted to NARA (NWM) or RM.Communications@nara.gov;
(c) Issue a directive(s) establishing program objectives, responsibilities, and authorities for the creation, maintenance, and disposition of agency records. Copies of the directive(s) (including subsequent amendments or supplements) must be disseminated throughout the agency, as appropriate, and a copy must be sent to NARA (NWM);
(d) Assign records management responsibilities in each program (mission) and administrative area to ensure incorporation of recordkeeping requirements and records maintenance, storage, and disposition practices into agency programs, processes, systems, and procedures;
(e) Integrate records management and archival requirements into the design, development, and implementation of electronic information systems as specified in § 1236.12;
(f) Provide guidance and training to all agency personnel on their records management responsibilities, including identification of Federal records, in all formats and media;
(g) Develop records schedules for all records created and received by the agency and obtain NARA approval of the schedules prior to implementation, in accordance with 36 CFR parts 1225 and 1226;
(h) Comply with applicable policies, procedures, and standards relating to records management and recordkeeping requirements issued by the Office of Management and Budget, NARA, GSA, or other agencies, as appropriate (see § 1222.22);
(i) Institute controls ensuring that all records, regardless of format or medium, are properly organized, classified or indexed, and described, and made available for use by all appropriate agency staff; and
res, and standards relating to records management and recordkeeping requirements issued by the Office of Management and Budget, NARA, GSA, or other agencies, as appropriate (see § 1222.22);
(i) Institute controls ensuring that all records, regardless of format or medium, are properly organized, classified or indexed, and described, and made available for use by all appropriate agency staff; and
(j) Conduct formal evaluations to measure the effectiveness of records management programs and practices, and compliance with NARA regulations in this subchapter.

PART 1222—CREATION AND MAINTENANCE OF FEDERAL RECORDS
Subpart A—Identifying Federal Records
Sec. 1222.1 What are the authorities for Part 1222? 1222.2 What definitions apply to this part? 1222.3 What standards are used as guidance for this part? 1222.10 How should agencies apply the statutory definition of Federal records? 1222.12 What types of documentary materials are Federal records? 1222.14 What are nonrecord materials? 1222.16 How are nonrecord materials managed? 1222.18 Under what conditions may nonrecord materials be removed from Government agencies? 1222.20 How are personal files defined and managed? Subpart B—Agency Recordkeeping Requirements
1222.22 What records are required to provide for adequate documentation of agency business? 1222.24 How do agencies establish recordkeeping requirements? 1222.26 What are the general recordkeeping requirements for agency programs? 1222.28 What are the series level recordkeeping requirements? 1222.30 When must agencies comply with the recordkeeping requirements of other agencies? 1222.32 How do agencies manage data and records created or received by contractors? 1222.34 How must agencies maintain records? Authority:
44 U.S.C. 2904, 3101, 3102, and 3301.
Subpart A—Identifying Federal Records
§ 1222.1 What are the authorities for Part 1222? The statutory authorities for this part are 44 U.S.C. 2904, 3101, 3102, and 3301
the recordkeeping requirements of other agencies? 1222.32 How do agencies manage data and records created or received by contractors? 1222.34 How must agencies maintain records? Authority:
44 U.S.C. 2904, 3101, 3102, and 3301.
Subpart A—Identifying Federal Records
§ 1222.1 What are the authorities for Part 1222? The statutory authorities for this part are 44 U.S.C. 2904, 3101, 3102, and 3301.

§ 1222.2 What definitions apply to this part? See § 1220.18 of this subchapter for definitions of terms used in part 1222.

§ 1222.3 What standards are used as guidance for this part? These regulations conform to guidance provided in ISO 15489-1:2001. Paragraphs 7.1 (Principles of records management programmes), 7.2 (Characteristics of a record), 8.3.5 (Conversion and migration), 8.3.6 (Access, retrieval and use), and 9.6 (Storage and handling) apply to records creation and maintenance.

§ 1222.10 How should agencies apply the statutory definition of Federal records? (a) The statutory definition of Federal records is contained in 44 U.S.C. 3301 and provided in § 1220.18 of this chapter.
(b) Several key terms, phrases, and concepts in the statutory definition of a Federal record are further explained as follows:
(1) Documentary materials is a collective term for records, nonrecord
(2) Regardless of physical form or characteristics means that the medium may be paper, film, disk, or other physical type or form; and that the method of recording may be manual, mechanical, photographic, electronic, or any other combination of these or other technologies.
(3) Made means the act of creating and recording information by agency personnel in the course of their official duties, regardless of the method(s) or the medium involved.
s means that the medium may be paper, film, disk, or other physical type or form; and that the method of recording may be manual, mechanical, photographic, electronic, or any other combination of these or other technologies.
(3) Made means the act of creating and recording information by agency personnel in the course of their official duties, regardless of the method(s) or the medium involved.
(4) Received means the acceptance or collection of documentary materials by or on behalf of an agency or agency personnel in the course of their official duties regardless of their origin (for example, other units of their agency, private citizens, public officials, other agencies, contractors, Government grantees) and regardless of how transmitted (in person or by messenger, mail, electronic means, or by any other method). In this context, the term does not refer to misdirected materials. It may or may not refer to loaned or seized materials depending on the conditions under which such materials came into agency custody or were used by the agency. Advice of legal counsel should be sought regarding the “record” status of loaned or seized materials.
(5) Preserved means the filing, storing, or any other method of systematically maintaining documentary materials by the agency. This term covers materials not only actually filed or otherwise systematically maintained but also those temporarily removed from existing filing systems.
the agency. Advice of legal counsel should be sought regarding the “record” status of loaned or seized materials.
(5) Preserved means the filing, storing, or any other method of systematically maintaining documentary materials by the agency. This term covers materials not only actually filed or otherwise systematically maintained but also those temporarily removed from existing filing systems.
(6) Appropriate for preservation means documentary materials made or received which, in the judgment of the agency, should be filed, stored, or otherwise systematically maintained by an agency because of the evidence of agency activities or information they contain, even if the materials are not covered by its current filing or maintenance procedures.

§ 1222.12 What types of documentary materials are Federal records? (a) General. To ensure that complete and accurate records are made and retained in the Federal Government, agencies must distinguish between records and nonrecord materials by applying the definition of records (see 44 U.S.C. 3301 and 36 CFR 1220.18 and 1222.10) to agency documentary materials in all formats and media.
(b) Record status. Documentary materials are records when they meet the conditions specified in § 1222.10(b).
(c) Working files and similar materials. Working files, such as preliminary drafts and rough notes, and other similar materials, are records that must be maintained to ensure adequate and proper documentation if:
(1) They were circulated or made available to employees, other than the creator, for official purposes such as approval, comment, action, recommendation, follow-up, or to communicate with agency staff about agency business; or
(2) They contain unique information, such as substantive annotations or comments that adds to a proper understanding of the agency's formulation and execution of basic policies, decisions, actions, or responsibilities.
ployees, other than the creator, for official purposes such as approval, comment, action, recommendation, follow-up, or to communicate with agency staff about agency business; or
(2) They contain unique information, such as substantive annotations or comments that adds to a proper understanding of the agency's formulation and execution of basic policies, decisions, actions, or responsibilities.
(d) Record status of copies. The determination as to whether a particular document is a record does not depend solely upon whether it contains unique information. Multiple copies of the same document and documents containing duplicative information may each have record status depending on their relationship to other records (context) and how they are used in conducting agency business.

§ 1222.14 What are nonrecord materials? Nonrecord materials are U.S. Government-owned documentary materials that do not meet the conditions of records status (see § 1222.12(b)) or that are specifically excluded from the statutory definition of records (see 44 U.S.C. 3301). An agency's records management program also needs to include managing nonrecord materials because their volume may exceed that of records. There are three specific categories of materials excluded from the statutory definition of records:
(a) Library and museum material (but only if such material is made or acquired and preserved solely for reference or exhibition purposes), including physical exhibits, artifacts, and other material objects lacking evidential value.
record materials because their volume may exceed that of records. There are three specific categories of materials excluded from the statutory definition of records:
(a) Library and museum material (but only if such material is made or acquired and preserved solely for reference or exhibition purposes), including physical exhibits, artifacts, and other material objects lacking evidential value.
(b) Extra copies of documents (but only if the sole reason such copies are preserved is for convenience of reference) including:
(1) Information copies of correspondence, directives, forms, and other documents on which no action is recorded or taken.
(2) Tickler, follow up, or suspense copies of correspondence, provided they are not the original documents.
(3) Duplicate copies of documents filed together in the same file.
(4) Extra copies of printed or processed materials for which complete record sets exist, such as current and superseded manuals maintained outside the office responsible for maintaining the record set.
(c) Stocks of publications and of processed documents. Catalogs, trade journals, and other publications that are received from other Government agencies, commercial firms, or private institutions and that require no action and are not part of a case on which action is taken. (Stocks do not include serial or record sets of agency publications and processed documents, as evidence of agency activities and for the information they contain, including annual reports, brochures, pamphlets, books, handbooks, posters and maps.)

§ 1222.16 How are nonrecord materials managed? (a) Agencies must develop recordkeeping requirements to distinguish records from nonrecord materials.
tocks do not include serial or record sets of agency publications and processed documents, as evidence of agency activities and for the information they contain, including annual reports, brochures, pamphlets, books, handbooks, posters and maps.)

§ 1222.16 How are nonrecord materials managed? (a) Agencies must develop recordkeeping requirements to distinguish records from nonrecord materials.
(b) The following guidelines should be used in managing nonrecord materials:
(1) If a clear determination cannot be made, the materials should be treated as records. Agencies may consult with NARA for guidance.
(2) Nonrecord materials must be physically segregated from records or, for electronic non-record materials maintained in an electronic repository, readily identified and segregable from records;
(3) Nonrecord materials should be purged when no longer needed for reference. NARA's approval is not required to destroy such materials.

§ 1222.18 Under what conditions may nonrecord materials be removed from Government agencies? (a) Nonrecord materials, including extra copies of unclassified or formally declassified agency records kept only for convenience of reference, may be removed by departing employees from Government agency custody only with the approval of the head of the agency or the individual(s) authorized to act for the agency on records issues.
(b) National security classified information may not be removed from Government custody, except for a removal of custody taken in accordance with the requirements of the National Industrial Security Program established under Executive Order 12829, as amended, or a successor Order.
(c) Information that is restricted from release under the Privacy Act or other
for the agency on records issues.
(b) National security classified information may not be removed from Government custody, except for a removal of custody taken in accordance with the requirements of the National Industrial Security Program established under Executive Order 12829, as amended, or a successor Order.
(c) Information that is restricted from release under the Privacy Act or other
(d) This section does not apply to use of records and nonrecord materials in the course of conducting official agency business, including telework and authorized dissemination of information.

§ 1222.20 How are personal files defined and managed? (a) Personal files are defined in § 1220.18. The NARA publications Documenting Your Public Service http://www.archives.gov/records-mgmt/publications/documenting-your-public-service.html and Disposition of Federal Records http://www.archives.gov/records-mgmt/publications/disposition-of-federal-records/index.html further explain what types of materials are personal files. This section does not apply to agencies and positions that are covered by the Presidential Records Act (see 36 CFR part 1270).
(b) Personal files must be clearly designated as such and must be maintained separately from the office's official records.
(1) Information about private (non-agency) matters and agency business must not be mixed in outgoing agency documents, such as correspondence and messages.
(2) If information about private matters and agency business appears in a received document, the document is a Federal record. Agencies may make a copy of the document with the personal information deleted or redacted, and treat the copy as the Federal record.
ut private (non-agency) matters and agency business must not be mixed in outgoing agency documents, such as correspondence and messages.
(2) If information about private matters and agency business appears in a received document, the document is a Federal record. Agencies may make a copy of the document with the personal information deleted or redacted, and treat the copy as the Federal record.
(3) Materials labeled “personal,” “confidential,” or “private,” or similarly designated, and used in the transaction of public business, are Federal records. The use of a label such as “personal” does not affect the status of documentary materials in a Federal agency.

Subpart B—Agency Recordkeeping Requirements
§ 1222.22 What records are required to provide for adequate documentation of agency business? To meet their obligation for adequate and proper documentation agencies must prescribe the creation and maintenance of records that:
(a) Document the persons, places, things, or matters dealt with by the agency.
(b) Facilitate action by agency officials and their successors in office.
(c) Make possible a proper scrutiny by the Congress or other duly authorized agencies of the Government.
(d) Protect the financial, legal, and other rights of the Government and of persons directly affected by the Government's actions.
(e) Document the formulation and execution of basic policies and decisions and the taking of necessary actions, including all substantive decisions and commitments reached orally (person-to-person, by telecommunications, or in conference) or electronically.
nment.
(d) Protect the financial, legal, and other rights of the Government and of persons directly affected by the Government's actions.
(e) Document the formulation and execution of basic policies and decisions and the taking of necessary actions, including all substantive decisions and commitments reached orally (person-to-person, by telecommunications, or in conference) or electronically.
(f) Document important board, committee, or staff meetings.

§ 1222.24 How do agencies establish recordkeeping requirements? (a) Agencies must ensure that procedures, directives and other issuances; systems planning and development documentation; and other relevant records include recordkeeping requirements for records in all media, including those records created or received on electronic mail systems. Recordkeeping requirements must:
(1) Identify and prescribe specific categories of records to be systematically created or received and maintained by agency personnel in the course of their official duties;
(2) Specify the use of materials and recording techniques that ensure the preservation of records as long as they are needed by the Government;
(3) Prescribe the manner in which these materials must be maintained wherever held;
(4) Propose how long records must be maintained for agency business per the scheduling process in Part 1225;
(5) Distinguish records from nonrecord materials and comply with the provisions in Subchapter B concerning records scheduling and disposition;
(6) Include procedures to ensure that departing officials and employees do not remove Federal records from agency custody and remove nonrecord materials only in accordance with § 1222.18;
(7) Define the special recordkeeping responsibilities of program managers, information technology staff, systems administrators, and the general recordkeeping responsibilities of all agency employees.
ition;
(6) Include procedures to ensure that departing officials and employees do not remove Federal records from agency custody and remove nonrecord materials only in accordance with § 1222.18;
(7) Define the special recordkeeping responsibilities of program managers, information technology staff, systems administrators, and the general recordkeeping responsibilities of all agency employees.
(b) Agencies must provide the training described in § 1220.34(f) and inform all employees that they are responsible and accountable for keeping accurate and complete records of their activities.

§ 1222.26 What are the general recordkeeping requirements for agency programs? To ensure the adequate and proper documentation of agency programs, each program must develop recordkeeping requirements that identify:
(a) The record series and systems that must be created and maintained to document program policies, procedures, functions, activities, and transactions;
(b) The office responsible for maintaining the record copies of those series and systems, and applicable system administrator responsible for ensuring authenticity, protection, and ready retrieval of electronic records;
(c) Related records series and systems;
(d) The relationship between paper and electronic files in the same series; and
(e) Policies, procedures, and strategies for ensuring that records are retained long enough to meet programmatic, administrative, fiscal, legal, and historical needs as authorized in a NARA-approved disposition schedule.

§ 1222.28 What are the series level recordkeeping requirements? To ensure that record series and systems adequately document agency policies, transactions, and activities, each program must develop recordkeeping requirements for records series and systems that include:
(a) Identification of information and documentation that must be included in the series and/or system;
(b) Arrangement of each series and the records within the series and/or system;
ments? To ensure that record series and systems adequately document agency policies, transactions, and activities, each program must develop recordkeeping requirements for records series and systems that include:
(a) Identification of information and documentation that must be included in the series and/or system;
(b) Arrangement of each series and the records within the series and/or system;
(c) Identification of the location of the records and the staff responsible for maintaining the records;
(d) Policies and procedures for maintaining the documentation of telephone calls, meetings, instant messages, and electronic mail exchanges that include substantive information about agency policies and activities;
(e) Policies and procedures for identifying working files and for determining the record status of working files in paper and electronic form; and
(f) Policies and procedures for maintaining series consisting of different media.

§ 1222.30 When must agencies comply with the recordkeeping requirements of other agencies? Agencies must comply with recordkeeping requirements that are imposed government-wide by another agency with jurisdiction over the program or activity being conducted, e.g. , requirements for records concerning hazardous waste. Affected agencies must include these requirements in appropriate directives or other official issuances prescribing the agency's organization, functions, or activities.

§ 1222.32 How do agencies manage records created or received by contractors? (a) Agency officials responsible for administering contracts must safeguard records created, processed, or in the possession of a contractor or a non-Federal entity by taking the following steps:
nts in appropriate directives or other official issuances prescribing the agency's organization, functions, or activities.

§ 1222.32 How do agencies manage records created or received by contractors? (a) Agency officials responsible for administering contracts must safeguard records created, processed, or in the possession of a contractor or a non-Federal entity by taking the following steps:
(1) Agencies must ensure that contractors performing Federal government agency functions create and maintain records that document these activities. Agencies must specify in the contract government ownership and the delivery to the Government of all records necessary for the adequate and proper documentation of contractor-operated agency activities and programs in accordance with requirements of the Federal Acquisition Regulation (FAR) and, where applicable, the Defense Federal Acquisition Regulation Supplement (DFARS).
(2) Records management oversight of contract records is necessary to ensure that all recordkeeping needs are met. All records created for Government use and delivered to, or under the legal control of, the Government must be managed in accordance with Federal law. In addition, electronic records and background electronic data specified for delivery to the contracting agency must be accompanied by sufficient technical documentation to permit use of the records and data.
(3) Contracts that require the creation of data for the Government's use must specify, in addition to the final product, delivery of background supporting data or other records that may have reuse value to the Government. To determine what background supporting data or other records that contractors must deliver, program and contracting officials must consult with agency records and information managers and historians and, when appropriate, with other Government agencies to ensure that all Government needs are met, especially when the data deliverables support a new agency mission or a new Government program.
ent. To determine what background supporting data or other records that contractors must deliver, program and contracting officials must consult with agency records and information managers and historians and, when appropriate, with other Government agencies to ensure that all Government needs are met, especially when the data deliverables support a new agency mission or a new Government program.
(4) Deferred ordering and delivery-of-data clauses and rights-in-data clauses must be included in contracts whenever necessary to ensure adequate and proper documentation or because the data have reuse value to the Government.
(b) All data created for Government use and delivered to, or falling under the legal control of, the Government are Federal records subject to the provisions of 44 U.S.C. chapters 21, 29, 31, and 33, the Freedom of Information Act (5 U.S.C. 552), and the Privacy Act (5 U.S.C. 552a), and must be managed and scheduled for disposition only as provided in Subchapter B.
(c) Agencies must ensure that appropriate authority for retention of classified materials has been granted to contractors or non-government entities participating in the National Industrial Security Program (NISP), in accordance with 32 CFR part 2004.

§ 1222.34 How must agencies maintain records? Agencies must implement a records maintenance program so that complete records are filed or otherwise identified and preserved, records can be readily found when needed, and permanent and temporary records are physically segregated from each other or, for electronic records, segregable. Agency records maintenance programs must:
(a) Institute procedures for organizing and storing records;
(b) Maintain electronic, audiovisual and cartographic, and microform records in accordance with 36 CFR parts 1236, 1237, and 1238, respectively;
be readily found when needed, and permanent and temporary records are physically segregated from each other or, for electronic records, segregable. Agency records maintenance programs must:
(a) Institute procedures for organizing and storing records;
(b) Maintain electronic, audiovisual and cartographic, and microform records in accordance with 36 CFR parts 1236, 1237, and 1238, respectively;
(c) Assign responsibilities for maintenance of records in all formats within each agency component, including designation of the officials that are responsible for maintenance and disposition of electronic records and management of automated systems used for recordkeeping;
(d) Institute reference and retrieval procedures and controls that:
(1) Facilitate the finding, charging out, and refiling of records, including safeguards against loss during transit; and
(2) Ensure that access to electronic records minimizes the risk of unauthorized additions, deletions, or alterations;
(e) Issue appropriate instructions to all agency employees on handling and protecting records;
(f) Maintain records and nonrecord materials separately;
(g) Maintain personal files separately from records in accordance with § 1222.20; and
(h) Comply with 36 CFR parts 1232 and 1234 when storing records in a records facility.

PART 1223—MANAGING VITAL RECORDS
Sec. 1223.1 What are the authorities for Part 1223? 1223.2 What definitions apply to this part? 1223.3 What standards are used as guidelines for Part 1223? 1223.10 What is the purpose of Part 1223? 1223.12 What are the objectives of a vital records program? 1223.14 What elements must a vital records program include? 1223.16 How are vital records identified? 1223.18 Must vital records be in a particular form or format? 1223.20 What are the requirements for accessing vital records during an emergency? 1223.22 How must agencies protect vital records? 1223.24 When can vital records be destroyed? Authority:
44 U.S.C. 3101; E.O. 12656, 53 FR 47491; E.O. 13231, 66 FR 53063
nts must a vital records program include? 1223.16 How are vital records identified? 1223.18 Must vital records be in a particular form or format? 1223.20 What are the requirements for accessing vital records during an emergency? 1223.22 How must agencies protect vital records? 1223.24 When can vital records be destroyed? Authority:
44 U.S.C. 3101; E.O. 12656, 53 FR 47491; E.O. 13231, 66 FR 53063.
§ 1223.1 What are the authorities for Part 1223? (a) The authorities for this part are 44 U.S.C. 3101; Executive Orders 12656, Assignment of Emergency Preparedness Responsibilities, and 13231, Critical Infrastructure Protection in the Information Age; National Security Presidential Directive (NSPD 51)/ Homeland Security Presidential Directive (HSPD-20) or applicable successor directives. These authorities require the head of each agency to make and preserve records that contain adequate and proper documentation of the organization and to perform national security emergency preparedness functions.
(b) These regulations are in conformance with guidance provided in Federal Emergency Management Agency Federal Preparedness Circular (FPC) 65, Federal Executive Branch Continuity of Operations (COOP).

§ 1223.2 What definitions apply to this part? (a) See § 1220.18 of this subchapter for definitions of terms used throughout subchapter B, including part 1223.
(b) As used in part 1223—
Cycle means the periodic removal of obsolete copies of vital records and their replacement with copies of current vital records. This may occur daily, weekly, quarterly, annually or at other designated intervals.
Disaster means an unexpected occurrence inflicting widespread destruction and distress and having long-term adverse effects on agency operations. Each agency defines what a long-term adverse effect is in relation to its most critical program activities.
Emergency means a situation or an occurrence of a serious nature, developing suddenly and unexpectedly, and demanding immediate action
ervals.
Disaster means an unexpected occurrence inflicting widespread destruction and distress and having long-term adverse effects on agency operations. Each agency defines what a long-term adverse effect is in relation to its most critical program activities.
Emergency means a situation or an occurrence of a serious nature, developing suddenly and unexpectedly, and demanding immediate action. This is generally of short duration, for example, an interruption of normal agency operations for a week or less. It may involve electrical failure or minor flooding caused by broken pipes.
Emergency operating records are that type of vital records essential to the continued functioning or reconstitution of an organization during and after an emergency. Included are emergency plans and directive(s), orders of succession, delegations of authority,
Legal and financial rights records are that type of vital records essential to protect the legal and financial rights of the Government and of the individuals directly affected by its activities. Examples include accounts receivable records, Social Security records, payroll records, retirement records, and insurance records. These records were formerly defined as “rights-and-interests” records.
National security emergency means any occurrence, including natural disaster, military attack, technological emergency, or other emergency, that seriously degrades or threatens the national security of the United States, as defined in Executive Order 12656.
Off-site storage means a facility other than an agency's normal place of business where records are kept until eligible for final disposition. Vital records may be kept at off-site storage to ensure that they are not damaged or destroyed should an emergency occur in an agency's normal place of business
or threatens the national security of the United States, as defined in Executive Order 12656.
Off-site storage means a facility other than an agency's normal place of business where records are kept until eligible for final disposition. Vital records may be kept at off-site storage to ensure that they are not damaged or destroyed should an emergency occur in an agency's normal place of business.
Vital records means essential agency records that are needed to meet operational responsibilities under national security emergencies or other emergency conditions (emergency operating records) or to protect the legal and financial rights of the Government and those affected by Government activities (legal and financial rights records).
Vital records program means the policies, plans, and procedures developed and implemented and the resources needed to identify, use, and protect the essential records needed to meet operational responsibilities under national security emergencies or other emergency conditions or to protect the Government's rights or those of its citizens. This is a program element of an agency's emergency management function.

§ 1223.3 What standards are used as guidelines for Part 1223? These regulations conform with guidance provided in ISO 15489-1:2001. Paragraphs 7.1 (Principles of records management programmes) and 9.6 (Storage and handling) apply to vital records.

§ 1223.10 What is the purpose of Part 1223? Part 1223 prescribes policies and procedures needed to establish a program to identify protect, and manage vital records as part of an agency's continuity of operation plan designed to meet emergency management responsibilities.

§ 1223.12 What are the objectives of a vital records program? A vital records program has two objectives:
(a) It provides an agency with the information it needs to conduct its business under other than normal operating conditions and to resume normal business afterward; and
l records as part of an agency's continuity of operation plan designed to meet emergency management responsibilities.

§ 1223.12 What are the objectives of a vital records program? A vital records program has two objectives:
(a) It provides an agency with the information it needs to conduct its business under other than normal operating conditions and to resume normal business afterward; and
(b) It enables agency officials to identify and protect the most important records dealing with the legal and financial rights of the agency and of persons directly affected by the agency's actions.

§ 1223.14 What elements must a vital records program include? To achieve compliance with this section, an agency's vital records program must contain all elements listed in Annex G of FPC 65. In carrying out a vital records program, agencies must:
(a) Specify agency staff responsibilities;
(b) Appropriately inform all staff about vital records;
(c) Ensure that the designation of vital records is current and complete; and
(d) Ensure that vital records are adequately protected, accessible, and immediately usable.

§ 1223.16 How are vital records identified? Agencies identify vital records in the context of the emergency management function. Vital records are those that are needed to perform the most critical functions of the agency and those needed to protect legal and financial rights of the Government and of the persons affected by its actions. Vital records also include emergency plans and related records that specify how an agency will respond to an emergency. The informational content of record series and electronic records systems determines which are vital records. Only the most recent and complete sources of the information are vital records.

§ 1223.18 Must vital records be in a particular form or format? (a) Vital records can be original records or copies of records
ns and related records that specify how an agency will respond to an emergency. The informational content of record series and electronic records systems determines which are vital records. Only the most recent and complete sources of the information are vital records.

§ 1223.18 Must vital records be in a particular form or format? (a) Vital records can be original records or copies of records. Consult NARA records management guidance on vital records at http://www.archives.gov/records-mgmt/vital-records/index.html for further information.
(b) Records may be maintained on a variety of media including paper, magnetic tape, optical disk, photographic film, and microform. In selecting the media, agencies must ensure that equipment needed to read the specific media will be available following an emergency or disaster.

§ 1223.20 What are the requirements for accessing vital records during an emergency? Agencies must establish retrieval procedures for vital records that are easily implemented, especially since individuals unfamiliar with the records may need to use them in an emergency. For electronic records systems, agencies must also ensure that appropriate hardware, software, and system documentation adequate to operate the system and access the records will be available in case of an emergency.

§ 1223.22 How must agencies protect vital records? Agencies must take appropriate measures to ensure the survival of the vital records or copies of vital records in case of an emergency.
(a) Duplication. Agencies may choose to duplicate vital records as the primary protection method. Duplication can be to the same medium as the original record or to a different medium. When agencies choose duplication as a protection method, the copy of the vital record stored off-site is normally a duplicate of the original record. The agency may store the original records off-site if their protection is necessary, or if it does not need to keep the original records at its normal place of business.
tion can be to the same medium as the original record or to a different medium. When agencies choose duplication as a protection method, the copy of the vital record stored off-site is normally a duplicate of the original record. The agency may store the original records off-site if their protection is necessary, or if it does not need to keep the original records at its normal place of business.
(b) Dispersal. Once records are duplicated, they must be dispersed to sites a sufficient distance away so as not to be subject to the same emergency. Dispersal sites may be other office locations of the same agency or some other site.
(c) Storage considerations. Copies of emergency operating vital records must be accessible in a very short period of time for use in the event of an emergency. Copies of legal and financial rights records may not be needed as quickly. In deciding where to store vital record copies, agencies must treat records that have the properties of both categories, that is, emergency operating and legal and financial rights records, as emergency operating records.
(1) The off-site copy of legal and financial rights vital records may be stored at an off-site agency location or, in accordance with § 1233.12 of this chapter, at a records storage facility.
(2) When using a NARA records storage facility for storing vital records that are duplicate copies of original records, the agency must specify on the Standard Form 135, Records Transmittal and Receipt, that they are vital records (duplicate copies) and the medium on which they are maintained. The agency must also periodically cycle (update) them by removing obsolete items and replacing them with the most recent version.

§ 1223.24 When can vital records be destroyed? The disposition of vital records that are original records is governed by records schedules approved by NARA (see part 1225, Scheduling Records). Agencies must not destroy original records that are not scheduled
tained. The agency must also periodically cycle (update) them by removing obsolete items and replacing them with the most recent version.

§ 1223.24 When can vital records be destroyed? The disposition of vital records that are original records is governed by records schedules approved by NARA (see part 1225, Scheduling Records). Agencies must not destroy original records that are not scheduled. Duplicate copies created and maintained for vital records purposes only may be destroyed when superseded or obsolete during the routine vital records cycle process.

PART 1224—RECORDS DISPOSITION PROGRAMS
Sec. 1224.1 What are the authorities for Part 1224? 1224.2 What definitions apply to this part? 1224.3 What standards are used as guidance for this part? 1224.10 What must agencies do to implement an effective records disposition program? Authority:
44 U.S.C. 2111, 2904, 3102, and 3301.
§ 1224.1 What are the authorities for Part 1224? The statutory authorities for this part are 44 U.S.C. 2111, 2904, 3102, and 3301.

§ 1224.2 What definitions apply to this part? See § 1220.18 of this subchapter for definitions of terms used in part 1224.

§ 1224.3 What standards are used as guidance for this part? These regulations conform to guidance provided in ISO 15489-1:2001. Paragraphs 7.1 (Principles of records management programmes), 8.3.7 (Retention and disposition), 8.5 (Discontinuing records systems), and 9.9 (Implementing disposition) apply to records disposition.

§ 1224.10 What must agencies do to implement an effective records disposition program? In order to properly implement the provisions of §§ 1220.30(c)(2), 1220.32(e), and 1220.34(c), (f), and (g) agencies must:
(a) Ensure that all records are scheduled in accordance with part 1225, schedules are implemented in accordance with part 1226, and permanent records are transferred to the National Archives of the United States.
ies do to implement an effective records disposition program? In order to properly implement the provisions of §§ 1220.30(c)(2), 1220.32(e), and 1220.34(c), (f), and (g) agencies must:
(a) Ensure that all records are scheduled in accordance with part 1225, schedules are implemented in accordance with part 1226, and permanent records are transferred to the National Archives of the United States.
(b) Promptly disseminate and implement NARA-approved agency schedules and additions and changes to the General Records Schedules (GRS).
(c) Regularly review agency-generated schedules, and, if necessary, update them.
(d) Incorporate records retention and disposition functionality during the design, development, and implementation of new or revised records systems (whether paper or electronic). See § 1236.6.
(e) Provide training and guidance to all employees on agency records disposition requirements and procedures and other significant aspects of the records disposition program. When a new or revised records schedule is issued, provide specific guidance to employees responsible for applying the schedule.

PART 1225—SCHEDULING RECORDS
Sec. 1225.1 What are the authorities for this part? 1225.2 What definitions apply to this part? 1225.3 What standards are used as guidance for this part? 1225.10 What Federal records must be scheduled? 1225.12 How are records schedules developed? 1225.14 How do agencies schedule permanent records? 1225.16 How do agencies schedule temporary records? 1225.18 How do agencies request records disposition authority? 1225.20 When do agencies have to get GAO approval for schedules? 1225.22 When must scheduled records be rescheduled? 1225.24 When can an agency apply previously approved schedules to electronic records? 1225.26 How do agencies change a disposition authority? Authority:
44 U.S.C. 2111, 2904, 2905, 3102, and Chapter 33.
§ 1225.1 What are the authorities for this part? The statutory authorities for this part are 44 U.S.C. 2111, 2904, 2905, 3102, and Chapter 33
1225.22 When must scheduled records be rescheduled? 1225.24 When can an agency apply previously approved schedules to electronic records? 1225.26 How do agencies change a disposition authority? Authority:
44 U.S.C. 2111, 2904, 2905, 3102, and Chapter 33.
§ 1225.1 What are the authorities for this part? The statutory authorities for this part are 44 U.S.C. 2111, 2904, 2905, 3102, and Chapter 33.

§ 1225.2 What definitions apply to this part? See § 1220.18 of this subchapter for definitions of terms used throughout Subchapter B, including part 1225.

§ 1225.3 What standards are used as guidance for this part? These regulations conform to guidance provided in ISO 15489-1:2001. Paragraphs 4 (Benefits of records management), 6.3 (Responsibilities), 7.1 (Principles of records management programmes), 8.3.7 (Retention and disposition), 9.2 (Determining how long to retain records), and 9.10 (Documenting records management processes) apply to records scheduling.

§ 1225.10 What Federal records must be scheduled? All Federal records, including those created or maintained for the Government by a contractor, must be covered by a NARA-approved agency disposition authority, Standard Form (SF) 115, Request for Records Disposition Authority, or the NARA General Records Schedules. See §§ 1230.10 and 1234.32 of Subchapter B, for requirements specific to microform and electronic records, respectively.

§ 1225.12 How are records schedules developed? The principal steps in developing agency records schedules are listed below. Details are given in the NARA Disposition of Federal Records handbook http://www.archives.gov/records-mgmt/publications/disposition-of-federal-records/index.html and other NARA guidance.
(a) Conduct a functional or work process analysis to identify the functions or activities performed by each organization or unit. Identify the recordkeeping requirements for each.
(b) Prepare an inventory for each function or activity to identify records series, systems, and nonrecord materials.
s.gov/records-mgmt/publications/disposition-of-federal-records/index.html and other NARA guidance.
(a) Conduct a functional or work process analysis to identify the functions or activities performed by each organization or unit. Identify the recordkeeping requirements for each.
(b) Prepare an inventory for each function or activity to identify records series, systems, and nonrecord materials.
(c) Determine the appropriate scope of the records schedule items, e.g., individual series/system component, work process, group of related work processes, or broad program area.
(d) Evaluate the period of time the agency needs each records series or system based on use, value to agency operations and oversight agencies, and legal obligations. Determine whether a fixed or flexible retention period is more appropriate. For records proposed as temporary, specify a retention period that meets agency business needs and legal requirements. For records proposed as permanent records, identify how long the records are needed by the agency before they are transferred to NARA.
(e) Determine whether the proposed disposition should be limited to records in a specific medium. Records schedules submitted to NARA for
(f) Compile a schedule for records, including descriptions and disposition instructions for each item, using the SF 115.
(g) Obtain internal clearances, as appropriate, from program offices and other stakeholders such as the legal counsel, chief information officer, electronic systems manager, and agency historian, as appropriate.
(h) Obtain approval from the General Accounting Office, when required under title 8 of the GAO Policy and Procedures Manual for the Guidance of Federal Agencies (see § 1225.20).
(i) Submit an SF 115 covering new or only revised record items to NARA for approval (see § 1225.18(d)).
s the legal counsel, chief information officer, electronic systems manager, and agency historian, as appropriate.
(h) Obtain approval from the General Accounting Office, when required under title 8 of the GAO Policy and Procedures Manual for the Guidance of Federal Agencies (see § 1225.20).
(i) Submit an SF 115 covering new or only revised record items to NARA for approval (see § 1225.18(d)).
(j) The disposition instructions on SFs 115 approved by the Archivist of the United States are mandatory (44 U.S.C. 3314).

§ 1225.14 How do agencies schedule permanent records? (a) Identification. Identify potentially permanent records using guidelines in the NARA records management handbook, Disposition of Federal Records.
(b) Requirements. Each item proposed for permanent retention on an SF 115 must include the following:
(1) Descriptive title of the records series, component of an information system, or appropriate aggregation of series and/or information system components. The descriptive title must be meaningful to agency personnel;
(2) Complete description of the records including:
(i) Agency function;
(ii) Physical type;
(iii) Inclusive dates;
(iv) An arrangement statement;
(v) Statement of restrictions on access under the Freedom of Information Act if the records are proposed for immediate transfer;
(3) Disposition instructions developed using the following guidelines:
(i) If the records series or system is current and continuing, the SF 115 must specify the period of time after which the records will be transferred to the National Archives of the United States.
(ii) If the records series or system is nonrecurring, i.e., no additional records will be created or acquired, the agency must propose either that the records be transferred to the National Archives immediately or set transfer for a fixed date in the future.
ing, the SF 115 must specify the period of time after which the records will be transferred to the National Archives of the United States.
(ii) If the records series or system is nonrecurring, i.e., no additional records will be created or acquired, the agency must propose either that the records be transferred to the National Archives immediately or set transfer for a fixed date in the future.
(c) Determination. NARA will appraise the records to determine if they have sufficient value to warrant archival permanent preservation.
(1) If NARA determines either that records are not permanent or that the transfer instructions are not appropriate, it will notify the agency and negotiate an appropriate disposition. The disposition instruction on the SF 115 will be modified prior to NARA approval.
(2) If NARA and the agency cannot agree on the disposition and/or retention period for an item(s), the items(s) will be withdrawn. In these cases, the agency must submit an SF 115 with a revised proposal for disposition; unscheduled records must be treated as permanent until a new schedule is approved.

§ 1225.16 How do agencies schedule temporary records? (a) Identification. Federal agencies request authority to dispose of records, either immediately or on a recurring basis. Requests for immediate disposal are limited to existing records that no longer accumulate. For recurring records, approved schedules provide continuing authority to destroy the records. The retention periods approved by NARA are mandatory, and the agency must dispose of the records after expiration of the retention period, except as provided in §§ 1226.18 and 1226.20.
(b) Requirements. Each item on an SF 115 proposed for eventual destruction must include the following:
(1) Descriptive title familiar to agency personnel;
(2) Description of the records including agency function, physical type(s) and informational content;
(3) Disposition instructions developed using the following guidelines:
retention period, except as provided in §§ 1226.18 and 1226.20.
(b) Requirements. Each item on an SF 115 proposed for eventual destruction must include the following:
(1) Descriptive title familiar to agency personnel;
(2) Description of the records including agency function, physical type(s) and informational content;
(3) Disposition instructions developed using the following guidelines:
(i) If the record series, component of an electronic information system, or appropriate aggregation of series and/or automated system components is current and continuing, the SF 115 must include file breaks, retention period or event after which the records will be destroyed, and, if appropriate, transfer period for retiring inactive records to an approved records storage facility.
(ii) If the records series, system, or other aggregation is nonrecurring, i.e., no additional records will be created or acquired, the SF 115 must specify either immediate destruction or destruction on a future date.
(c) Determination. If NARA determines that the proposed disposition is not consistent with the value of the records it will request that the agency make appropriate changes.
(1) If NARA determines that records proposed as temporary merit permanent retention and transfer to the National Archives, the agency must change the disposition instruction prior to approval of the SF 115.
(2) If NARA and the agency cannot agree on the retention period for an item(s), the items(s) will be withdrawn. In these cases, the agency will submit an SF 115 with a revised proposal for disposition within 6 months of the date of the approval of the original SF 115 or withdrawal of the SF 115 item.

§ 1225.18 How do agencies request records disposition authority? (a) Federal agencies submit an SF 115 to NARA to request authority to schedule (establish the disposition for) permanent and temporary records, either on a recurring or one-time basis.
115 with a revised proposal for disposition within 6 months of the date of the approval of the original SF 115 or withdrawal of the SF 115 item.

§ 1225.18 How do agencies request records disposition authority? (a) Federal agencies submit an SF 115 to NARA to request authority to schedule (establish the disposition for) permanent and temporary records, either on a recurring or one-time basis.
(b) SFs 115 include only records not covered by the General Records Schedules (GRS) (see part 1227), deviations from the GRS (see § 1227.10), or previously scheduled records requiring changes in retention periods or substantive changes in description.
(c) SFs 115 do not include nonrecord material. The disposition of nonrecord materials is determined by agencies and does not require NARA approval.
(d) The following elements are required on a SF 115:
(1) Title and description of the records covered by each item.
(2) Disposition instructions that can be readily applied. Records schedules must provide for:
(i) The destruction of records that no longer have sufficient value to justify further retention (see § 1224.10(b)); and
(ii) The identification of potentially permanent records and provisions for their transfer to the legal custody of NARA.
(3) Certification that the records proposed for disposition are not now needed for the business of the agency or will not be needed after the specified retention periods. The signature of the authorized agency representative on the SF 115 provides certification.
10(b)); and
(ii) The identification of potentially permanent records and provisions for their transfer to the legal custody of NARA.
(3) Certification that the records proposed for disposition are not now needed for the business of the agency or will not be needed after the specified retention periods. The signature of the authorized agency representative on the SF 115 provides certification.
(e) NARA will return SFs 115 that are improperly prepared. The agency must make the necessary corrections and resubmit the form to NARA.

§ 1225.20 When do agencies have to get GAO approval for schedules? (a) As specified in the GAO Policy and Procedures Manual for Guidance of Federal Agencies, title 8—Records Management (44 U.S.C. 3309), Federal agencies must obtain the approval of the Comptroller General for the disposal of the following types of records:
(1) Program records less than 3 years old,
(2) Deviations from GRS 2-10, and
(3) Certain records relating to claims and demands by or against the Government, and to accounts in which the Government is concerned.
(b) This approval must be obtained before NARA will approve the disposition request.

§ 1225.22 When must scheduled records be rescheduled? Agencies must submit an SF 115, Request for Records Disposition Authority, to NARA in the following situations:
(a) If an interagency reorganization reassigns functions to an existing department or agency, the gaining organization must submit an SF 115 to NARA within one year of the reorganization. Schedules approved for one department or independent agency do not apply to records of other departments or agencies.
(b) If a new department or agency assumes functions from an existing one, the new agency must schedule records documenting the acquired functions and all other records not covered by the GRS within two years.
(c) If an agency needs to deviate from retention periods in the GRS.
(d) If an agency needs to change retention periods for records previously appraised as temporary by NARA.
agencies.
(b) If a new department or agency assumes functions from an existing one, the new agency must schedule records documenting the acquired functions and all other records not covered by the GRS within two years.
(c) If an agency needs to deviate from retention periods in the GRS.
(d) If an agency needs to change retention periods for records previously appraised as temporary by NARA.
(e) If an agency needs to change the approved disposition of records from permanent to temporary or vice versa.
(f) If an agency needs to modify the description of records because the informational content of the records and/or the function documented by the records changes.
(g) If an agency decides to change the scope of the records schedule items to include a greater or lesser aggregation of records (see § 1225.12(c)), unless § 1225.24 applies.
(h) Agencies must submit a new schedule to NARA for electronic versions of previously scheduled records if:
(1) The content and function of the records have changed significantly (e.g., the electronic records contain information that is substantially different from the information included in the hard copy series or are used for different purposes).
(2) The previously approved schedule explicitly excludes electronic records.
(3) The electronic records consist of program records maintained on an agency Web site.
(4) The electronic records consist of temporary program records maintained in a format other than scanned image AND the previously approved schedule is not media neutral.

§ 1225.24 When can an agency apply previously approved schedules to electronic records? If the conditions specified in § 1225.22(h) do not apply, the following conditions apply:
am records maintained on an agency Web site.
(4) The electronic records consist of temporary program records maintained in a format other than scanned image AND the previously approved schedule is not media neutral.

§ 1225.24 When can an agency apply previously approved schedules to electronic records? If the conditions specified in § 1225.22(h) do not apply, the following conditions apply:
(a) Permanent records. (1) The agency may apply a previously approved schedule for hard copy records to electronic versions of the permanent records when the electronic records system replaces a single series of hard copy permanent records or the electronic records consist of information drawn from multiple previously scheduled permanent series. Agencies must notify NARA (NWM) in writing of records that have been previously scheduled as permanent in hard copy form, including special media records as described in 36 CFR 1235.52. An agency should send the notification to the NARA unit that processes its schedules. The notification must be submitted within 90 days of when the electronic recordkeeping system becomes operational and must contain the:
(i) Name of agency;
(ii) Name of the electronic system;
(iii) Organizational unit(s) or agency program that records support;
(iv) Current disposition authority reference; and
(v) Format of the records (e.g., database, scanned images, digital photographs, etc.).
(2) If the electronic records include information drawn from both temporary and permanent hard copy series, an agency either may apply a previously approved permanent disposition authority, after submitting the notification required by paragraph (a)(1) or may submit a new schedule if the agency believes the electronic records do not warrant permanent retention.
(b) Temporary still pictures, sound recordings, motion picture film, and video recordings. The agency must apply the previously approved schedule to digital versions. If changes in the approved schedule are required, follow § 1225.26.
tting the notification required by paragraph (a)(1) or may submit a new schedule if the agency believes the electronic records do not warrant permanent retention.
(b) Temporary still pictures, sound recordings, motion picture film, and video recordings. The agency must apply the previously approved schedule to digital versions. If changes in the approved schedule are required, follow § 1225.26.
(c) Scanned images of temporary records, including temporary program records. The agency must apply the previously approved schedule. If changes in the approved schedule are required, follow § 1225.26.
(d) Other temporary records maintained in an electronic format other than scanned images . (1) For temporary records that are covered by an item in a General Records Schedule (other than those General Records Schedule items that exclude electronic master files and databases) or an agency-specific schedule that pertains to administrative housekeeping activities, apply the previously approved schedule. If the electronic records consist of information drawn from multiple hard copy series, apply the previously approved schedule item with the longest retention period.
(2) For temporary program records covered by a NARA-approved media neutral schedule item (i.e., the item appears on a schedule submitted to NARA for approval before December 17, 2007, that is explicitly stated to be media neutral, or it appears on a schedule submitted to NARA for approval on or after December 17, 2007, that is not explicitly limited to a specific recordkeeping medium), apply the previously approved schedule.

§ 1225.26 How do agencies change a disposition authority? Agencies must submit an SF 115 to permanently change the approved disposition of records. Disposition authorities are automatically superseded by approval of a later SF 115 for the same records unless the later SF 115 specifies an effective date. As provided in § 1226.20(c), agencies are authorized to retain records eligible for destruction until the new schedule is approved
disposition authority? Agencies must submit an SF 115 to permanently change the approved disposition of records. Disposition authorities are automatically superseded by approval of a later SF 115 for the same records unless the later SF 115 specifies an effective date. As provided in § 1226.20(c), agencies are authorized to retain records eligible for destruction until the new schedule is approved.
(a) SFs 115 that revise previously approved disposition authorities must cite the SF 115 and item numbers to be superseded, the current printed records disposition schedule and item numbers, if any, and/or the General Records Schedules and item numbers that cover the records.
(b) Agencies must submit with the SF 115 an explanation and justification for the change.
(c) For temporary retention of records beyond their normal retention period, see § 1226.18.
(d) Agencies must secure NARA approval of a change in the period of time that permanent records will remain in agency legal custody prior to transfer to the National Archives of the United States. To request approval, agencies send written requests to NARA (NWM). NARA approval is documented as an annotation to the schedule item.

PART 1226—IMPLEMENTING DISPOSITION
Sec. 1226.1 What are the general authorities for this part? 1226.2 What definitions apply to this part? 1226.3 What standards are used as guidance for this part? 1226.10 Must agencies apply approved schedules to their records? 1226.12 How do agencies disseminate approved schedules? 1226.14 What are the limitations in applying approved records schedule? 1226.16 Does NARA ever withdraw disposition authority? 1226.18 When may agencies temporarily extend retention periods? 1226.20 How do agencies temporarily extend retention periods? 1226.22 When must agencies transfer permanent records? 1226.24 How must agencies destroy temporary records? 1226.26 How do agencies donate temporary records? Authority:
44 U.S.C. 2111, 2904, 3102, and 3301
s schedule? 1226.16 Does NARA ever withdraw disposition authority? 1226.18 When may agencies temporarily extend retention periods? 1226.20 How do agencies temporarily extend retention periods? 1226.22 When must agencies transfer permanent records? 1226.24 How must agencies destroy temporary records? 1226.26 How do agencies donate temporary records? Authority:
44 U.S.C. 2111, 2904, 3102, and 3301.
§ 1226.1 What are the general authorities for this part? The statutory authorities are 44 U.S.C. 2107, 2111, 2904, 3102, 3301 and 3302.

§ 1226.2 What definitions apply to this part? See § 1220.18 of this subchapter for definitions of terms used throughout subchapter B, including part 1226.

§ 1226.3 What standards are used as guidance for this part? This part is in conformance with ISO 15489-1:2001, sections 8.3.7 (Retention and disposition), 8.5 (Discontinuing records systems), 9.2 (Determining how long to retain records), and 9.9 (Implementing disposition).

§ 1226.10 Must agencies apply approved schedules to their records? The application of approved schedules is mandatory except as provided in § 1226.16 and § 1226.18. Federal records must be retained as specified in the schedule to conduct Government business, protect rights, avoid waste, and preserve permanent records for transfer to NARA.

§ 1226.12 How do agencies disseminate approved schedules? (a) Agencies must issue disposition authorities through their internal directives system within six months of approval of the SF 115 or GRS to ensure proper distribution and application of the schedule. The directive must cite the legal authority (GRS or SF 115 and item numbers) for each schedule item covering records.
(b) Agencies must send, via link or file, an electronic copy of each published agency schedule, directive, and other policy issuance relating to records disposition to NARA at RM.Communications@nara.gov when the directive, manual, or policy issuance is posted or distributed.
le. The directive must cite the legal authority (GRS or SF 115 and item numbers) for each schedule item covering records.
(b) Agencies must send, via link or file, an electronic copy of each published agency schedule, directive, and other policy issuance relating to records disposition to NARA at RM.Communications@nara.gov when the directive, manual, or policy issuance is posted or distributed.
(c) The submission must include the name, title, agency, address, and telephone number of the submitter. If the comprehensive records schedule or other policy issuance is posted on a publicly available Web site, the agency must provide the full Internet address (URL).

§ 1226.14 What are the limitations in applying approved records schedules? Agencies must apply the approved records disposition schedules to their agency's records with the following limitations:
(a) Records described by items marked “disposition not approved” or “withdrawn” may not be destroyed until a specific disposition has been approved by NARA.
(b) Disposition authorities approved for one department or independent agency may not be applied to records of another department or agency. Departments or agencies that acquire records from another department or agency, and/or continue creating the same series of records previously created by another department or agency through interagency reorganization must submit an SF 115 to NARA for disposition authorization promptly. Until the new records schedule is approved, the records are unscheduled. See § 1225.22.
(c) Unless otherwise specified, newly approved disposition authorities apply retroactively to all existing records as described in the schedule.
records previously created by another department or agency through interagency reorganization must submit an SF 115 to NARA for disposition authorization promptly. Until the new records schedule is approved, the records are unscheduled. See § 1225.22.
(c) Unless otherwise specified, newly approved disposition authorities apply retroactively to all existing records as described in the schedule.
(d) When required by court order (i.e., order for expungement or destruction), an agency may destroy temporary records before their NARA-authorized disposition date. In accordance with § 1230.14, an agency must notify NARA (NWM) when permanent or unscheduled records are to be destroyed in response to a court order. If the records have significant historical value, NARA will promptly advise the agency of any concerns over their destruction.

§ 1226.16 Does NARA ever withdraw disposition authority? (a) When required to ensure the preservation of Government records, or when required by an emergency, or to maintain efficiency of Government operations, NARA will withdraw disposal authorizations in approved schedules (44 U.S.C. 2909). This withdrawal may apply to particular items on agency schedules or may apply to all existing authorizations for a specified type of record in any or all agencies.
(b) To both impose and rescind the withdrawal, NARA will notify the affected agency or agencies in writing, either by letter or NARA bulletin.

§ 1226.18 When may agencies temporarily extend retention periods? (a) Agencies may temporarily retain records approved for destruction beyond their NARA-approved retention period if special circumstances alter the normal administrative, legal, or fiscal value of the records.
(1) Agencies must not retain records whose disposal after a specified period is required by statute, unless retention is ordered by a court.
agencies temporarily extend retention periods? (a) Agencies may temporarily retain records approved for destruction beyond their NARA-approved retention period if special circumstances alter the normal administrative, legal, or fiscal value of the records.
(1) Agencies must not retain records whose disposal after a specified period is required by statute, unless retention is ordered by a court.
(2) In determining whether or not to temporarily extend the retention period of records, agencies must ensure that the extension of retention is consistent with the requirement contained in 5 U.S.C. 552a (Privacy Act of 1974, as amended) that records concerning individuals are maintained only if relevant and necessary to accomplish a purpose of the agency that is required by law or executive order.
(b) If the records that are to be temporarily retained beyond their approved destruction date have been transferred to records storage facilities, agencies must notify the facility.
(c) Once the special circumstances that require extended retention of records have elapsed, agencies must destroy the records in accordance with the NARA-approved disposition instructions.
(d) Agencies must submit an SF 115 to NARA to change schedule provisions on a continuing basis in accordance with § 1225.26. Agencies may retain records eligible for destruction until the new schedule is approved.

§ 1226.20 How do agencies temporarily extend retention periods? (a) Agencies must secure NARA written approval to retain records series or systems that are eligible for destruction under NARA-approved schedules except when:
(1) The agency has requested a change in the records schedule in accordance with § 1225.26, in which case the agency is authorized to retain records eligible for destruction until the new SF 115 is approved;
(2) The records will be needed for less than one year; or
written approval to retain records series or systems that are eligible for destruction under NARA-approved schedules except when:
(1) The agency has requested a change in the records schedule in accordance with § 1225.26, in which case the agency is authorized to retain records eligible for destruction until the new SF 115 is approved;
(2) The records will be needed for less than one year; or
(3) A court order requires retention of the records. Agencies must inform NARA about such court orders in writing. The notification must include a copy of the order and the information specified in § 1226.20(b)(1) through (b)(4).
(b) To request an extension, agencies must send a letter to NARA (NWM). Along with a justification, the request must include:
(1) A concise description of the records series for which the extension is requested.
(2) A citation to the agency records schedule or the General Records Schedule currently governing disposition of the records;
(3) A statement of the estimated period of time that the records will be required; and
(4) For records in the agency's custody, a statement of the current and proposed physical location of the records.
(c) Agencies must ensure that records in records storage facilities are retained for the duration of the extension.

§ 1226.22 When must agencies transfer permanent records? All records scheduled as permanent must be transferred to the National Archives of the United States after the period specified on the SF 115 in accordance with procedures specified under § 1235.12.

§ 1226.24 How must agencies destroy temporary records? (a) Sale or salvage of unrestricted records .
for the duration of the extension.

§ 1226.22 When must agencies transfer permanent records? All records scheduled as permanent must be transferred to the National Archives of the United States after the period specified on the SF 115 in accordance with procedures specified under § 1235.12.

§ 1226.24 How must agencies destroy temporary records? (a) Sale or salvage of unrestricted records .
(1) Paper records . Paper records to be destroyed normally must be sold as wastepaper, or otherwise salvaged. All sales must follow the established procedures for the sale of surplus personal property. (See 41 CFR part 101—45, Sale, Abandonment, or Destruction of Personal Property.) The contract for sale must prohibit the resale of all records for use as records or documents.
(2) Records on electronic and other media . Records other than paper records (audio, visual, and electronic records on physical media data tapes, disks, and diskettes) may be salvaged and sold in the same manner and under the same conditions as paper records.
(b) Destruction of unrestricted records . Unrestricted records that agencies cannot sell or otherwise salvage must be destroyed by burning, pulping, shredding, macerating, or other suitable means.
(c) Destruction of classified or otherwise restricted records . If the records are restricted because they are national security classified or exempted from disclosure by statute, including the Privacy Act, or regulation:
(1)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/FR_PRORULE_E8-17679. Check the current official text before relying on it. Not legal advice.