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ua14no94 OFFICE OF PERSONNEL MANAGEMENT (OPM)...
<DOC> 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. _______________________________________________________________________ NARA ___________________________________________________________ PROPOSED RULE STAGE ___________________________________________________________ 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: _______________________________________________________________________ Action DFR Cite _______________________________________________________________________ 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 _______________________________________________________________________ NARA 175. <bullet> 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: _______________________________________________________________________ Action DFR Cite _______________________________________________________________________ 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:
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