[Federal Register Volume 59, Number 103 (Tuesday, May 31, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-13180]
[[Page Unknown]]
[Federal Register: May 31, 1994]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Part 1236
RIN 3095-AA51
Vital Records; Records Disaster Mitigation and Recovery
AGENCY: National Archives and Records Administration.
ACTION: Notice of proposed rulemaking.
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SUMMARY: This regulation proposes to revise completely NARA regulations
on Federal agencies' management of vital records and to require
agencies to establish a program for protecting records from possible
loss due to a disaster or an emergency. Recent natural disasters,
including earthquakes, hurricanes, and floods, indicate a need for
Federal agencies to implement vital records and records disaster
mitigation and recovery programs. Such programs ensure continuity of
agency operations and protect rights and interests of citizens and the
Government documented in the records. The regulation affects all
Federal agencies.
DATES: Comments must be received by August 1, 1994.
ADDRESSES: Comments should be sent to Director, Policy and Program
Analysis Division (NAA), National Archives at College Park, 8601
Adelphi Road, College Park, MD 20740-6001.
FOR FURTHER INFORMATION CONTACT: Mary Ann Hadyka or Nancy Allard at
301-713-6730 (FTS 301-713-6730) or TDD 301-713-6760.
SUPPLEMENTARY INFORMATION: The proposed rule incorporates three
significant policy changes in the vital records program contained in
the current regulation, 36 CFR part 1236. First, the emphasis of the
vital records program has been changed to provide for protection
against natural disasters as well as civil defense emergencies. Second,
agencies will be required to duplicate vital records to ensure that
such records can be given the special protection needed to prevent
unauthorized loss or removal. Third, the regulation is broadened to
require agencies to plan for the protection and recovery of all records
affected by a disaster or an emergency. This rule is not a significant
regulatory action as defined by Executive Order 12866 of September 30,
1993, and has not been reviewed by OMB. As required by the Regulatory
Flexibility Act, it is hereby certified that this proposed rule will
not have a significant impact on small business entities.
List of Subjects in 36 CFR Part 1236
Archives and records.
For the reasons set forth in the preamble, NARA proposes to revise
part 1236 of chapter XII of the Code of Federal Regulations to read as
follows:
PART 1236--VITAL RECORDS; RECORDS DISASTER MITIGATION AND RECOVERY
Subpart A--General
Sec.
1236.10 Purpose.
1236.12 Authority.
1236.14 Definitions.
1236.16 Obtaining program assistance.
Subpart B--Contingency Planning
1236.20 Description.
1236.22 Planning requirements.
1236.24 Personnel requirements.
Subpart C--Vital Records
1236.30 Vital records program.
1236.32 Identifying, using and protecting vital records.
Subpart D--Records Disaster Mitigation and Recovery Program
1236.40 Records protection.
1236.42 Elements of a records disaster mitigation and recovery
program.
Authority: 44 U.S.C. 2104(a), 2904(a), 3101, 3102, 3105; and E.
O. 12656, 53 FR 47491, 3 CFR, 1988 Comp., p. 585.
Subpart A--General
Sec. 1236.10 Purpose.
This part prescribes policies and procedures for establishing and
implementing an agency program for the identification, protection, use,
and recovery of agency records, particularly vital records, before,
during, and after emergencies. The records may be maintained on a
variety of media including paper, electronic, audiovisual and
microform.
Sec. 1236.12 Authority.
The authority for vital records and records disaster mitigation and
recovery programs is found in the following responsibilities of the
head of each agency:
(a) To make and preserve records containing adequate and proper
documentation of the agency's organization, functions, policies,
procedures, decisions, and essential transactions, and to furnish
information to protect the legal and financial rights of the Government
and of persons directly affected by the agency's activities (44 U.S.C.
3101).
(b) To establish and maintain an active, continuing program for the
efficient and economical management of the agency's records (44 U.S.C.
3102).
(c) To establish safeguards against the removal or loss of records
determined to be necessary and required by the regulations of the
Archivist of the United States (44 U.S.C. 3105).
(d) To perform national security emergency preparedness functions
and activities (Executive Order 12656, 3 CFR, 1988 Comp., p. 585).
Sec. 1236.14 Definitions.
Basic records management terms are defined in 36 CFR 1220.14. As
used in Part 1236:
Contingency planning means an assessment by each Federal department
and agency of the actual and potential hazards, emergencies or
disasters to its operations and records in order to develop and
implement policies and procedures, including assigning resources, to
mitigate the effects of such events on its operations and records.
Contingency planning is part of the continuity of operations planning
required for an agency's emergency preparedness plan. Federal
Preparedness Circulars and other guidance issued by the Federal
Emergency Management Agency (FEMA) provide further information on
emergency preparedness planning. Executive Order 12656 specifies the
responsibilities of Federal departments and agencies during national
security emergencies.
Cycle means the periodic removal of obsolete vital records and
their replacement with current vital records needed by a Federal
department or agency. This may occur daily, weekly, quarterly, annually
or less frequently, depending upon the need for the information
contained in the records.
Disaster means an unexpected occurrence inflicting widespread
destruction and distress.
Emergency means a situation or an occurrence of a serious nature,
developing suddenly and unexpectedly, and demanding immediate action.
Emergency coordinator means a senior policy official in each
Federal department and agency appointed by the head of the agency to be
responsible for developing and maintaining a multi-year, national
security emergency preparedness plan for the department or agency to
include objectives, programs, and budgetary requirements. Executive
Order 12656 defines this position and its responsibilities.
Emergency operating records are vital records, regardless of media,
essential to the continued functioning or reconstitution of an
organization during and after an emergency. Included are emergency
plans and directive(s), orders of succession, delegations of authority,
staffing assignments, and related records of a policy or procedural
nature that provide agency staff with guidance for conducting
operations under emergency conditions and for resuming normal
operations after an emergency.
Hazard means a danger, a peril, or a risk.
National security emergency means any occurrence, including natural
disaster, military attack, technological emergency, or other emergency,
that seriously degrades or seriously threatens the national security of
the United States. This term is defined in Executive Order 12656.
Records disaster mitigation and recovery program means the
policies, plans and procedures developed and implemented and the
resources assigned by each Federal department and agency to protect its
records from unauthorized disclosure, loss, or removal or to mitigate
any such actual disclosures, losses, or removals that may occur.
Rights-and-interests records are vital records, regardless of
media, essential to protect the legal and financial rights and
interests of an organization and of the individuals directly affected
by its activities. Included are records having such important value
that their loss would significantly impair the completion of essential
agency activities to the detriment of the legal or financial rights of
the organization or individuals directly affected by its activities.
Examples of this category of vital records are accounts receivable
records, social security records, payroll records, retirement records,
and insurance records.
Vital records mean essential agency records that are needed to meet
the agency's operational responsibilities under national security
emergencies or other emergency conditions (emergency operating records)
or needed to preserve the Government's rights and interests or those of
its citizens (rights-and-interests records).
Vital records manager means an official in each Federal department
and agency designated to coordinate, with other appropriate agency
officials, the identification, use, protection, and cycling of the
agency's vital records.
Vital records program means the policies, plans, and procedures
developed and implemented and the resources assigned by each Federal
department and agency to identify, use, and protect the essential
records needed to meet its operational responsibilities under national
security emergencies or other emergency conditions or needed to
preserve the Government's rights and interests or those of its
citizens.
Sec. 1236.16 Obtaining program assistance.
(a) Except for inquiries concerning vital records storage in
Federal records centers, agencies should direct questions about vital
records and records disaster mitigation and recovery to the Agency
Services Division, Office of Records Administration, National Archives
at College Park (NIA), 8601 Adelphi Road, College Park, MD 20740-6001.
(b) Agencies should direct questions about vital records storage at
Federal records centers, including transfer procedures, to the
appropriate center director (see Sec. 1228.150 of this chapter for
addresses) or to the Office of Federal Records Centers, National
Archives at College Park (NC), 8601 Adelphi Road, College Park, MD
20740-6001.
(c) Agencies should consult with appropriate units of the General
Services Administration (GSA) and the Federal Emergency Management
Agency (FEMA) about the disaster recovery and emergency coordination
programs which they administer.
Subpart B--Contingency Planning
Sec. 1236.20 Description.
Contingency planning prepares an agency to meet its
responsibilities under other than normal operating conditions. Such
planning is critical to assessing an agency's vital records needs and
program requirements and to determining the means required to protect
and recover records that may be damaged or destroyed. The planning
process should be flexible and lead to the development of procedures
addressing various actual or potential hazards ranging from limited or
minor emergencies to major disasters. For example, a limited emergency
may arise when a waterpipe bursts in a building and water damages
records at that specific site. On the other hand, the 1993 flooding in
the Midwest is an example of a major disaster, affecting a number of
Federal agencies and requiring the movement of records to safe areas to
prevent their possible damage or loss. Contingency planning includes an
analysis of actual or potential hazards to agency operations and
records and the probability of occurrence. Hazards may include fire,
flood, theft, explosion, sabotage, war or sudden attack, structural
building failures, and environmental emergencies, particularly exposure
of individuals to hazardous substances.
Sec. 1236.22 Planning requirements.
The planning must address: (a) What basic agency operations must
continue during an emergency;
(b) The responsibilities of agency staff under such conditions;
(c) What records are required to support those responsibilities, to
resume basic functions following the emergency or disaster, and to
protect the rights and interests of the Government and its citizens;
and
(d) What procedures and resources must be available to protect
records from unauthorized loss or removal and recover or replace those
damaged or destroyed in an emergency or disaster.
Sec. 1236.24 Personnel requirements.
Senior agency officials concerned with such functions as
information resources management, records management, emergency
coordination, facilities management, public affairs, security, and
safety should participate in the planning.
Subpart C--Vital Records
Sec. 1236.30 Vital records program.
There are several elements required to establish and implement a
vital records program.
(a) Directive. Each Federal agency must issue a directive(s) or
other published authorization establishing program objectives,
responsibilities, and authorities for the agency's vital records
program, including the formal designation of a vital records manager.
The directive should deal in some detail with the process of
identifying, protecting, using, and keeping vital records current and
with the responsibilities of appropriate agency officials in
implementing the program. Copies of the directive(s) or other
authorization, including subsequent amendments or supplements, must be
disseminated throughout the agency as appropriate.
(b) Training. Adequate training must be provided to appropriate
agency personnel at all levels on policies, responsibilities, and
techniques for the implementation of the vital records program.
(c) Annual review. An agency's vital records program must be
reviewed annually and modified, as necessary, to reflect changes in the
agency's mission, programs, or operations. Ideally, such a review will
include testing of the program by appropriate agency staff in mock
disaster situations. The review must also determine whether the vital
records selected for duplication (see Sec. 1236.32) are current,
complete, adequately protected, accessible, and usable when needed.
Sec. 1236.32 Identifying, using and protecting vital records.
(a) Vital records plan. Each Federal agency must develop and
implement a plan for identifying and protecting its vital records in
accordance with Subpart B and Sec. 1236.40 of this part. Critical to
this effort is the development and maintenance of a current inventory
of the agency's record series and information systems deemed to be
vital. The vital records plan is a crucial element of an agency's
emergency preparedness continuity of operations plan.
(b) Volume and use. In identifying vital records, an agency must
keep the volume of records at a manageable level. Also, retrieval
procedures should require only routine effort to locate needed
information, keeping in mind that during an emergency those who will
use the records may not be the same individuals as those who use them
under normal conditions.
(c) Vital records copies. The copy of the vital record stored off-
site is normally a duplicate of the original record. Generally,
designating and using duplicate copies of original records as vital
records is preferable to using the original records themselves because
the duplicates are easier to manage and to keep current. Obsolete
duplicates may be disposed of upon their replacement by duplicates
containing updated information, whereas original records used as vital
records must be retained for the period specified in the agency records
schedule. In rare cases, the agency may designate the original as the
emergency off-site copy and retain the duplicate in current files. The
agency may decide to store the original record off-site if original
signatures are necessary, or if it does not need to keep the original
record at its normal place of business. The agency should ensure that
proper storage conditions exist for originals stored off-site and that
their disposition is authorized and carried out under the terms of an
approved agency records schedule.
(d) Storage considerations. The storage site for off-site copies
depends on the category of vital record. Records that fall into both
categories are handled as emergency operating records.
(1) The off-site copies of emergency operating vital records should
be stored reasonably near the agency for immediate use in the event of
disaster, generally in a designated off-site emergency operations
center. They may not be located at a Federal records center.
(2) The off-site copy of rights-and-interests vital records may be
stored at an off-site agency location or, in accordance with
Sec. 1228.156 of this chapter, at any Federal records center. When
duplicate copies of these records maintained to protect legal and
financial rights are transferred to a Federal records center, the
agency must identify them as vital records, specify that they are
duplicates and the medium on which they are maintained, and
periodically cycle (update) them by removing obsolete items and
replacing them with the most recent version.
(e) Management controls. An agency must apply management controls
to off-site copies to ensure that they are accurate, current, and
complete. The disposition controls that apply to the vital record must
also be applied to the off-site copy. Periodic cycling should occur.
(f) Disposition of permanent vital records. The original copies of
vital records that have been appraised and scheduled as permanent must
be transferred to the National Archives as provided in the agency
records schedule. After transfer, the agency may dispose of any
duplicate copy in its custody when it is no longer needed for current
business.
Subpart D--Records Disaster Mitigation and Recovery Program
Sec. 1236.40 Records protection.
Federal records have value. Their value determines the level of
protection that they require. Appropriate agency officials must
identify and implement suitable protective measures for agency records,
including vital records, to address actual or potential hazards,
emergencies or disasters identified in contingency planning and to
which the agency may be subject. Protective measures include, but are
not limited to, using fire-rated filing equipment; providing an on-site
vault to store records required for continuing agency operations, for
protecting legal or financial rights and interests, or for those
deserving more than routine protection; transferring records to off-
site storage not subject to the same hazard, emergency or disaster;
conducting regular facility and security inspections of records storage
areas, such as off-site inactive storage and vital records holding
areas, to identify potential hazards; duplicating records at the time
of creation, such as computer ``backup tapes;'' using existing
duplicates routinely created in the normal course of business; or
microfilming required records. Standards for the creation, preservation
and use of microforms are found in 36 CFR part 1230--Micrographic
Records Management, and for audiovisual records in 36 CFR part 1232--
Audiovisual Records Management. For electronic information systems,
agencies should be aware of the protective measures and standards
prescribed by the Computer Security Act of 1987 (40 U.S.C. 759, Pub. L.
100-235), OMB Circular A-130, and 36 CFR Part 1234--Electronic Records
Management and 41 CFR part 201, Subchapter B-Management and Use of
Information and Records.
Sec. 1236.42 Elements of a records disaster mitigation and recovery
program.
There are several elements required to establish and implement a
records disaster mitigation and recovery program.
(a) Directive. Each Federal agency must issue a directive(s) or
other published authorization establishing program objectives,
responsibilities, and authorities for the agency's records disaster
mitigation and recovery program, including the formal designation of an
official assigned program responsibility. This directive need not
necessarily be a separate directive devoted exclusively to records
disaster recovery, but may be issued as part of the agency's vital
records or other emergency planning directive(s). Copies of the
directive(s) or other authorization, including subsequent amendments or
supplements, must be disseminated throughout the agency as appropriate.
(b) Records recovery plan. Each Federal agency must develop and
implement a records recovery plan. Such a plan outlines how records,
regardless of media, damaged by fire, water, or other agents may be
preserved and/or recovered and the information in them made available
for continued use. The plan must assign specific tasks to a designated
agency recovery team, including damage assessment; define the priority
in which specific records or record media receive attention when
damaged and the time frame in which required recovery actions should
occur; and contain other recovery information, such as lists of records
recovery consultants and lists of supplies and equipment to be
maintained on-site in the event of an emergency.
(c) Training. Adequate training must be provided to appropriate
agency personnel at all levels on policies, responsibilities, and
techniques for the implementation of the records disaster mitigation
and recovery program.
(d) Annual review. An agency's records disaster mitigation and
recovery program must be reviewed annually and modified, as necessary,
to reflect changes in the agency's mission, programs, or operations.
Ideally, such a review will include testing of the recovery plan by
members of a designated recovery team in mock disaster or emergency
situations. The review must also determine whether the resources and
information needed to implement a records recovery plan are adequate,
complete and current.
Dated: May 23, 1994.
Trudy Huskamp Peterson,
Acting Archivist of the United States.
[FR Doc. 94-13180 Filed 5-27-94; 8:45 am]
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