81 FR 12432 - Records Management

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

Federal Register Volume 81, Issue 46 (March 9, 2016)

Page Range		12432-12440
FR Document		2016-05150
NARA proposes to revise its records management regulations to reflect changes in technology, practice, and organizational structure. This is phase I of the revisions and includes changes to provisions in regulations on managing vital records, records disposition programs, general records schedules, emergency authorization to destroy records, transfer of records to records storage facilities, transfer, use, and disposition of records in a NARA Federal Records Center, and program assistance and inspections.
Federal Register, Volume 81 Issue 46 (Wednesday, March 9, 2016)
[Federal Register Volume 81, Number 46 (Wednesday, March 9, 2016)]
[Proposed Rules]
[Pages 12432-12440]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-05150]



[[Page 12432]]

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Parts 1223, 1224, 1227, 1229, 1232, 1233, and 1239

[FDMS No. NARA-16-0001; NARA-2016-014]
RIN 3095-AB74


Records Management

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rules.

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SUMMARY: NARA proposes to revise its records management regulations to 
reflect changes in technology, practice, and organizational structure. 
This is phase I of the revisions and includes changes to provisions in 
regulations on managing vital records, records disposition programs, 
general records schedules, emergency authorization to destroy records, 
transfer of records to records storage facilities, transfer, use, and 
disposition of records in a NARA Federal Records Center, and program 
assistance and inspections.

DATES: Submit comments on or before May 9, 2016.

ADDRESSES: You may submit comments, identified by RIN 3095-AB74, by any 
of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: [email protected]. Include RIN 3095-AB74 
in the subject line of the message.
     Fax: 301-837-0319. Include RIN 3095-AB74 in the subject 
line of the fax cover sheet.
     Mail (for paper, disk, or CD-ROM submissions. Include RIN 
3095-AB74 on the submission): Regulations Comment Desk (Strategy & 
Performance Division (SP)); Suite 4100; National Archives and Records 
Administration; 8601 Adelphi Road; College Park, MD 20740-6001.
     Hand delivery or courier: Deliver comments to front desk 
at the address above.
    Instructions: All submissions must include NARA's name and the 
regulatory information number for this rulemaking (RIN 3095-AB74). We 
may publish any comments we receive without changes, including any 
personal information you include.

FOR FURTHER INFORMATION CONTACT: Laura McCarthy, by email at 
[email protected], or by telephone at 301-837-3023. You may 
also find more information about records management at NARA on NARA's 
Web site at http://www.archives.gov/records-mgmt/

SUPPLEMENTARY INFORMATION: The proposed revisions to the Federal 
records management regulations contained in 36 CFR Chapter XII, 
Subchapter B, affect Federal agencies' records management programs in 
the areas of managing essential (formerly referred to as ``vital'') 
records, records disposition programs, the General Records Schedules, 
emergency authorizations to destroy records, storage of records in 
records storage facilities, and NARA assistance and inspection 
programs. We are making administrative changes, such as updating office 
names and organizational codes, updating URLs, and adding new links to 
NARA's records management Web pages. We are removing repetitive 
definitions sections from each part to a centralized definitions part 
(to come in part 1220) applying to all parts (streamlining under the 
Paperwork Reduction Act) and removing repetitive authorities sections 
from each part because authorities are noted under the table of 
contents (streamlining under the Paperwork Reduction Act). We are 
making other minor editorial changes for consistency among parts and 
revising some language to comply with Plain Language requirements.
    We are replacing references to the Standard Form 115 (SF 115), 
Request for Disposition Authority, with ``records schedule'' because we 
now use the Electronic Records Archives (ERA) for scheduling records 
and no longer accept SF 115s, except when special circumstances merit 
its use. We have made revision to incorporate use of the ERA throughout 
the records management regulations, including revising references to 
the SF 115.

Discussion of Proposed Rule Revisions

Proposed Part 1223, Managing Vital Records

    This part sets out the necessary actions that each agency must take 
to ensure proper and adequate documentation of continuing agency 
operations in the event of activation of an agency continuity plan. We 
have also changed the term ``vital'' records to ``essential'' records 
to mirror the term FEMA used in Federal Continuity Directive 1 (FCD-1, 
2012). Certain Federal agencies were using the term ``vital records'' 
in another context with a different meaning, so we decided to change to 
``essential records'' both to be parallel with FCD-1 and to reduce 
confusion among agencies.

Proposed Part 1224, Records Disposition Programs

    This part specifies the elements of a records disposition program 
and the integration of records management into an agency's business 
processes. Details for the program functions, such as scheduling, 
retention, and disposition of records are found in parts 1225, 1226, 
1227, 1235, and 1236. We added records disposition provisions to part 
1224 for circumstances where multiple agencies collaborate on a project 
or initiative.

Proposed Part 1227, General Records Schedules

    This part explains General Records Schedules (GRS) and when the GRS 
must be used by agencies. We added the section for application of the 
GRS to records that have been transferred into the National Archives of 
the United States and subject to the provisions in 36 CFR 1235.34.

Proposed Part 1229, Emergency Authorization To Destroy Records

    This part outlines the steps agencies must take when they discover 
records are a continuing menace to human health or life, or to 
property, or when destruction of records is necessary during a state of 
war or threatened war outside of the continental United States. We have 
added the requirement in Sec.  1229.12(b) that if records are destroyed 
during a state of war or threatened war that agencies must provide NARA 
with a list of the destroyed records that can and will be 
reconstructed, the records used to reconstruct the destroyed records, 
and assurance that these records will be retained until after 
reconstruction.

Proposed Part 1232, Transfer of Records to Records Storage Facilities

    This part provides procedures of the transfer of records to a NARA, 
agency-operated, or commercial records storage facility. There are no 
substantive changes from the existing part.

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

    This part provide procedures that apply to the use of NARA's 
Federal Records Center Program. There are no substantive changes from 
the existing part.

Proposed Part 1239, Program Assistance and Inspections

    The material in proposed part 1239 relating to program assistance 
NARA provides to agencies is drawn from the existing part 1239 with no 
substantive changes. We have proposed changes to

[[Page 12433]]

material relating to inspections of records management programs has 
been changed to add two circumstances or conditions when NARA may 
inspect an agency: NARA may inspect to assess an agency's compliance 
with records management statutes and regulations, and may also inspect 
an agency's implementation of records management policies, guidance, 
and principles. Timeframes for both NARA and agency actions have been 
changed to business days and NARA clarifies that agencies must report 
on their follow-up obligations no less frequently than semi-annually.

Regulatory Analysis

Review Under Executive Orders 12866 and 13563

    Executive Order 12866, Regulatory Planning and Review, 58 FR 51735 
(September 30, 1993), and Executive Order 13563, Improving Regulation 
and Regulation Review, 76 FR 23821 (January 18, 2011), direct agencies 
to assess all costs and benefits of available regulatory alternatives 
and, if regulation is necessary, to select regulatory approaches that 
maximize net benefits (including potential economic, environmental, 
public health and safety effects, distributive impacts, and equity). 
This proposed rule is not ``significant'' under section 3(f) of 
Executive Order 12866 because it applies only to Federal agencies, and 
is updating the regulations, not establishing new programs. Although 
the proposed revisions change and add new requirements for agencies, 
the requirements are necessary to keep the existing regulations up-to-
date and to ensure agencies are preserving records for the United 
States as well as possible. The Office of Management and Budget (OMB) 
has reviewed this regulation.

Review Under the Regulatory Flexibility Act (5 U.S.C. 601, et seq.)

    This review requires an agency to prepare an initial regulatory 
flexibility analysis and publish it when the agency publishes the 
proposed rule. This requirement does not apply if the agency certifies 
that the rule will not, if promulgated, have a significant economic 
impact on a substantial number of small entities (5 U.S.C. 603). NARA 
certifies, after review and analysis, that this proposed rule will not 
have a significant adverse economic impact on small entities.

Review Under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501et 
seq.)

    This proposed rule does not contain any information collection 
requirements subject to the Paperwork Reduction Act.

Review Under Executive Order 13132, Federalism, 64 FR 43255 (August 4, 
1999)

    Review under Executive Order 13132 requires that agencies review 
regulations for Federalism effects on the institutional interest of 
states and local governments, and, if the effects are sufficiently 
substantial, prepare a Federal assessment to assist senior policy 
makers. This proposed rule will not have any direct effects on State 
and local governments within the meaning of the Executive Order. 
Therefore, no Federalism assessment is required.

List of Subjects in 36 CFR Parts 1223, 1224, 1227, 1229, 1232, 
1233, and 1239

    Archives, Records, Records management.

    For the reasons stated in the preamble, NARA proposes to amend 36 
CFR parts 1223, 1224, 1227, 1229, 1232, 1233, and 1239, as follows:

PART 1223--MANAGING ESSENTIAL RECORDS

0
1. The authority citation for part 1223 is revised to read as follows:

    Authority:  44 U.S.C. 3101; E.O. 12656, 53 FR 47491; 3 CFR, 1988 
Comp., p. 585; E.O. 13231, 66 FR 53063, 3 CFR, 2001 Comp., p. 805.

0
2. Revise the part heading to read as set forth above.
0
3. Revise Sec.  1223.1 to read as follows:


Sec.  1223.1  What authorities apply to this part?

    (a) The authorities for this part, listed above, require the head 
of each agency to create and preserve records that contain adequate and 
proper documentation of the organization and to perform national 
security emergency preparedness functions.
    (b) The regulations in this part also conform to guidance in 
National Security Presidential Directive (NSPD-51), Homeland Security 
Presidential Directive (HSPD-20), Federal Continuity Directive (FCD) 1, 
Federal Executive Branch National Continuity Program and Requirements, 
and FCD 2, Federal Executive Branch Mission Essential Function and 
Primary Mission Essential Function Identification and Submission 
Process.
0
4. Amend Sec.  1223.2 by:
0
a. Removing paragraph (a) and the introductory text of paragraph (b) 
and adding introductory text to the section in their place.
0
b. Revising the definitions of ``cycle'' and ``emergency operating 
records.''
0
c. Adding definitions for ``essential records'' and ``essential records 
program'' in alphabetical order.
0
d. Revising the definitions of ``legal and financial rights records,'' 
and ``off-site storage.''
0
e. Removing definitions of ``vital records'' and ``vital records 
program.''
    The revisions and additions read as follows:


Sec.  1223.2  What definitions apply to this part?

    In addition to the definitions in part 1220 that apply to all of 
subchapter B including this part, the following definitions apply only 
to part 1223:
    Cycle means the recurring removal of obsolete copies of essential 
records and replacing them with current copies of essential records. 
This may occur daily, weekly, quarterly, annually or at other 
designated intervals.
* * * * *
    Emergency operating records means a category of records essential 
to the continued functioning or the reconstitution of an organization 
during and after a continuity activation. Examples of these records are 
emergency plans and directives, orders of succession, delegations of 
authority, staffing assignments, and related policy or procedure 
records.
    Essential records means information systems and applications, 
electronic and hardcopy documents, references, and records needed to 
support essential functions during a continuity event. The two basic 
categories of essential records are emergency operating records and 
legal and financial rights records.
    Essential records program means the policies, plans, and procedures 
the agency develops and implements--and the resources needed--to 
identify, use, and protect essential records. This is a program element 
of an agency's emergency management function.
    Legal and financial rights records are that category of essential 
records needed 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. NARA 
formerly defined these records as ``rights-and-interests'' records.
* * * * *
    Off-site storage means a facility other than an agency's normal 
place of business, including a facility maintained by a third party, 
where an

[[Page 12434]]

agency keeps records until eligible for final disposition. Agencies may 
keep essential records 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.


Sec. Sec.  1223.3 and 1233.4  [Removed]

0
5. Remove Sec. Sec.  1223.3 and 1223.4.
0
6. Revise Sec.  1223.10 to read as follows:


Sec.  1223.10  What is the purpose of part 1223?

    Part 1223 specifies policies and procedures an agency needs to 
identify, protect, and manage essential records as part of any agency's 
continuity of operation plan designed to meet emergency management 
responsibilities.
0
7. Amend Sec.  1223.12 by:
0
a. Revising the section heading.
0
b. Amending the introductory text to remove ``A vital'' and add in its 
place the words ``An essential.''
0
c. Amend paragraph (a) by removing ``It provides'' and adding in its 
place ``To provide'' and removing the word ``to'' before the word 
``resume.''
0
d. Amend paragraph (b) by removing ``It enables'' and adding in its 
place ``To enable'' and removing the word ``persons'' and adding in its 
place the word ``people.''
    The revision reads as follows:


Sec.  1223.12  What are the objectives of an essential records program?

* * * * *
0
8. Revise Sec. Sec.  1223.14, 1223.16, and 1223.18 to read as follows:


Sec.  1223.14  What elements must agencies include in essential records 
programs?

    (a) To achieve compliance with this section, an agency must include 
in its essential records program all of the following elements:
    (1) Specified agency staff responsibilities;
    (2) Methods to appropriately inform all staff about essential 
records;
    (3) Processes to ensure current and complete designation of 
essential records;
    (4) Adequate protections for the essential records;
    (5) Procedures to ensure access to and immediate use of the 
essential records when needed;
    (6) Annual review and testing of the program, and training for 
applicable staff; and
    (b) Additional Continuity of Operations guidance for essential 
records provided in the Federal Continuity Directive (FCD-1) is 
published by the Federal Emergency Management Agency (FEMA) and 
available on FEMA's Web site at http://www.fema.gov/guidance-directives.


Sec.  1223.16  How do agencies identify essential records?

    Agencies identify essential records in the context of the emergency 
management function. Essential records are those the agency needs to 
perform its most critical functions and those the agency needs to 
protect the legal and financial rights of the Government and the people 
affected by its actions. Essential records also include emergency plans 
and related records that specify how an agency will respond to an 
emergency. The informational content of records series and electronic 
records systems determines which records are essential. Only the most 
recent and complete sources of the information are essential records.


Sec.  1223.18  Must agencies maintain essential records in a particular 
form or format?

    (a) Essential records can be original records or copies of records. 
Consult NARA records management guidance on essential records at http://www.archives.gov/records-mgmt/vital-records/index.html for further 
information.
    (b) Agencies may maintain essential records on a variety of media, 
including paper, photographic film, microform, and electronic forms. In 
selecting the media (such as magnetic tape or optical disk), agencies 
must ensure that the hardware, software, and documentation it needs to 
access records will be available following an emergency or disaster. 
The agency may store essential records it maintains electronically in 
shared data and computing services via the Internet or a Virtual 
Private Network.
0
9. Amend Sec.  1223.20 by revising the section heading and the first 
sentence, to read as follows:


Sec.  1223.20  What are the requirements for accessing essential 
records during an emergency?

    Agencies must establish procedures for retrieving and accessing 
essential records. * * *
0
10. Revise Sec. Sec.  1223.22 and 1223.24 to read as follows:


Sec.  1223.22  How must agencies protect essential records?

    Agencies must take appropriate measures to ensure they protect and 
provide access to essential records or copies of essential records in 
case of an emergency.
    (a) Duplication. Agencies may choose to duplicate essential 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, they normally use the copy of the 
original essential record as the version stored off-site. The agency 
may store the original records off-site if their protection is 
necessary, or if the agency does not need to keep the original records 
at its normal place of business.
    (b) Dispersal. Once agencies duplicate the records, they must 
disperse the copies to sites a sufficient distance away to avoid them 
being subject to the same emergency. Agencies may use other office 
locations, off-site locations, or storage facilities maintained by a 
third party as dispersal sites.
    (c) Storage considerations. Copies of emergency operating records 
must be readily available for use within 12 hours following the 
activation of agency continuity plans. Agencies may not need copies of 
legal and financial rights records as quickly. When deciding where to 
store essential record copies, agencies must treat records that have 
the properties of both categories, that is, both emergency operating 
and legal and financial rights records, as emergency operating records.
    (1) Agencies may store copies of legal and financial rights 
essential records at an off-site agency location or, in accordance with 
Sec.  1233.12, at a NARA records storage facility.
    (2) In accordance with Sec.  1233.12, when using a NARA records 
storage facility for storing legal and financial essential records that 
are duplicate copies of original records, the agency must specify on 
the SF 135, Records Transmittal and Receipt, or equivalent that they 
are essential records (duplicate copies) and the medium on which they 
are maintained. The agency must also periodically cycle them by 
removing obsolete items and replacing them with the most recent 
versions in accordance with NARA's General Records Schedule (GRS) 
covering essential records.


Sec.  1223.24  When can agencies destroy essential records?

    NARA-approved records schedules (see part 1225, Scheduling Records, 
of this subchapter) govern disposition of essential records that are 
original records. Agencies must not destroy original records that are 
not scheduled. Agencies may destroy duplicate copies it created and 
maintained for essential records purposes when they are superseded or 
obsolete, in accordance with NARA's GRS.
0
11. Revise part 1224 to read as follows:

PART 1224--RECORDS DISPOSITION PROGRAMS

Sec.

[[Page 12435]]

Sec.  1224.10 What must agencies do to implement an effective 
records disposition program?

    Authority:  44 U.S.C. 2111, 2902, 2904, 3102, and 3301.


Sec.  1224.10  What must agencies do to implement an effective records 
disposition program?

    Agencies should integrate records management into business 
processes. As part of this effort, agencies should analyze records 
management requirements, integrate them into operating plans, and 
implement, review, and revise records management policies and 
procedures across the agency on a regular basis. To properly carry out 
the provisions of part 1220 of this subchapter, agencies must:
    (a) Schedule all records in accordance with part 1225 of this 
subchapter, implement records schedules in accordance with part 1226 of 
this subchapter, and transfer permanent records to NARA in accordance 
with part 1235 of this subchapter;
    (b) Transfer all permanent electronic records to NARA in electronic 
form to the greatest extent possible;
    (c) Promptly disseminate and implement NARA-approved agency records 
schedules, additions, and changes to the General Records Schedules 
(GRS) in accordance with parts 1226 and 1227 of this subchapter;
    (d) Regularly review agency-generated records schedules, and, if 
necessary, update them in accordance with part 1225 of this subchapter;
    (e) Incorporate records retention and disposition needs into the 
design, development, and implementation of new or revised recordkeeping 
systems. See part 1236 of this subchapter for electronic records 
management requirements;
    (f) Provide training and guidance to all employees on agency 
records disposition requirements and procedures and other significant 
aspects of the records disposition program. When NARA approves a new or 
revised records schedule, provide specific guidance to employees 
responsible for applying the schedule; and
    (g) When two or more Federal agencies collaborate on a common 
project or initiative, the participants must establish and agree to 
recordkeeping responsibilities and manage all records. This also 
applies to multi-agency endeavors that include private organizations, 
state, local, Tribal, or foreign governments.
0
12. Revise part 1227 to read as follows:

PART 1227--GENERAL RECORDS SCHEDULES

Sec.
1227.10 What are General Records Schedules (GRS)?
1227.12 When must agencies apply the GRS?
1227.13 May NARA apply the GRS to records transferred to the 
National Archives?
1227.14 How do I obtain copies of the GRS?

    Authority:  44 U.S.C. 2107(2), 2909, and 3303a.


Sec.  1227.10  What are General Records Schedules (GRS)?

    The Archivist of the United States issues General Records Schedules 
(GRS) for records common to several or all agencies. The GRS 
authorizes, after specified periods of time, agencies to destroy 
temporary records or to transfer permanent records to NARA.


Sec.  1227.12  When must agencies apply the GRS?

    (a) Agencies should apply the disposition instructions in the 
following table.

------------------------------------------------------------------------
 When NARA issues a new or revised
             GRS, and                               Then
------------------------------------------------------------------------
(1) Your agency does not create or  No action is required.
 maintain any of the records
 addressed by that GRS,
(2) The GRS disposition authority   Your agency must follow the
 states that it must be followed     disposition instructions of the
 without exception,                  GRS, whether or not your agency has
                                     existing records schedules.
(3) Your agency has an existing     (i) Your agency may follow the
 records schedule for these          disposition instructions in either
 records AND the GRS permits use     the GRS or the existing agency
 of existing agency-specific         records schedule. If your agency
 schedules,                          chooses to follow its own schedule,
                                     then it must notify NARA within 120
                                     calendar days of the issuance of
                                     the new or revised GRS.
                                     Notifications should be sent to
                                     [email protected] or National
                                     Archives and Records
                                     Administration; Office of the Chief
                                     Records Officer (AC); Attention:
                                     GRS Team, Room 2100; 8601 Adelphi
                                     Road; College Park, Maryland 20740-
                                     6001.
                                    (ii) After reviewing your agency's
                                     notification, NARA may determine
                                     that your agency-specific schedule
                                     is no longer appropriate because of
                                     the passage of time, change in
                                     value of the records, or for other
                                     reasons. NARA will notify your
                                     agency's records officer of the
                                     notification's status within 90
                                     calendar days.
                                    (iii) Agencies may also submit a new
                                     schedule to NARA with a
                                     justification for deviating from
                                     the GRS.
(4) Your agency does not have an    Your agency must follow the
 existing records schedule for       disposition instructions of the
 these records,                      GRS. If your agency's needs require
                                     a different retention period, then
                                     your agency must submit a records
                                     schedule to NARA in accordance with
                                     part 1225 of this subchapter, with
                                     a justification for the deviation.
------------------------------------------------------------------------

    (b) Except as provided in the table in paragraph (a) of this 
section, agencies must disseminate and implement any new or revised GRS 
within 6 months after NARA has issued a new GRS transmittal.


Sec.  1227.13  May NARA apply the GRS to records transferred to the 
National Archives?

    NARA may, at its discretion, apply the provisions of the GRS to 
records in its legal custody, subject to the provisions of part 1235 of 
this subchapter.


Sec.  1227.14  How do I obtain copies of the GRS?

    The GRS and instructions for its use are available online at http://www.archives.gov/records-mgmt/grs/. They are also available by 
contacting [email protected] or writing to NARA at National Archives 
and Records Administration, Office of the Chief Records Officer (AC), 
Attention: GRS Team, Room 2100, 8601 Adelphi Road, College Park, MD 
20740-6001.
0
13. Revise part 1229 to read as follows:

PART 1229--EMERGENCY AUTHORIZATION TO DESTROY RECORDS

Sec.
1229.1 What is the scope of this part?

[[Page 12436]]

1229.10 What steps must agencies take when records are a continuing 
menace to health, life, or property?
1229.12 What are the requirements during a state of war or 
threatened war?

    Authority:  44 U.S.C. 3310 and 3311.


Sec.  1229.1  What is the scope of this part?

    This part describes certain conditions under which agencies may 
destroy records without regard to the provisions of part 1226 of this 
subchapter.


Sec.  1229.10  What steps must agencies take when records are a 
continuing menace to health, life, or property?

    When an agency identifies records that pose a continuing menace to 
human health or life, or to property, the records officer or other 
designee must immediately notify NARA in writing by mail at National 
Archives and Records Administration, Office of the Chief Records 
Officer (AC), 8601 Adelphi Road, College Park, MD 20740-6001, or by 
email at [email protected]. The notification must describe the 
records, their location and quantity, the nature of the menace and, if 
appropriate, the steps taken to reconstruct the records using other 
records and sources of information.
    (a) If NARA concurs that the records must be destroyed, NARA 
notifies the agency to immediately destroy them by an appropriate and 
safe disposal method.
    (b) If NARA does not concur that the records must be destroyed, 
NARA advises the agency of alternative remedial action to address the 
menace.


Sec.  1229.12  What are the requirements during a state of war or 
threatened war?

    (a) Destruction of records outside the territorial limits of the 
continental United States is authorized whenever, during a state of war 
between the United States and any other nation or when hostile action 
appears imminent, the head of the agency that has custody of the 
records determines that their retention would be prejudicial to the 
interests of the United States, or that they occupy space urgently 
needed for military purposes and are without sufficient administrative, 
fiscal, legal, historical, or other value to warrant their continued 
preservation. When it is not feasible for the head of the agency to 
make this determination, the agency's most senior official at the 
location of the records may do so.
    (b) Within six months after the destruction of any records under 
this authorization, the agency official who directed the destruction 
must submit a written statement by mail to NARA at National Archives 
and Records Administration, Office of the Chief Records Officer (AC), 
8601 Adelphi Road, College Park, MD 20740-6001, or by email at 
[email protected]. The statement must include the following:
    (1) An explanation of the reasons for the destruction;
    (2) A description of the records destroyed;
    (3) How, when, and where the records were destroyed;
    (4) A list of destroyed records that can and will be reconstructed 
using other records and sources of information; and
    (5) A list of the records used to reconstruct the destroyed records 
listed in paragraph (b)(4) of this section and assurance that the 
agency will retain these until it has reconstructed the records.
0
14. Revise part 1232 to read as follows:

PART 1232--TRANSFER OF RECORDS TO RECORDS STORAGE FACILITIES

Sec.
1232.10 Where may a Federal agency store records?
1232.12 Under what conditions may agencies store Federal records in 
records storage facilities?
1232.14 What requirements must an agency meet before it transfers 
records to a records storage facility?
1232.16 What must an agency document before transferring records to 
a records storage facility?
1232.18 What procedures must an agency follow to transfer records to 
an agency records center or commercial records storage facility?

    Authority:  44 U.S.C. 2907 and 3103.


Sec.  1232.10  Where may a Federal agency store records?

    Federal agencies may store records in the following types of 
records storage facilities, so long as the facilities meet the facility 
standards in part 1234 of this subchapter. Records transferred to a 
records storage facility remain in the legal custody of the agency.
    (a) NARA Federal Records Centers. NARA owns or operates records 
centers to store, process, and service records for Federal agencies 
(under authority of 44 U.S.C. 2907). These NARA records centers include 
a National Personnel Records Center that contains designated records of 
the Department of Defense, the Office of Personnel Management, and 
other records on former Federal civilian and military employees. For a 
list of NARA Federal Records Centers, consult NARA's Web site at http://www.archives.gov/locations/index.html.
    (b) Records centers operated by or on behalf of one or more Federal 
agencies other than NARA.
    (c) Commercial records storage facilities operated by private 
entities.


Sec.  1232.12  Under what conditions may agencies store Federal records 
in records storage facilities?

    The following chart shows what records agencies can store in a 
records storage facility and the conditions that apply:

------------------------------------------------------------------------
        Type of record                         Conditions
------------------------------------------------------------------------
(a) Permanent records........  Any storage facility that meets the
                                provisions of part 1234 of this
                                subchapter.
(b) Unscheduled records......  (1) Any storage facility that meets the
                                provisions of part 1234 of this
                                subchapter.
                               (2) Also requires prior notification to
                                NARA (see Sec.   1232.14(b)).
(c) Temporary records          Any storage facility that meets the
 (excluding Civilian            provisions of part 1234 of this
 Personnel Records).            subchapter.
(d) Essential records........  Any storage facility that meets the
                                provisions of parts 1223 and 1234 of
                                this subchapter.
(e) Civilian Personnel         Textual must be transferred to the
 Records.                       National Personnel Records Center
                                (NPRC), St. Louis, MO (see part 1233 of
                                this subchapter).
------------------------------------------------------------------------

Sec.  1232.14  What requirements must an agency meet before it 
transfers records to a records storage facility?

    An agency must comply with part 1234 of this subchapter and the 
following requirements before it transfers records to a records storage 
facility:
    (a) Non-paper-based media (e.g., film, audio tape, electronic 
media, etc.), especially those that are unscheduled or scheduled for 
long-term or permanent retention, require more stringent environmental 
controls (see parts 1236 and 1237 of this subchapter).
    (b) Notify NARA in writing prior to transferring unscheduled 
records to a records storage facility, by mail at National Archives and 
Records Administration; Office of the Chief

[[Page 12437]]

Records Officer (AC); 8601 Adelphi Road; College Park, MD 20740-6001, 
or by email at [email protected]. The notification must 
identify the records storage facility and include a copy of the 
information required by Sec.  1232.16(a).
    (c) For all records being transferred, create documentation 
sufficient to identify and locate files. (See Sec.  1232.16.)
    (d) Adhere to NARA-approved retention periods and create and 
maintain records documenting final disposition actions (destruction or 
transfer to NARA).


Sec.  1232.16  What must an agency document before transferring records 
to a records storage facility?

    (a) For each individual records series spanning one or more 
consecutive years, the agency must document the:
    (1) Creating office;
    (2) Series title;
    (3) Description (provide for all transfers, and in the case of 
permanent or unscheduled records, the description must include a folder 
title list of the box contents or equivalent detailed records 
description). For more information on folder title lists, consult 
NARA's Web site at http://www.archives.gov/records-mgmt/accessioning/finding-aid.html;
    (4) Date span (provide both the inclusive start and end dates of 
the records; these indicate the dates on which the records started and 
stopped being created or accumulated);
    (5) Physical form and medium of records (e.g., paper, motion 
picture film, sound recordings, photographs, digital images);
    (6) Volume (assuming a standard-size records box equals 
approximately one cubic foot, provide the total number of boxes 
included in the transfer);
    (7) Citation to NARA-approved records schedule or agency records 
disposition manual (unscheduled records must cite the date the agency 
notified NARA or, if available, the date the agency submitted the 
records schedule to NARA);
    (8) Restrictions on access, if applicable;
    (9) Disposition (``permanent,'' ``temporary,'' or ``unscheduled; 
records schedule pending'');
    (10) Date of disposition action (transfer to NARA or destruction);
    (11) Physical location, including name and address of facility; and
    (12) Control number or identifier used to track the records.
    (b) In the case of permanent and unscheduled records, provide 
copies of the documentation to NARA and advise NARA in writing of the 
new location whenever the records are moved to a new storage facility. 
For permanent records, mail the documentation to National Archives and 
Records Administration; Office of the Chief Records Officer (AC); 8601 
Adelphi Road; College Park, MD 20740-6001, or send via email to 
[email protected], no later than 30 days after the agency 
transfers records to the agency records center or commercial records 
storage facility.


Sec.  1232.18  What procedures must an agency follow to transfer 
records to an agency records center or commercial records storage 
facility?

    Federal agencies must use the following procedures to transfer 
records to an agency records center or commercial records storage 
facility:
    (a) Incorporate into agreements with the storage facility the 
standards in part 1234 of this subchapter and allow for inspections by 
the agency and NARA to ensure compliance. An agency must promptly 
remove records from a facility if the facility does not correct 
deficiencies within six months of the inspection report identifying 
them;
    (b) For temporary records, make available to NARA on request the 
documentation specified in Sec.  1232.16;
    (c) Retain temporary records until the expiration of their NARA-
approved retention period and no longer, except as provided for in 
Sec.  1226.18 of this subchapter;
    (d) Transfer permanent records that have met their retention period 
to NARA in accordance with part 1235 of this subchapter;
    (e) Ensure that the facility stores and maintains records that are 
restricted because they are security classified or exempt from 
disclosure by statute (including the Privacy Act of 1974, 5 U.S.C. 
552a, as amended) or regulation in accordance with applicable laws, 
Executive Orders, or regulations;
    (f) Ensure that the agency destroys temporary records, including 
restricted records (security classified or exempted from disclosure by 
statute (including the Privacy Act of 1974) or regulation, in 
accordance with the requirements specified in Sec.  1226.24 of this 
subchapter;
    (g) Ensure that emergency operating records, as defined in part 
1223 of this subchapter, that are transferred to an agency records 
center or commercial records storage facility are available in 
accordance with Sec.  1223.24 of this subchapter; and
    (h) Provide records access to appropriate NARA staff wherever the 
records are located in order to:
    (1) Conduct an inspection in accordance with part 1239 of this 
subchapter; or
    (2) Process a request for records disposition authority.
0
15. Revise part 1233 to read as follows:

PART 1233--TRANSFER, USE, AND DISPOSITION OF RECORDS IN A NARA 
FEDERAL RECORDS CENTER

Sec.
1233.10 How does an agency transfer records to a NARA Federal 
Records Center (FRC)?
1233.12 How does an agency transfer essential records to a NARA 
Federal Records Center (FRC)?
1233.14 What personnel records must an agency transfer to the 
National Personnel Records Center (NPRC)?
1233.16 How does an agency transfer records to the National 
Personnel Records Center (NPRC)?
1233.18 What reference procedures do NARA Federal Records Centers 
(FRCs) use?
1233.20 How do NARA Federal Records Centers (FRCs) manage records 
disposal clearances?

    Authority:  44 U.S.C. 2907 and 3103.


Sec.  1233.10  How does an agency transfer records to a NARA Federal 
Records Center (FRC)?

    (a) Agencies must meet the requirements for records storage 
described in other parts of this subchapter. NARA ensures that its 
records centers meet the facilities standards in 36 CFR part 1234, so 
using a NARA FRC meets the agency's obligations in Sec.  1232.12 of 
this subchapter.
    (b) Agencies must use the designated NARA FRC(s) named in their 
agreement with NARA's Federal Records Centers Program (AF).
    (c) Before transferring records to a NARA FRC, an agency must 
prepare and submit a Standard Form (SF) 135, Records Transmittal and 
Receipt, or an electronic equivalent. Doing so meets the records 
description requirements in Sec.  1232.14(c) of this subchapter, except 
the requirement for a folder title list. Agencies must provide NARA 
with folder title lists for all permanent and unscheduled records 
transfers and for records that the agency schedules for sampling or 
selection after transfer.
    (d) Agencies must submit a separate SF 135 or electronic equivalent 
for each individual records series having the same disposition 
authority and disposition date.
    (e) For further guidance on transferring records to a NARA FRC, 
consult the NARA Federal Records Centers Program (FRCP) Web site at 
http://www.archives.gov/frc/toolkit.html#transfer. You may also request 
current NARA publications and

[[Page 12438]]

bulletins by writing to NARA at National Archives and Records 
Administration; Federal Records Center Program (AF); 8601 Adelphi Road; 
College Park, MD 20740-6001, or by calling (301) 837-2950. Agencies may 
also contact individual NARA FRCs (see http://www.archives.gov/frc/locations.html for contact information).


Sec.  1233.12  How does an agency transfer essential records to a NARA 
Federal Records Center (FRC)?

    Essential records transfers are governed by the general 
requirements and procedures in this part and part 1223 of this 
subchapter. For assistance in selecting a NARA facility that best meets 
the needs of your agency, write to NARA at National Archives and 
Records Administration; Federal Records Centers Program (AF); 8601 
Adelphi Road; College Park, MD 20740-6001, or by calling (301) 837-
2950.


Sec.  1233.14  What personnel records must an agency transfer to the 
National Personnel Records Center (NPRC)?

    (a) The GRS specifies which Federal civilian personnel, medical, 
and pay records agencies must centrally store at the National Personnel 
Records Center (NPRC) headquartered in St. Louis, MO.
    (b) Agencies should transfer the following types of civilian and 
military medical treatment records to the NPRC:
    (1) Inpatient (hospitalization) records created for all categories 
of patients (active duty military personnel, retirees, and dependents) 
receiving inpatient treatment and extended ambulatory procedures; and
    (2) Outpatient medical treatment records for military retirees, 
dependents, and other civilians treated at military health care 
facilities (excludes active duty military personnel at time of military 
discharge or retirement).


Sec.  1233.16  How does an agency transfer records to the National 
Personnel Records Center (NPRC)?

    Agencies must use the following procedures to transfer records to 
the NPRC:
    (a) Civilian personnel files. (1) Forward the official personnel 
folder (OPF) and the employee medical folder (EMF) to the NPRC at the 
same time;
    (2) Transfer EMFs and OPFs in separate folders;
    (3) Retire individual folders on the basis of the person's date of 
separation, within 90 to 120 days after the employee separates from 
Federal service;
    (4) For additional guidance, write to the Office of Personnel 
Management (OPM); 1900 E Street NW., Washington, DC 20415, or call 
(202) 606-1800. The OPM publication, ``The Guide to Personnel 
Recordkeeping,'' which includes procedures for transferring OPFs and 
EMFs, is available online at http://www.opm.gov/feddata/recguide2008.pdf.
    (b) Military medical records. Military health care facilities 
should contact their facility records managers for guidance on 
transferring medical records to NPRC. For additional guidance, consult 
the ``Transactions with the National Personnel Records Center (NPRC), 
St. Louis, MO'' section of the NARA FRCP Web site at http://www.archives.gov/frc/toolkit.html#transactions.
    (c) Other guidance. For further guidance, consult the NPRC Web site 
at http://www.archives.gov/facilities/mo/st_louis.html.


Sec.  1233.18  What reference procedures do NARA Federal Records 
Centers (FRCs) use?

    (a) Agency records transferred to a NARA FRC remain in the legal 
custody of the originating agency. NARA acts as the agency's agent to 
maintain the records. NARA discloses the record only to the originating 
agency that retains legal custody, or under rules established by that 
agency that are consistent with existing laws.
    (b) For general reference requests, agencies should use the Federal 
Records Centers Program (FRCP) electronic system or the Optional Form 
(OF) 11, Reference Request--Federal Records Centers, or its electronic 
equivalent. The agency and NARA jointly designate this form.
    (c) For civilian personnel records requests, agencies must use the 
following forms:
    (1) Standard Form 127, Request for Official Personnel Folder 
(Separated Employee), to request transmission of separated employee 
personnel folders stored at the National Personnel Records Center 
(NPRC). Additional instructions on requesting OPFs are available online 
at http://www.archives.gov/st-louis/civilian-personnel/federal-agencies.html.
    (2) Standard Form 184, Request for Employee Medical Folder 
(Separated Employee), to request medical folders stored at the NPRC. 
Additional instructions on requesting EMFs are available online at 
http://www.archives.gov/st-louis/civilian-personnel/federal-agencies.html.
    (3) Optional Form 11, Reference Request--Federal Records Center, to 
request medical records transferred to other NARA FRCs prior to 
September 1, 1984. The request must include the name and address of the 
agency's designated medical records manager. The form and additional 
instructions are available online at http://www.archives.gov/frc/forms/of-11.pdf.
    (4) National Archives Form 14136, Request Pertaining to Civilian 
Conservation Corps (CCC) Personnel Records, to request records relating 
to the CCC. The form, as well as additional instructions, is available 
online at http://www.archives.gov/st-louis/archival-programs/civilian-personnel-archival/ccc-holdings-access.html.
    (5) National Archives Form 14137, Request Pertaining to Works 
Progress Administration (WPA) Personnel Records, to request records 
relating to the WPA. The form, as well as additional instructions, is 
available online at http://www.archives.gov/st-louis/archival-programs/civilian-personnel-archival/wpa-holdings-access.html.
    (d) For military personnel records requests, agencies and other 
requesters must use the following methods:
    (1) Federal agencies must use Standard Form (SF) 180, Request 
Pertaining to Military Records, to obtain information from military 
service records in the NPRC (Military Personnel Records). The form is 
available online at http://www.archives.gov/veterans/military-service-records/standard-form-180.html#sf, or by writing to the National 
Personnel Records Center (Military Personnel Records); 1 Archives 
Drive; St. Louis, MO 63138. OMB Control Number 3095-0029 covers SF 180.
    (2) Authorized agencies requesting the loan of a military personnel 
record may order records using eMilrecs (electronic equivalent of the 
SF 180). Access to eMilrecs and additional information is available 
online at http://www.archives.gov/st-louis/military-personnel/agencies/ompf-fed-agency.html.
    (3) A military veteran or the next of kin of a deceased veteran may 
order military personnel records by submitting an SF 180 or an online 
records request. We may be permitted, under certain circumstances, to 
provide surviving next of kin greater access to a deceased veteran's 
records than a member of the general public. Additional information is 
available online at http://www.archives.gov/veterans/military-service-records/.
    (4) Members of the public and non-governmental organizations may 
also request military personnel records by submitting an SF 180. To 
request information from another person's military personnel records, 
you must have the release authorization in

[[Page 12439]]

Section III of the SF 180 signed by the member or legal guardian. If 
you cannot obtain the appropriate signature, we can only provide 
limited information.
    (5) For guidance on requesting original medical treatment records, 
military hospitals and clinics should consult the ``Medical Treatment 
Records'' Web page at http://www.archives.gov/st-louis/military-personnel/other-medical-records.html.
    (e) For further guidance on requesting records from a NARA FRC, 
consult the NARA Federal Records Centers Program Web site at http://www.archives.gov/frc/toolkit.html#retrieval. You may also request 
current NARA publications and bulletins by contacting the FRCP, or 
individual NARA Federal Records Centers (see http://www.archives.gov/frc/locations.html for contact information).


Sec.  1233.20  How do NARA Federal Records Centers (FRCs) manage 
records disposal clearances?

    (a) The National Personnel Records Center destroys records covered 
by General Records Schedules (GRS) in accordance with those schedules 
without further agency clearance.
    (b) For records not covered under a GRS, NARA FRCs destroy eligible 
Federal records only with the written concurrence of the agency having 
legal custody of the records.
    (c) NARA FRCs maintain documentation on the final disposition of 
records, as required in Sec.  1232.14(d) of this subchapter.
    (d) When NARA approves an extension of retention period beyond the 
time authorized in the records schedule for records stored in NARA 
FRCs, NARA notifies the affected Federal Records Centers to suspend 
disposal of the records (see Sec.  1226.18 of this subchapter for more 
specific guidance on when agencies may temporarily extend retention 
periods).
    (e) For further guidance on records disposition, consult the NARA 
FRCP Web site at http://www.archives.gov/frc/toolkit.html#disposition. 
You may also request current NARA publications and bulletins by 
contacting the FRCP or individual NARA Federal Records Centers (see 
http://www.archives.gov/frc/locations.html for contact information).
0
16. Revise part 1239 to read as follows:

PART 1239--PROGRAM ASSISTANCE AND INSPECTIONS

Sec.
Subpart A--General
1239.1 What is the scope of this part?
1239.3 What definitions apply to this part?
Subpart B--Program Assistance
1239.10 What program assistance does NARA provide?
1239.12 Who may agencies contact to request program assistance?
Subpart C--Inspections
1239.20 When does NARA inspect an agency?
1239.22 How does NARA notify the agency of the inspection?
1239.24 How does NARA conduct an inspection?
1239.26 What are an agency's follow-up obligations after it receives 
an inspection report?

    Authority:  44 U.S.C. 2904 and 2906.

Subpart A--General


Sec.  1239.1  What is the scope of this part?

    NARA's statutory authorities include assisting agencies to carry 
out their records management responsibilities and, when necessary, 
inspecting agency programs and reporting to Congress on those 
inspections. Part 1239 identifies the types of records management 
guidance and program assistance NARA provides to agencies under its 44 
U.S.C. chapter 29 mandate; the conditions under which NARA invokes its 
inspection authority, also under chapter 29; and the requirements for 
agencies to cooperate fully in such inspections.


Sec.  1239.3  What definitions apply to this part?

    In addition to the definitions in part 1220 that apply to all of 
Subchapter B including this part, the following definition applies only 
to part 1239:
    Inspection means NARA's formal review and report on an agency's 
recordkeeping processes, under 44 U.S.C. 2904(c) and 2906(a). NARA's 
formal review and report focus on those practices that put records 
meeting one or more of the following criteria at risk:
    (1) Have a direct and high impact on legal rights or government 
accountability;
    (2) Are the subject of high profile litigation, Congressional 
attention, or widespread media coverage;
    (3) Have high research potential; or
    (4) Are permanent records with a large volume, regardless of 
format.

Subpart B--Program Assistance


Sec.  1239.10  What program assistance does NARA provide?

    (a) NARA publishes handbooks, conducts workshops and other training 
sessions, and furnishes information and guidance to agencies on 
creating, maintaining, using, and disposing of records. NARA may also 
conduct an assistance project in cooperation with an agency to address 
a serious records management issue in the agency.
    (b) For information on NARA handbooks and guidance, consult NARA's 
Web site at http://www.archives.gov/records-mgmt/.
    (c) For information on NARA training, consult NARA's Web site at 
http://www.archives.gov/records-mgmt/training/.


Sec.  1239.12  Who may agencies contact to request program assistance?

    Agencies may write to NARA at National Archives and Records 
Administration; Office of the Chief Records Officer (AC); 8601 Adelphi 
Road; College Park, MD 20740-6001 for information or assistance related 
to any area covered by this subchapter.

Subpart C--Inspections


Sec.  1239.20  When does NARA inspect an agency?

    (a) NARA may inspect when it identifies risks through:
    (1) An agency failing to address specific records management 
problems;
    (2) Internal or external records management assessments;
    (3) Reports in the media;
    (4) Congressional inquiries;
    (5) Allegations of unauthorized destruction;
    (6) Reports issued by the GAO or an agency's Inspector General;
    (7) Observations by NARA staff members; or
    (8) An agency head, who then can request that NARA conduct an 
inspection.
    (b) NARA may also inspect to assess an agency's compliance with 
records management statutes and regulations.
    (c) NARA may also inspect an agency's implementation of records 
management policies, guidance, and principles to validate the 
following:
    (1) Reports of unique or innovative methods;
    (2) Low risk scores on assessments; or
    (3) NARA staff members' observation of sound practices.
    (d) NARA reports to Congress and the Office of Management and 
Budget on inspections in accordance with 44 U.S.C. 2904.


Sec.  1239.22  How does NARA notify the agency of the inspection?

    (a) Once NARA identifies the need for an agency inspection, the 
Archivist of the United States sends a letter to the head of the 
agency. If the agency is a component of a cabinet department, the 
Archivist also sends a copy to the head of the cabinet department. NARA 
also sends a copy to the agency's records officer. The letter includes:

[[Page 12440]]

    (1) Notice that NARA intends to conduct an inspection;
    (2) Which records management processes or procedures NARA is 
evaluating, and any specific issues;
    (3) A beginning date for the inspection that is no more than 30 
business days after the date of the letter; and
    (4) A request for an agency point of contact to assist NARA as it 
conducts the inspection.
    (b) If the agency does not respond to NARA's notification letter, 
NARA reports the matter to the agency's Congressional oversight 
committee and to the Office of Management and Budget, under its 44 
U.S.C. 2904(c)(8) statutory authority.


Sec.  1239.24  How does NARA conduct an inspection?

    (a) The NARA inspection team leader coordinates with the agency 
point of contact to arrange an initial meeting with the agency. The 
initial meeting addresses the scope of the inspection, including its 
parameters, any surveys or other inspection instruments, involved 
offices, and timing of site visits.
    (b) NARA prepares a draft inspection report and transmits it to the 
agency no later than 45 business days after the last site visit or 
meeting. The report includes:
    (1) An executive summary;
    (2) Background and purpose of inspection;
    (3) Inspection methodology, including offices visited;
    (4) Findings;
    (5) Necessary corrective actions and other recommendations; and
    (6) Any necessary appendices.
    (c) The agency must submit its comments on the draft report no 
later than 45 business days after receipt.
    (d) NARA incorporates any necessary corrections or revisions in the 
final report and issues the report to the head of the agency within 45 
business days.


Sec.  1239.26  What are an agency's follow-up obligations after it 
receives an inspection report?

    (a) The agency must submit to NARA a plan of corrective action that 
specifies how the agency will address each inspection report 
recommendation, including a timeline for completion, and proposed 
progress reporting dates.
    (b) The agency must submit the plan of corrective action to NARA 
within 60 business days of the date of the final report.
    (c) NARA may take up to 60 business days to review and comment on 
the plan.
    (d) Once both NARA and the agency agree that the plan of corrective 
action is final, the agency must submit progress reports to NARA.
    (e) The agency submits the reports on a mutually agreed-upon 
schedule, but no less frequently than semi-annually, until it completes 
all actions.

    Dated: March 2, 2016.
David S. Ferriero,
Archivist of the United States.
[FR Doc. 2016-05150 Filed 3-8-16; 8:45 am]
 BILLING CODE 7515-01-P
12432 Federal Register / Vol. 81, No. 46 / Wednesday, March 9, 2016 / Proposed Rules

NATIONAL ARCHIVES AND RECORDS SUPPLEMENTARY INFORMATION: The Proposed Part 1224, Records Disposition
ADMINISTRATION proposed revisions to the Federal Programs
records management regulations This part specifies the elements of a
36 CFR Parts 1223, 1224, 1227, 1229, contained in 36 CFR Chapter XII, records disposition program and the
1232, 1233, and 1239 Subchapter B, affect Federal agencies’ integration of records management into
[FDMS No. NARA–16–0001; NARA–2016– records management programs in the an agency’s business processes. Details
014] areas of managing essential (formerly for the program functions, such as
RIN 3095–AB74 referred to as ‘‘vital’’) records, records scheduling, retention, and disposition of
disposition programs, the General records are found in parts 1225, 1226,
Records Management Records Schedules, emergency 1227, 1235, and 1236. We added records
authorizations to destroy records, disposition provisions to part 1224 for
AGENCY: National Archives and Records storage of records in records storage circumstances where multiple agencies
Administration (NARA). facilities, and NARA assistance and collaborate on a project or initiative.
ACTION: Proposed rules. inspection programs. We are making Proposed Part 1227, General Records
SUMMARY: NARA proposes to revise its administrative changes, such as Schedules
records management regulations to updating office names and This part explains General Records
reflect changes in technology, practice, organizational codes, updating URLs, Schedules (GRS) and when the GRS
and organizational structure. This is and adding new links to NARA’s must be used by agencies. We added the
phase I of the revisions and includes records management Web pages. We are section for application of the GRS to
changes to provisions in regulations on removing repetitive definitions sections records that have been transferred into
managing vital records, records from each part to a centralized the National Archives of the United
disposition programs, general records definitions part (to come in part 1220) States and subject to the provisions in
schedules, emergency authorization to applying to all parts (streamlining under 36 CFR 1235.34.
destroy records, transfer of records to the Paperwork Reduction Act) and
records storage facilities, transfer, use, Proposed Part 1229, Emergency
removing repetitive authorities sections
and disposition of records in a NARA Authorization To Destroy Records
from each part because authorities are
Federal Records Center, and program noted under the table of contents This part outlines the steps agencies
assistance and inspections. (streamlining under the Paperwork must take when they discover records
DATES: Submit comments on or before Reduction Act). We are making other are a continuing menace to human
May 9, 2016. minor editorial changes for consistency health or life, or to property, or when
ADDRESSES: You may submit comments, among parts and revising some language destruction of records is necessary
identified by RIN 3095–AB74, by any of to comply with Plain Language during a state of war or threatened war
the following methods: requirements. outside of the continental United States.
• Federal eRulemaking Portal: http:// We have added the requirement in
We are replacing references to the § 1229.12(b) that if records are destroyed
www.regulations.gov. Follow the Standard Form 115 (SF 115), Request for
instructions for submitting comments. during a state of war or threatened war
Disposition Authority, with ‘‘records that agencies must provide NARA with
• Email: Regulation_comments@
schedule’’ because we now use the a list of the destroyed records that can
nara.gov. Include RIN 3095–AB74 in the
Electronic Records Archives (ERA) for and will be reconstructed, the records
subject line of the message.
scheduling records and no longer accept used to reconstruct the destroyed
• Fax: 301–837–0319. Include RIN
3095–AB74 in the subject line of the fax SF 115s, except when special records, and assurance that these
cover sheet. circumstances merit its use. We have records will be retained until after
• Mail (for paper, disk, or CD–ROM made revision to incorporate use of the reconstruction.
submissions. Include RIN 3095–AB74 ERA throughout the records
Proposed Part 1232, Transfer of Records
on the submission): Regulations management regulations, including
to Records Storage Facilities
Comment Desk (Strategy & Performance revising references to the SF 115.
This part provides procedures of the
Division (SP)); Suite 4100; National Discussion of Proposed Rule Revisions transfer of records to a NARA, agency-
Archives and Records Administration;
Proposed Part 1223, Managing Vital operated, or commercial records storage
8601 Adelphi Road; College Park, MD
Records facility. There are no substantive
20740–6001.
changes from the existing part.
• Hand delivery or courier: Deliver
comments to front desk at the address This part sets out the necessary Proposed Part 1233, Transfer, Use and
above. actions that each agency must take to Disposition of Records in NARA
Instructions: All submissions must ensure proper and adequate Records Center
include NARA’s name and the documentation of continuing agency
This part provide procedures that
regulatory information number for this operations in the event of activation of
apply to the use of NARA’s Federal
rulemaking (RIN 3095–AB74). We may an agency continuity plan. We have also
Records Center Program. There are no
publish any comments we receive changed the term ‘‘vital’’ records to
substantive changes from the existing
without changes, including any ‘‘essential’’ records to mirror the term part.
personal information you include. FEMA used in Federal Continuity
Lhorne on DSK5TPTVN1PROD with PROPOSALS

FOR FURTHER INFORMATION CONTACT: Directive 1 (FCD–1, 2012). Certain Proposed Part 1239, Program Assistance
Laura McCarthy, by email at regulation_ Federal agencies were using the term and Inspections
comments@nara.gov, or by telephone at ‘‘vital records’’ in another context with The material in proposed part 1239
301–837–3023. You may also find more a different meaning, so we decided to relating to program assistance NARA
information about records management change to ‘‘essential records’’ both to be provides to agencies is drawn from the
at NARA on NARA’s Web site at parallel with FCD–1 and to reduce existing part 1239 with no substantive
http://www.archives.gov/records-mgmt/ confusion among agencies. changes. We have proposed changes to

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agency keeps records until eligible for § 1223.16 How do agencies identify protection method, they normally use
final disposition. Agencies may keep essential records? the copy of the original essential record
essential records at off-site storage to Agencies identify essential records in as the version stored off-site. The agency
ensure that they are not damaged or the context of the emergency may store the original records off-site if
destroyed should an emergency occur in management function. Essential records their protection is necessary, or if the
an agency’s normal place of business. are those the agency needs to perform agency does not need to keep the
its most critical functions and those the original records at its normal place of
§§ 1223.3 and 1233.4 [Removed] agency needs to protect the legal and business.
■ 5. Remove §§ 1223.3 and 1223.4. financial rights of the Government and (b) Dispersal. Once agencies duplicate
■ 6. Revise § 1223.10 to read as follows: the people affected by its actions. the records, they must disperse the
Essential records also include copies to sites a sufficient distance away
§ 1223.10 What is the purpose of part
1223? emergency plans and related records to avoid them being subject to the same
that specify how an agency will respond emergency. Agencies may use other
Part 1223 specifies policies and office locations, off-site locations, or
to an emergency. The informational
procedures an agency needs to identify, storage facilities maintained by a third
content of records series and electronic
protect, and manage essential records as party as dispersal sites.
records systems determines which
part of any agency’s continuity of (c) Storage considerations. Copies of
records are essential. Only the most
operation plan designed to meet emergency operating records must be
recent and complete sources of the
emergency management responsibilities. readily available for use within 12 hours
■ 7. Amend § 1223.12 by:
information are essential records.
following the activation of agency
■ a. Revising the section heading. § 1223.18 Must agencies maintain continuity plans. Agencies may not
■ b. Amending the introductory text to essential records in a particular form or need copies of legal and financial rights
remove ‘‘A vital’’ and add in its place format? records as quickly. When deciding
the words ‘‘An essential.’’ (a) Essential records can be original where to store essential record copies,
■ c. Amend paragraph (a) by removing records or copies of records. Consult agencies must treat records that have the
‘‘It provides’’ and adding in its place NARA records management guidance on properties of both categories, that is,
‘‘To provide’’ and removing the word essential records at http:// both emergency operating and legal and
‘‘to’’ before the word ‘‘resume.’’ www.archives.gov/records-mgmt/vital- financial rights records, as emergency
■ d. Amend paragraph (b) by removing records/index.html for further operating records.
‘‘It enables’’ and adding in its place ‘‘To information. (1) Agencies may store copies of legal
enable’’ and removing the word (b) Agencies may maintain essential and financial rights essential records at
‘‘persons’’ and adding in its place the records on a variety of media, including an off-site agency location or, in
word ‘‘people.’’ paper, photographic film, microform, accordance with § 1233.12, at a NARA
The revision reads as follows: and electronic forms. In selecting the records storage facility.
§ 1223.12 What are the objectives of an
media (such as magnetic tape or optical (2) In accordance with § 1233.12,
essential records program? disk), agencies must ensure that the when using a NARA records storage
hardware, software, and documentation facility for storing legal and financial
* * * * *
it needs to access records will be essential records that are duplicate
■ 8. Revise §§ 1223.14, 1223.16, and
available following an emergency or copies of original records, the agency
1223.18 to read as follows:
disaster. The agency may store essential must specify on the SF 135, Records
§ 1223.14 What elements must agencies records it maintains electronically in Transmittal and Receipt, or equivalent
include in essential records programs? shared data and computing services via that they are essential records (duplicate
(a) To achieve compliance with this the Internet or a Virtual Private copies) and the medium on which they
section, an agency must include in its Network. are maintained. The agency must also
essential records program all of the ■ 9. Amend § 1223.20 by revising the periodically cycle them by removing
following elements: section heading and the first sentence, obsolete items and replacing them with
(1) Specified agency staff to read as follows: the most recent versions in accordance
responsibilities; with NARA’s General Records Schedule
§ 1223.20 What are the requirements for
(2) Methods to appropriately inform accessing essential records during an
(GRS) covering essential records.
all staff about essential records; emergency? § 1223.24 When can agencies destroy
(3) Processes to ensure current and Agencies must establish procedures essential records?
complete designation of essential for retrieving and accessing essential
records; NARA-approved records schedules
records. * * * (see part 1225, Scheduling Records, of
(4) Adequate protections for the ■ 10. Revise §§ 1223.22 and 1223.24 to
essential records; this subchapter) govern disposition of
read as follows: essential records that are original
(5) Procedures to ensure access to and
immediate use of the essential records § 1223.22 How must agencies protect records. Agencies must not destroy
when needed; essential records? original records that are not scheduled.
(6) Annual review and testing of the Agencies must take appropriate Agencies may destroy duplicate copies
program, and training for applicable measures to ensure they protect and it created and maintained for essential
staff; and provide access to essential records or records purposes when they are
superseded or obsolete, in accordance
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(b) Additional Continuity of copies of essential records in case of an
Operations guidance for essential emergency. with NARA’s GRS.
■ 11. Revise part 1224 to read as
records provided in the Federal (a) Duplication. Agencies may choose
Continuity Directive (FCD–1) is to duplicate essential records as the follows:
published by the Federal Emergency primary protection method. Duplication PART 1224—RECORDS DISPOSITION
Management Agency (FEMA) and can be to the same medium as the PROGRAMS
available on FEMA’s Web site at http:// original record or to a different medium.
www.fema.gov/guidance-directives. When agencies choose duplication as a Sec.

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1229.10 What steps must agencies take the records determines that their 1232.14 What requirements must an agency
when records are a continuing menace to retention would be prejudicial to the meet before it transfers records to a
health, life, or property? interests of the United States, or that records storage facility?
1229.12 What are the requirements during a 1232.16 What must an agency document
state of war or threatened war?
they occupy space urgently needed for
military purposes and are without before transferring records to a records
Authority: 44 U.S.C. 3310 and 3311. sufficient administrative, fiscal, legal, storage facility?
historical, or other value to warrant 1232.18 What procedures must an agency
§ 1229.1 What is the scope of this part?
their continued preservation. When it is follow to transfer records to an agency
This part describes certain conditions records center or commercial records
not feasible for the head of the agency
under which agencies may destroy storage facility?
to make this determination, the agency’s
records without regard to the provisions
most senior official at the location of the Authority: 44 U.S.C. 2907 and 3103.
of part 1226 of this subchapter.
records may do so.
§ 1229.10 What steps must agencies take (b) Within six months after the § 1232.10 Where may a Federal agency
when records are a continuing menace to destruction of any records under this store records?
health, life, or property? authorization, the agency official who Federal agencies may store records in
When an agency identifies records directed the destruction must submit a the following types of records storage
that pose a continuing menace to human written statement by mail to NARA at facilities, so long as the facilities meet
health or life, or to property, the records National Archives and Records the facility standards in part 1234 of this
officer or other designee must Administration, Office of the Chief subchapter. Records transferred to a
immediately notify NARA in writing by Records Officer (AC), 8601 Adelphi records storage facility remain in the
mail at National Archives and Records Road, College Park, MD 20740–6001, or legal custody of the agency.
Administration, Office of the Chief by email at RM.Communications@
Records Officer (AC), 8601 Adelphi nara.gov. The statement must include (a) NARA Federal Records Centers.
Road, College Park, MD 20740–6001, or the following: NARA owns or operates records centers
by email at RM.Communications@ (1) An explanation of the reasons for to store, process, and service records for
nara.gov. The notification must describe the destruction; Federal agencies (under authority of 44
the records, their location and quantity, (2) A description of the records U.S.C. 2907). These NARA records
the nature of the menace and, if destroyed; centers include a National Personnel
appropriate, the steps taken to (3) How, when, and where the records Records Center that contains designated
reconstruct the records using other were destroyed; records of the Department of Defense,
records and sources of information. (4) A list of destroyed records that can the Office of Personnel Management,
(a) If NARA concurs that the records and will be reconstructed using other and other records on former Federal
must be destroyed, NARA notifies the records and sources of information; and civilian and military employees. For a
agency to immediately destroy them by (5) A list of the records used to list of NARA Federal Records Centers,
an appropriate and safe disposal reconstruct the destroyed records listed consult NARA’s Web site at http://
method. in paragraph (b)(4) of this section and www.archives.gov/locations/index.html.
(b) If NARA does not concur that the assurance that the agency will retain (b) Records centers operated by or on
records must be destroyed, NARA these until it has reconstructed the behalf of one or more Federal agencies
advises the agency of alternative records. other than NARA.
remedial action to address the menace. ■ 14. Revise part 1232 to read as
follows: (c) Commercial records storage
§ 1229.12 What are the requirements facilities operated by private entities.
during a state of war or threatened war? PART 1232—TRANSFER OF RECORDS
(a) Destruction of records outside the TO RECORDS STORAGE FACILITIES § 1232.12 Under what conditions may
agencies store Federal records in records
territorial limits of the continental storage facilities?
Sec.
United States is authorized whenever, 1232.10 Where may a Federal agency store
during a state of war between the United records? The following chart shows what
States and any other nation or when 1232.12 Under what conditions may records agencies can store in a records
hostile action appears imminent, the agencies store Federal records in records storage facility and the conditions that
head of the agency that has custody of storage facilities? apply:

Type of record Conditions

(a) Permanent records ........................................ Any storage facility that meets the provisions of part 1234 of this subchapter.
(b) Unscheduled records .................................... (1) Any storage facility that meets the provisions of part 1234 of this subchapter.
(2) Also requires prior notification to NARA (see § 1232.14(b)).
(c) Temporary records (excluding Civilian Per- Any storage facility that meets the provisions of part 1234 of this subchapter.
sonnel Records).
(d) Essential records ........................................... Any storage facility that meets the provisions of parts 1223 and 1234 of this subchapter.
(e) Civilian Personnel Records ........................... Textual must be transferred to the National Personnel Records Center (NPRC), St. Louis, MO
(see part 1233 of this subchapter).
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§ 1232.14 What requirements must an transfers records to a records storage environmental controls (see parts 1236
agency meet before it transfers records to facility: and 1237 of this subchapter).
a records storage facility? (a) Non-paper-based media (e.g., film, (b) Notify NARA in writing prior to
An agency must comply with part audio tape, electronic media, etc.), transferring unscheduled records to a
1234 of this subchapter and the especially those that are unscheduled or records storage facility, by mail at
following requirements before it scheduled for long-term or permanent National Archives and Records
retention, require more stringent Administration; Office of the Chief

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Records Officer (AC); 8601 Adelphi new storage facility. For permanent (2) Process a request for records
Road; College Park, MD 20740–6001, or records, mail the documentation to disposition authority.
by email at RM.Communications@ National Archives and Records ■ 15. Revise part 1233 to read as
nara.gov. The notification must identify Administration; Office of the Chief follows:
the records storage facility and include Records Officer (AC); 8601 Adelphi
a copy of the information required by Road; College Park, MD 20740–6001, or PART 1233—TRANSFER, USE, AND
§ 1232.16(a). send via email to RM.Communications@ DISPOSITION OF RECORDS IN A
(c) For all records being transferred, nara.gov, no later than 30 days after the NARA FEDERAL RECORDS CENTER
create documentation sufficient to agency transfers records to the agency Sec.
identify and locate files. (See § 1232.16.) records center or commercial records 1233.10 How does an agency transfer
(d) Adhere to NARA-approved storage facility. records to a NARA Federal Records
retention periods and create and Center (FRC)?
§ 1232.18 What procedures must an
maintain records documenting final agency follow to transfer records to an
1233.12 How does an agency transfer
disposition actions (destruction or essential records to a NARA Federal
agency records center or commercial
transfer to NARA). records storage facility? Records Center (FRC)?
1233.14 What personnel records must an
§ 1232.16 What must an agency document Federal agencies must use the agency transfer to the National Personnel
before transferring records to a records following procedures to transfer records Records Center (NPRC)?
storage facility? to an agency records center or 1233.16 How does an agency transfer
(a) For each individual records series commercial records storage facility: records to the National Personnel
spanning one or more consecutive years, (a) Incorporate into agreements with Records Center (NPRC)?
the storage facility the standards in part 1233.18 What reference procedures do
the agency must document the: NARA Federal Records Centers (FRCs)
(1) Creating office; 1234 of this subchapter and allow for
inspections by the agency and NARA to use?
(2) Series title; 1233.20 How do NARA Federal Records
(3) Description (provide for all ensure compliance. An agency must
Centers (FRCs) manage records disposal
transfers, and in the case of permanent promptly remove records from a facility clearances?
or unscheduled records, the description if the facility does not correct
deficiencies within six months of the Authority: 44 U.S.C. 2907 and 3103.
must include a folder title list of the box
contents or equivalent detailed records inspection report identifying them; § 1233.10 How does an agency transfer
description). For more information on (b) For temporary records, make records to a NARA Federal Records Center
folder title lists, consult NARA’s Web available to NARA on request the (FRC)?
site at http://www.archives.gov/records- documentation specified in § 1232.16; (a) Agencies must meet the
(c) Retain temporary records until the
mgmt/accessioning/finding-aid.html; requirements for records storage
expiration of their NARA-approved
(4) Date span (provide both the described in other parts of this
retention period and no longer, except
inclusive start and end dates of the subchapter. NARA ensures that its
as provided for in § 1226.18 of this
records; these indicate the dates on records centers meet the facilities
subchapter;
which the records started and stopped (d) Transfer permanent records that standards in 36 CFR part 1234, so using
being created or accumulated); have met their retention period to a NARA FRC meets the agency’s
(5) Physical form and medium of NARA in accordance with part 1235 of obligations in § 1232.12 of this
records (e.g., paper, motion picture film, this subchapter; subchapter.
sound recordings, photographs, digital (e) Ensure that the facility stores and (b) Agencies must use the designated
images); maintains records that are restricted NARA FRC(s) named in their agreement
(6) Volume (assuming a standard-size because they are security classified or with NARA’s Federal Records Centers
records box equals approximately one exempt from disclosure by statute Program (AF).
cubic foot, provide the total number of (including the Privacy Act of 1974, 5 (c) Before transferring records to a
boxes included in the transfer); U.S.C. 552a, as amended) or regulation NARA FRC, an agency must prepare and
(7) Citation to NARA-approved in accordance with applicable laws, submit a Standard Form (SF) 135,
records schedule or agency records Executive Orders, or regulations; Records Transmittal and Receipt, or an
disposition manual (unscheduled (f) Ensure that the agency destroys electronic equivalent. Doing so meets
records must cite the date the agency temporary records, including restricted the records description requirements in
notified NARA or, if available, the date records (security classified or exempted § 1232.14(c) of this subchapter, except
the agency submitted the records from disclosure by statute (including the the requirement for a folder title list.
schedule to NARA); Privacy Act of 1974) or regulation, in Agencies must provide NARA with
(8) Restrictions on access, if accordance with the requirements folder title lists for all permanent and
applicable; specified in § 1226.24 of this unscheduled records transfers and for
(9) Disposition (‘‘permanent,’’ subchapter; records that the agency schedules for
‘‘temporary,’’ or ‘‘unscheduled; records (g) Ensure that emergency operating sampling or selection after transfer.
schedule pending’’); records, as defined in part 1223 of this (d) Agencies must submit a separate
(10) Date of disposition action subchapter, that are transferred to an SF 135 or electronic equivalent for each
(transfer to NARA or destruction); agency records center or commercial individual records series having the
(11) Physical location, including records storage facility are available in same disposition authority and
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name and address of facility; and accordance with § 1223.24 of this disposition date.
(12) Control number or identifier used subchapter; and (e) For further guidance on
to track the records. (h) Provide records access to transferring records to a NARA FRC,
(b) In the case of permanent and appropriate NARA staff wherever the consult the NARA Federal Records
unscheduled records, provide copies of records are located in order to: Centers Program (FRCP) Web site at
the documentation to NARA and advise (1) Conduct an inspection in http://www.archives.gov/frc/
NARA in writing of the new location accordance with part 1239 of this toolkit.html#transfer. You may also
whenever the records are moved to a subchapter; or request current NARA publications and

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bulletins by writing to NARA at DC 20415, or call (202) 606–1800. The name and address of the agency’s
National Archives and Records OPM publication, ‘‘The Guide to designated medical records manager.
Administration; Federal Records Center Personnel Recordkeeping,’’ which The form and additional instructions are
Program (AF); 8601 Adelphi Road; includes procedures for transferring available online at http://
College Park, MD 20740–6001, or by OPFs and EMFs, is available online at www.archives.gov/frc/forms/of-11.pdf.
calling (301) 837–2950. Agencies may http://www.opm.gov/feddata/ (4) National Archives Form 14136,
also contact individual NARA FRCs (see recguide2008.pdf. Request Pertaining to Civilian
http://www.archives.gov/frc/ (b) Military medical records. Military Conservation Corps (CCC) Personnel
locations.html for contact information). health care facilities should contact Records, to request records relating to
their facility records managers for the CCC. The form, as well as additional
§ 1233.12 How does an agency transfer guidance on transferring medical instructions, is available online at
essential records to a NARA Federal http://www.archives.gov/st-louis/
records to NPRC. For additional
Records Center (FRC)?
guidance, consult the ‘‘Transactions archival-programs/civilian-personnel-
Essential records transfers are with the National Personnel Records archival/ccc-holdings-access.html.
governed by the general requirements Center (NPRC), St. Louis, MO’’ section (5) National Archives Form 14137,
and procedures in this part and part of the NARA FRCP Web site at http:// Request Pertaining to Works Progress
1223 of this subchapter. For assistance www.archives.gov/frc/ Administration (WPA) Personnel
in selecting a NARA facility that best toolkit.html#transactions. Records, to request records relating to
meets the needs of your agency, write to (c) Other guidance. For further the WPA. The form, as well as
NARA at National Archives and Records guidance, consult the NPRC Web site at additional instructions, is available
Administration; Federal Records http://www.archives.gov/facilities/mo/ online at http://www.archives.gov/st-
Centers Program (AF); 8601 Adelphi st_louis.html. louis/archival-programs/civilian-
Road; College Park, MD 20740–6001, or personnel-archival/wpa-holdings-
by calling (301) 837–2950. § 1233.18 What reference procedures do access.html.
NARA Federal Records Centers (FRCs) (d) For military personnel records
§ 1233.14 What personnel records must an use? requests, agencies and other requesters
agency transfer to the National Personnel
(a) Agency records transferred to a must use the following methods:
Records Center (NPRC)?
NARA FRC remain in the legal custody (1) Federal agencies must use
(a) The GRS specifies which Federal of the originating agency. NARA acts as Standard Form (SF) 180, Request
civilian personnel, medical, and pay the agency’s agent to maintain the Pertaining to Military Records, to obtain
records agencies must centrally store at records. NARA discloses the record only information from military service
the National Personnel Records Center to the originating agency that retains records in the NPRC (Military Personnel
(NPRC) headquartered in St. Louis, MO. legal custody, or under rules established Records). The form is available online at
(b) Agencies should transfer the by that agency that are consistent with http://www.archives.gov/veterans/
following types of civilian and military existing laws. military-service-records/standard-form-
medical treatment records to the NPRC: (b) For general reference requests, 180.html#sf, or by writing to the
(1) Inpatient (hospitalization) records agencies should use the Federal Records National Personnel Records Center
created for all categories of patients Centers Program (FRCP) electronic (Military Personnel Records); 1 Archives
(active duty military personnel, retirees, system or the Optional Form (OF) 11, Drive; St. Louis, MO 63138. OMB
and dependents) receiving inpatient Reference Request—Federal Records Control Number 3095–0029 covers SF
treatment and extended ambulatory Centers, or its electronic equivalent. The 180.
procedures; and agency and NARA jointly designate this (2) Authorized agencies requesting the
(2) Outpatient medical treatment
form. loan of a military personnel record may
records for military retirees,
(c) For civilian personnel records order records using eMilrecs (electronic
dependents, and other civilians treated
requests, agencies must use the equivalent of the SF 180). Access to
at military health care facilities
following forms: eMilrecs and additional information is
(excludes active duty military personnel (1) Standard Form 127, Request for available online at http://
at time of military discharge or Official Personnel Folder (Separated www.archives.gov/st-louis/military-
retirement). Employee), to request transmission of personnel/agencies/ompf-fed-
§ 1233.16 How does an agency transfer separated employee personnel folders agency.html.
records to the National Personnel Records stored at the National Personnel Records (3) A military veteran or the next of
Center (NPRC)? Center (NPRC). Additional instructions kin of a deceased veteran may order
Agencies must use the following on requesting OPFs are available online military personnel records by
procedures to transfer records to the at http://www.archives.gov/st-louis/ submitting an SF 180 or an online
NPRC: civilian-personnel/federal- records request. We may be permitted,
(a) Civilian personnel files. (1) agencies.html. under certain circumstances, to provide
Forward the official personnel folder (2) Standard Form 184, Request for surviving next of kin greater access to a
(OPF) and the employee medical folder Employee Medical Folder (Separated deceased veteran’s records than a
(EMF) to the NPRC at the same time; Employee), to request medical folders member of the general public.
(2) Transfer EMFs and OPFs in stored at the NPRC. Additional Additional information is available
separate folders; instructions on requesting EMFs are online at http://www.archives.gov/
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(3) Retire individual folders on the available online at http:// veterans/military-service-records/.
basis of the person’s date of separation, www.archives.gov/st-louis/civilian- (4) Members of the public and non-
within 90 to 120 days after the personnel/federal-agencies.html. governmental organizations may also
employee separates from Federal (3) Optional Form 11, Reference request military personnel records by
service; Request—Federal Records Center, to submitting an SF 180. To request
(4) For additional guidance, write to request medical records transferred to information from another person’s
the Office of Personnel Management other NARA FRCs prior to September 1, military personnel records, you must
(OPM); 1900 E Street NW., Washington, 1984. The request must include the have the release authorization in

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(1) Notice that NARA intends to is final, the agency must submit restricted by statute. Multimedia
conduct an inspection; progress reports to NARA. submissions (audio, video, etc.) must be
(2) Which records management (e) The agency submits the reports on accompanied by a written comment.
processes or procedures NARA is a mutually agreed-upon schedule, but The written comment is considered the
evaluating, and any specific issues; no less frequently than semi-annually, official comment and should include
(3) A beginning date for the until it completes all actions. discussion of all points you wish to
inspection that is no more than 30 Dated: March 2, 2016. make. The EPA will generally not
business days after the date of the letter; consider comments or comment
David S. Ferriero,
and contents located outside of the primary
(4) A request for an agency point of Archivist of the United States.
submission (i.e. on the web, cloud, or
contact to assist NARA as it conducts [FR Doc. 2016–05150 Filed 3–8–16; 8:45 am]
other file sharing system). For
the inspection. BILLING CODE 7515–01–P
additional submission methods, please
(b) If the agency does not respond to contact the person identified in the ‘‘For
NARA’s notification letter, NARA Further Information Contact’’ section.
reports the matter to the agency’s ENVIRONMENTAL PROTECTION For the full EPA public comment policy,
Congressional oversight committee and AGENCY information about CBI or multimedia
to the Office of Management and submissions, and general guidance on
Budget, under its 44 U.S.C. 2904(c)(8) 40 CFR Part 52
making effective comments, please visit
statutory authority. [EPA–R01–OAR–2015–0351; FRL–9943–38– http://www2.epa.gov/dockets/
Region 1] commenting-epa-dockets.
§ 1239.24 How does NARA conduct an
inspection? FOR FURTHER INFORMATION CONTACT:
Air Plan Approval; Massachusetts;
(a) The NARA inspection team leader Ariel Garcia, Air Quality Planning Unit,
Decommissioning of Stage II Vapor
coordinates with the agency point of U.S. Environmental Protection Agency,
Recovery Systems
contact to arrange an initial meeting EPA New England Regional Office, 5
with the agency. The initial meeting AGENCY: Environmental Protection Post Office Square, Suite 100 (mail
addresses the scope of the inspection, Agency. code: OEP05–2), Boston, MA 02109–
including its parameters, any surveys or ACTION: Proposed rule. 3912, telephone number: (617) 918–
other inspection instruments, involved 1660, fax number: (617) 918–0660,
offices, and timing of site visits. SUMMARY: The Environmental Protection email: garcia.ariel@epa.gov.
(b) NARA prepares a draft inspection Agency (EPA) is proposing to approve a
SUPPLEMENTARY INFORMATION:
report and transmits it to the agency no State Implementation Plan (SIP)
Throughout this document whenever
later than 45 business days after the last revision submitted by the
‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean
site visit or meeting. The report Commonwealth of Massachusetts
EPA.
includes: Department of Environmental
Organization of this document. The
(1) An executive summary; Protection. This revision includes
following outline is provided to aid in
(2) Background and purpose of regulatory amendments that allow
locating information in this preamble.
inspection; gasoline dispensing facilities (GDFs) to
decommission their Stage II vapor I. Background and Purpose
(3) Inspection methodology, including
recovery systems as of January 2, 2015, II. Summary of Massachusetts’ SIP Revision
offices visited; III. EPA’s Evaluation of Massachusetts’ SIP
(4) Findings; and a demonstration that such removal
Revision
(5) Necessary corrective actions and is consistent with the Clean Air Act and IV. Proposed Action
other recommendations; and EPA guidance. This revision also V. Incorporation by Reference
(6) Any necessary appendices. includes regulatory amendments that VI. Statutory and Executive Order Reviews
(c) The agency must submit its strengthen Massachusetts’ requirements
comments on the draft report no later for Stage I vapor recovery systems at I. Background and Purpose
than 45 business days after receipt. GDFs. The intended effect of this action On May 5, 2015, the Massachusetts
(d) NARA incorporates any necessary is to propose approval of Massachusetts’ Department of Environmental Protection
corrections or revisions in the final revised vapor recovery regulations. This submitted a revision to its State
report and issues the report to the head action is being taken under the Clean Implementation Plan (SIP). The SIP
of the agency within 45 business days. Air Act. revision consists of Massachusetts’
§ 1239.26 What are an agency’s follow-up DATES: Written comments must be revised regulations 310 Code of
obligations after it receives an inspection received on or before April 8, 2016. Massachusetts Regulations (CMR) 7.00,
report? ADDRESSES: Submit your comments, Air Pollution Control: Definitions and
(a) The agency must submit to NARA identified by Docket ID No. EPA–R01– 310 CMR 7.24, Organic Material Storage
a plan of corrective action that specifies OAR–2015–0351 at http:// and Distribution. Specifically, in
how the agency will address each www.regulations.gov, or via email to addition to the new and revised
inspection report recommendation, arnold.anne@epa.gov. For comments definitions in 310 CMR 7.00, the SIP
including a timeline for completion, and submitted at Regulations.gov, follow the revision consists of Massachusetts’
proposed progress reporting dates. online instructions for submitting revised regulation sections:
(b) The agency must submit the plan comments. Once submitted, comments • 310 CMR 7.24(3), Distribution of
Motor Vehicle Fuel;
Lhorne on DSK5TPTVN1PROD with PROPOSALS

of corrective action to NARA within 60 cannot be edited or removed from
business days of the date of the final Regulations.gov. For either manner of • 310 CMR 7.24(4), Motor Vehicle
report. submission, the EPA may publish any Fuel Tank Trucks; and
(c) NARA may take up to 60 business comment received to its public docket. • 310 CMR 7.24(6), Dispensing of
days to review and comment on the Do not submit electronically any Motor Vehicle Fuel.
plan. information you consider to be These sections of Massachusetts’ 310
(d) Once both NARA and the agency Confidential Business Information (CBI) CMR 7.24 have been revised to allow
agree that the plan of corrective action or other information whose disclosure is the decommissioning of Stage II vapor

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Document Modified: 2016-03-09 00:13:26
Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Proposed Rules
Action		Proposed rules.
Dates		Submit comments on or before May 9, 2016.
Contact		Laura McCarthy, by email at [email protected], or by telephone at 301-837-3023. You may also find more information about records management at NARA on NARA's Web site at http://www.archives.gov/records-mgmt/
FR Citation		81 FR 12432
RIN Number		3095-AB74
CFR Citation		36 CFR 1223 36 CFR 1224 36 CFR 1227 36 CFR 1229 36 CFR 1232 36 CFR 1233 36 CFR 1239
CFR Associated		Archives; Records and Records Management