[The Regulatory Plan and Unified Agenda of Federal Regulations]
[National Archives and Records Administration Regulatory Plan]
[From the U.S. Government Printing Office, www.gpo.gov]
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION (NARA)
Statement of Regulatory Priorities
The National Archives and Records Administration (NARA) promulgates (1)
regulations directed to other Federal agencies regarding adequate and
proper documentation of the policies and transactions of the Federal
Government and for ensuring proper records disposition, and (2)
regulations directed to the public relating to access to and use of the
historically valuable archives, donated historical materials, Nixon
Presidential materials, and Presidential records in the National
Archives, regional archives, Presidential libraries, and Presidential
Materials Projects operated by NARA. NARA also promulgates regulations
relating to the National Historical Publications and Records Commission
(NHPRC) grant programs.
NARA's regulatory priorities for fiscal year 1995 will be the
clarification and updating of records management regulations concerning
Federal agency recordkeeping requirements, electronic records, and
audiovisual records; and the completion of the rulemaking process for
the NHPRC grant program regulations.
NARA records management regulations must provide agencies with the
guidance they need to fulfill their statutory obligation to make and
preserve records containing adequate and proper documentation of the
agency's business. This guidance must be reviewed and updated
periodically to reflect changing information technology and
recordkeeping practices in agencies. NARA has determined that existing
regulations on personal papers and removal of nonrecord and personal
materials do not provide sufficient protection against improper removal
of Federal records from agency control. NARA plans to expand guidance
on personal papers and add a requirement for agencies to protect
against the removal of Federal records by issuing written procedures
for the removal of nonrecord and personal materials.
During fiscal year 1994, NARA began the rulemaking process to issue
records management standards for electronic mail. NARA intends to
complete the process with issuance of a final rule early in fiscal year
1995. NARA also plans to revise its audiovisual records management
regulations to provide broader coverage of audiovisual materials
created by agencies today. The rule will address formats not covered in
the current regulations and will help agencies to ensure that
audiovisual records are properly preserved.
During fiscal year 1994, NARA issued several rules affecting public use
of archival records and materials in NARA research rooms. We plan no
significant rulemakings in this area in fiscal year 1995.
Also during fiscal year 1994, NARA began a review of its existing NHPRC
grant regulations as required by E.O. 12866. During fiscal year 1995 we
intend to complete the rulemaking process with issuance of a final rule
updating and improving the current regulation.
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NARA
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PROPOSED RULE STAGE
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174. ELECTRONIC MAIL SYSTEMS
Legal Authority:
44 USC 2904; 44 USC 3101; 44 USC 3102; 44 USC 3105
CFR Citation:
36 CFR 1234
Legal Deadline:
None
Abstract:
The National Archives and Records Administration (NARA) is developing
standards for management of Federal records created or received on
electronic mail (E-mail) systems. These standards would be issued as an
appendix to supplement regulations on electronic records in 36 CFR part
1234. The standards would affect Federal agencies.
Statement of Need:
Though this appendix is not specifically required by statute or court
order, US District Court Judge Richey has indicated in court hearings
on Armstrong v. EOP that the Government should issue records management
standards for electronic mail. In addition, the appendix was crafted
during settlement negotiations.
Summary of the Legal Basis:
This regulation reflects the legal requirements for agencies to create
and maintain adequate and proper documentation, correctly identify
documentation that meets the definition of Federal record, and prevent
the unauthorized destruction or removal of Federal records. NARA is
required by law to issue standards and guidelines to Federal agencies
regarding adequate and proper documentation of the policies and
transactions of the Federal Government and for ensuring proper records
disposition. The Archivist of the United States is also statutorily
responsible for establishing standards for the selective retention of
records of continuing value. This regulation reflects the statutory
requirements and responsibilities by providing guidance on Federal
records that are created as E-mail.
Alternatives:
Given Armstrong v. EOP, there do not appear to be viable alternatives
to the appendix. Revising 36 CFR part 1234 would be preferable, but too
time consuming.
Anticipated Costs and Benefits:
It is not possible to quantify costs and benefits. Benefits to agencies
include those cited above for adequate and proper documentation. For
the most part, the guidance agencies must issue can be handled under
established agency records management programs. The additional
requirements for training all electronic mail users and monitoring the
electronic mail systems to ensure proper identification of records
could place significant burdens on agencies. However, the impact will
vary from agency to agency, depending on the number of employees, the
number and capabilities of electronic mail systems, the nature of their
current recordkeeping systems, and controls currently in place.
Risks:
Failure to issue this regulation could result in inadequate
documentation of significant agency decisions and actions.
Timetable:
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Action DFR Cite
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NPRM 59 FR 13906 03/24/94
NPRM Comment Per59 FR 13906 06/22/94
Second NPRM 12/00/94
Small Entities Affected:
None
Government Levels Affected:
Federal
Agency Contact:
James Hastings
Director
Records Appraisal and Disposition Division
National Archives and Records Administration
National Archives at College Park
8601 Adelphi Road
College Park, MD 20740-6001
301 713-7096
RIN: 3095-AA58
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NARA
175. STANDARDS FOR AGENCY RECORDKEEPING REQUIREMENTS--RECORDS,
NONRECORD MATERIALS, AND PERSONAL PAPERS
Legal Authority:
44 USC 2904; 44 USC 2905; 44 USC 3101; 44 USC 3102; 44 USC 3301; 44
USC 3314
CFR Citation:
36 CFR 1222
Legal Deadline:
None
Abstract:
This regulation expands regulatory guidance on personal papers and adds
a requirement for agencies to protect against the removal of Federal
records by issuing written procedures for the removal of nonrecord and
personal materials. It also adds a requirement that agencies document
the removal of nonrecord and personal materials and certify that no
Federal records were taken. Finally, this revision provides more
explicit guidance on records in electronic form.
Statement of Need:
This regulation is needed to ensure that Federal records are not
improperly removed from agency custody by departing officials.
Summary of the Legal Basis:
This regulation reflects the legal requirements for agencies to create
and maintain adequate and proper documentation, correctly identify
documentation that meets the definition of Federal record, and prevent
the unauthorized destruction or removal of Federal records. NARA is
required by law to issue standards and guidelines to Federal agencies
regarding adequate and proper documentation of the policies and
transactions of the Federal Government and for ensuring proper records
disposition. The Archivist of the United States is also statutorily
responsible for establishing standards for the selective retention of
records of continuing value. This regulation reflects the statutory
requirements and responsibilities by providing guidance on applying the
legal definition of Federal records, distinguishing records from
nonrecord materials, identifying and maintaining personal papers, and
ensuring that appropriate documentation is provided by contractors.
Alternatives:
An alternative to this regulatory change would be to contract the
regulation and move most of the interpretation and guidance to a
records management guide on recordkeeping requirements based on this
section of the regulation. However, this alternative would not satisfy
the need for the requirement for agencies to certify that records are
not removed. It also would make compliance with the regulation more
difficult as agency personnel would need to refer to both the
regulation and a records management guide.
Anticipated Costs and Benefits:
The only new costs associated with compliance with the regulation would
be in Federal agency staff resources to implement the requirement to
review nonrecord and personal materials that individuals wish to remove
from their agency and to certify that Federal records are not included.
Agencies could choose to implement the requirement by prohibiting the
removal of any documentary materials, at little or no cost, or by
various levels of review, where the costs would depend on the size of
the agency and the number of individuals likely to request permission
to remove materials. We are unable to quantify the costs at this time,
but will ask agencies to estimate their costs in the notice of proposed
rulemaking.
The benefits that will accrue from adherence to this regulation are
also not easily quantifiable; they include creation and protection of
Federal records that may be needed for accountability, audit and
inspection, continuity, and protection of the rights of the Government
and of individuals directly affected by Government actions.
Risks:
Failure to follow these regulations could result in an inability to
account for the expenditure of funds, lack of documentation of
significant decisions that could have serious or wide-ranging affects
on the public, lack of evidence of wrongdoing, resources wasted in
``reinventing the wheel,'' failure to acquire useful documentation
created under contract, inefficient operation of Government programs
resulting from burdensome searches for needed information, and lack of
documentation for future research.
Timetable:
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Action DFR Cite
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NPRM 12/00/94
NPRM Comment Period End 02/00/95
Final Action 04/00/95
Final Action Effective 05/00/95
Small Entities Affected:
None
Government Levels Affected:
Federal
Agency Contact:
Jean Keeting
Acting Chief
Policy and Outreach Branch
National Archives and Records Administration
The National Archives at College Park
8601 Adelphi Road
College Park, MD 20740-6001
301 713-6677
RIN: 3095-AA61
BILLING CODE 7515-01-F