ua14no94 OFFICE OF PERSONNEL MANAGEMENT (OPM)...

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<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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