Federal Records Management; Revision, 45274-45310 [E8-17679]

Agencies

• National Archives and Records Administration

[Federal Register Volume 73, Number 150 (Monday, August 4, 2008)]
[Proposed Rules]
[Pages 45274-45310]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-17679]



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Part II





National Archives and Records Administration





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36 CFR Subchapter B



Federal Records Management; Revision; Proposed Rule

Federal Register / Vol. 73, No. 150 / Monday, August 4, 2008 / 
Proposed Rules

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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.

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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 https://
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. 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. 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 
Sec. Sec.  1222.10 and 1222.20. Existing Sec.  1220.18 is moved to 
proposed part 1239.
    In proposed Sec.  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 Sec.  
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 Sec. Sec.  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

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CFR part 1222. The significant changes to this part are:
     In the new Sec.  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 Sec.  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.
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 Sec.  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 Sec.  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. 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. 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 Sec.  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 
Sec.  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. 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.

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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. 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 Sec.  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.
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 
Sec.  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. 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.
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?

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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.


Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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.
    (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.


Sec.  1220.14  Who must follow the regulations in Subchapter B?

    The regulations in Subchapter B apply to Federal agencies as 
defined in Sec.  1220.18.


Sec.  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.


Sec.  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.
    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. 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

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information regardless of physical form or characteristics, accumulated 
or maintained in filing equipment, boxes, on electronic media, or on 
shelves, and occupying office or storage space.
    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.
    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 Sec.  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.
    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


Sec.  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

[[Page 45279]]

    (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.


Sec.  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;
    (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).


Sec.  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 Sec.  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;
    (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 Sec.  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 Sec.  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


Sec.  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.


Sec.  1222.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
in part 1222.


Sec.  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.


Sec.  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 Sec.  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

[[Page 45280]]

materials, and personal papers that refers to all media containing 
recorded information, regardless of the nature of the media or the 
method(s) or circumstance(s) of recording.
    (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.
    (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.
    (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.


Sec.  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 Sec.  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.
    (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.


Sec.  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 Sec.  
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.
    (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.)


Sec.  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.


Sec.  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

[[Page 45281]]

statutes may not be removed from Government custody.
    (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.


Sec.  1222.20  How are personal files defined and managed?

    (a) Personal files are defined in Sec.  1220.18. The NARA 
publications Documenting Your Public Service https://www.archives.gov/
records-mgmt/publications/documenting-your-public-service.html and 
Disposition of Federal Records https://www.archives.gov/records-mgmt/
publications/disposition-of-federal-records/ 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.
    (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


Sec.  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.
    (f) Document important board, committee, or staff meetings.


Sec.  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 Sec.  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 Sec.  
1220.34(f) and inform all employees that they are responsible and 
accountable for keeping accurate and complete records of their 
activities.


Sec.  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.


Sec.  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;
    (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.


Sec.  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.

[[Page 45282]]

Sec.  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.
    (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.


Sec.  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;
    (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 Sec.  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.


Sec.  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).


Sec.  1223.2  What definitions apply to this part?

    (a) See Sec.  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. 
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,

[[Page 45283]]

staffing assignments, selected program records needed to continue the 
most critical agency operations, as well as related policy or 
procedural records that assist agency staff in conducting operations 
under emergency conditions and for resuming normal operations after an 
emergency.
    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.
    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