[Subchapter B -- Records Management]
Part 1228 -- Disposition of Federal Records
Subpart B -- Scheduling Records
Part 1228, Subpart B was last amended on 12/17/07.
1228.20 Authorities.
1228.22 Developing records schedules.
1228.24 Formulation of agency records schedules.
1228.26 Request for records disposition authority.
1228.28 Scheduling permanent records.
1228.30 Scheduling temporary records.
1228.31 Applying previously approved schedules to electronic records.
1228.32 Request to change disposition authority.
Subpart B -- Scheduling Records
§1228.20 Authorities.
(a) The head of each agency shall direct the creation and preservation of records containing accurate and complete documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency (44 U.S.C. 3101). The National Archives and Records Administration shall establish standards for the retention of those records having continuing value, and assist Federal agencies in applying the standards to records in their custody (44 U.S.C. 2905).
(b) No Federal records shall be destroyed or otherwise alienated from the Government except in accordance with procedures described in this part 1228 (44 U.S.C. 3314).
§1228.22 Developing records schedules.
The primary steps in developing agency records schedules are given below. Details
in each step are contained in the NARA records management handbook, Disposition of Federal Records
(http://www.archives.gov/records_management
/publications/disposition_of_federal_records/index.html/).
Ultimately, all records of an agency must be scheduled, but they need not all be scheduled at the same time.
An agency may schedule the records of one function, program or organizational element at a time.
(a) Determine the functions and activities documented by the records to be scheduled.
(b) Prepare an inventory of the records including a description of their medium, location, volume, inclusive dates, informational content and use.
(c) Evaluate the period of time the agency needs each records series or system by reference to its uses and value to agency operations or legal obligations.
(d) Based on agency need, develop specific recommended retention and disposition instructions for each records series or each part of an automated information system, including file breaks, retention periods for temporary records, transfer periods for permanent records, and instructions for the transfer of records to an approved records storage facility when appropriate.
(e) Assemble into a draft schedule the descriptions and recommended disposition instructions for logical blocks of records, i.e., entire agency, organizational component, or functional area.
(f) Obtain approval of the records schedules from NARA (and from the General Accounting Office, when so required under title 8 of the GAO ``Policy and Procedures Manual for the Guidance of Federal Agencies'').
§1228.24 Formulation of agency records schedules.
(a) General. Agency records schedules approved by the Archivist of the United States specify the disposition for agency records. Records of continuing (permanent) value will be scheduled for retention and immediate or eventual transfer to the legal custody of NARA. All other records will be scheduled for destruction or donation after a specific period of time based on administrative, fiscal, and legal values.
(b) Characteristics of schedules. Though records disposition authority may be requested from NARA on a program-by-program, function-by-function, or office-by-office basis, all agency records must be scheduled. Schedules must follow the guidelines provided below:
(1) Schedules shall identify and describe clearly each series or system and shall contain disposition instructions that can be readily applied. (Additional information is required for permanent records as specified in §1228.28(b).) Schedules must be prepared so that each office will have standing instructions detailing the disposal, transfer, or retention of records.
(2) SF 115s shall include only new records not covered by the General Records Schedules (GRS) (see subpart C), deviations from the GRS (see §1228.42), or previously scheduled records requiring changes in retention periods or substantive changes in description.
(3) Records schedules submitted to NARA for approval on or after December 17, 2007, are media neutral, i.e., the disposition instructions apply to the described records in all media, unless the schedule identifies a specific medium for a specific series.
(4) All schedules shall take into account the physical organization of records or the filing system so that disposal or transfer can be handled in blocks.
(5) The disposition of nonrecord materials is controlled by instructions in the agency's printed or published records disposition manual. These instructions do not require NARA approval. Such items shall not be included on SF 115s. Non-record materials, such as extra copies of documents preserved solely for reference, and stocks of processed documents, and personal materials shall be maintained separately from official agency files to aid in records disposition.
(c) Provisions of schedules. Records schedules shall provide for:
(1) The destruction of records that have served their statutory, fiscal, or administrative uses and no longer have sufficient value to justify further retention. Procedures for obtaining disposal authorizations are prescribed in §1228.30;
(2) The removal to a records storage facility of records not eligible for immediate destruction or other disposition but which are no longer needed in office space. These records are maintained by the records storage facility until they are eligible for final disposition action;
(3) The retention of the minimum volume of current records in office space consistent with effective and efficient operations; and
(4) The identification of records of permanent value in accordance with §1228.28, and the establishment of cutoff periods and dates when such records will be transferred to the legal custody of NARA.
§1228.26 Request for records disposition authority.
(a) Submission. Requests for records disposition authority shall be initiated by Federal agencies by submitting Standard Form 115, Request for Records Disposition Authority, to NARA (NWML). An SF 115 is used for requesting authority to schedule (or establish the disposition for) permanent and temporary records, either on a recurring or one-time basis.
(1) New Federal agencies shall apply General Records Schedules to eligible records and shall submit to NARA SF 115s covering all remaining records within 2 years of their establishment.
(2) Agencies shall submit to NARA schedules for the records of new programs and of programs that are reorganized or otherwise changed in a way that results in the creation of new or different records within 1 year of the implementation of the change.
(b) Certification. The signature of the authorized agency representative on the SF 115 shall constitute certification that the records recommended for disposal do not or will not have sufficient administrative, legal, or fiscal value to the agency to warrant retention beyond the expiration of the specified period and that records described as having permanent value will be transferred to the National Archives upon expiration of the stated period.
(c) Disapproval of requests for disposition authority. Requests for records disposition authority may be returned to the agency if the SF 115 is improperly prepared. The agency shall make the necessary corrections and resubmit the form to NARA (NWML). NARA may disapprove the disposition request for an item if, after appraisal of the records, NARA determines that the proposed disposition is not consistent with the value of the records. In such cases, NARA will notify the agency in writing.
§1228.28 Scheduling permanent records.
(a) Initiation. Federal agencies propose permanent retention of records in accordance with guidelines contained in the NARA records management handbook, Disposition of Federal Records.
(b) Requirements. Each item proposed for permanent retention on an SF 115 shall include the following:
(1) Records series title used by agency personnel to identify the records;
(2) Complete description of the records including physical type and information contents;
(3) Inclusive dates;
(4) An arrangement statement;
(5) Statement of restrictions on access which NARA should impose in conformity with the Freedom of Information Act if the records are proposed for immediate transfer;
(6) An estimate of the volume of records accumulated annually if the records are current and continuing;
(7) The total volume to date; and
(8) Disposition instructions, developed using the following guidelines:
(i) If the records series or system is current and continuing, the SF 115 will include a disposition instruction specifying the period of time after which the records will be transferred to the National Archives, normally within 30 years for paper records, 5 - 10 years for audiovisual or microform records, and as soon as the records become inactive or the agency cannot meet the maintenance requirements found in §1228.270 of this part for electronic records.
(ii) If the records series or system is nonrecurring, i.e., no additional records will be created or acquired, the agency may propose either immediate or future transfer to the National Archives.
(c) Determination. NARA will determine whether or not records are of permanent value and when the transfer of the permanent records will take place.
(1) If NARA determines that records are not permanent, it will notify the agency and negotiate an appropriate disposition. The disposition instruction on the SF 115 will be modified prior to NARA approval.
(2) If NARA determines that records are permanent, but that the transfer instructions are not appropriate, it will negotiate appropriate transfer terms with the agency. The disposition instruction on the SF 115 will be modified prior to NARA approval.
§1228.30 Scheduling temporary records.
(a) Initiation. Federal agencies request authority to dispose of records, either immediately or on a recurring basis. Requests for immediate disposal are limited to records already in existence which no longer accumulate. For recurring records, approved schedules provide continuing authority to destroy the records. The retention periods approved by NARA are mandatory, and the agency shall dispose of the records after expiration of the retention period, except as provided in §1228.54.
(b) Requirements. Each item on an SF 115 proposed for eventual destruction shall include the following:
(1) Records series title used by agency personnel to identify the records;
(2) Description of the records including physical type and informational content;
(3) If the records are contained in a Privacy Act system of records, a citation to the agency's alpha-numeric or numeric code designation for the system of records. If the system of records was added or deleted since the publication of the current Office of the Federal Register compilation of Privacy Act Issuances, the agency shall also cite the date and page of the Federal Register on which the new system notice appears or the deleted system is announced.
(4) Disposition instructions, developed using the following guidelines:
(i) If the records series or system is current and continuing, the SF 115 will include a disposition instruction specifying the period of time after which the records will be destroyed.
(ii) If the records series or system is nonrecurring, i.e., no additional records will be created or acquired, the agency may propose either immediate destruction or destruction on a future date.
(c) Determination. NARA may determine that records proposed as temporary merit permanent retention and transfer to the National Archives. In such cases, NARA arranges with the agency to change the disposition instruction prior to approval of the SF 115.
(d) General Accounting Office concurrence. Each Federal agency shall obtain the approval of the Comptroller General for the disposal of program records less than 3 years old and for certain classes of records relating to claims and demands by or against the Government, and to accounts in which the Government is concerned in accordance with the GAO ``Policy and Procedures Manual for Guidance of Federal Agencies,'' title 8 -- Records Management (44 U.S.C. 3309). This approval must be obtained before the approval of the disposal request by NARA, but the request may be submitted concurrently to GAO and NARA.
(e) Withdrawn items. Agencies may request that items listed on the SF 115 be withdrawn in order to aid in NARA's processing (appraisal) of the remaining items on the schedule.
(1) If, during the course of the appraisal process, NARA determines that records described by an item(s) on the proposed schedule do not exist or are not arranged as stated on the SF 115, NARA may request the agency to withdraw the item(s) from consideration, if the agency is unable to offer sufficient clarification.
(2) If NARA and the agency cannot agree on the retention period for an item(s), the items(s) may be withdrawn. In these cases, the agency will submit an SF 115 with a revised proposal for disposition within 6 months of the date of the approval of the original SF 115.
§1228.31 Applying previously approved schedules to electronic records.
(a) When must an agency submit a new schedule for electronic versions of previously scheduled hard copy records? Agencies must submit a new schedule to NARA for electronic versions of previously scheduled records if:
(1) The content and function of the records have changed significantly (e.g., the electronic records contain information that is substantially different from the information included in the hard copy series or are used for different purposes).
(2) The previously approved schedule explicitly excludes electronic records.
(3) The electronic records consist of program records maintained on an agency web site.
(4) The electronic records consist of program records maintained in a format other than scanned image AND the previously approved schedule is not media neutral.
(b) When can an agency apply a previously approved schedule to electronic versions of the records? If the conditions specified in paragraph (a) of this section do not apply, the conditions in paragraph (b) apply:
(1) Permanent records.
(i) The agency may apply a previously approved schedule for hard copy records to electronic versions of the permanent records when the electronic records system replaces a single series of hard copy permanent records or the electronic records consist of information drawn from multiple previously scheduled permanent series. Agencies must notify NARA (NWM) in writing of records that have been previously scheduled as permanent in hard copy form, including special media records as described in 36 CFR 1228.266 and 36 CFR 1228.268. The notification must be submitted within 90 days of when the electronic recordkeeping system becomes operational and must contain the:
(A) Name of agency;
(B) Name of the electronic system;
(C) Organizational unit(s) or agency program which records support;
(D) Current disposition authority reference; and
(E) Format of the records (e.g., database, scanned images, digital photographs, etc.).
(ii) If the electronic records include information drawn from both temporary and permanent hard copy series, an agency either may apply a previously approved permanent disposition authority, after submitting the notification required by paragraph (b)(1)(i) or may submit a new schedule if the agency believes the electronic records do not warrant permanent retention.
(2) Temporary still pictures, sound recordings, motion picture film, and video recordings. The agency must apply the previously approved schedule to digital versions. If changes in the approved schedule are required, follow §1228.32.
(3) Scanned images of temporary records, including temporary program records. The agency must apply the previously approved schedule. If changes in the approved schedule are required, follow §1228.32.
(4) Other temporary records maintained in an electronic format other than scanned images.
(i) For temporary records that are covered by an item in a General Records Schedule or an agency-specific schedule that pertains to administrative/housekeeping activities, apply the previously approved schedule. If the electronic records consist of information drawn from multiple hard copy series, apply the previously approved schedule item with the longest retention period.
(ii) For temporary program records covered by a NARA-approved media neutral schedule item (i.e., the item appears on a schedule approved before December 17, 2007, that is explicitly stated to be media neutral, or it appears on any schedule approved on or after December 17, 2007, that is not explicitly limited to a specific recordkeeping medium), apply the previously approved schedule.
§1228.32 Request to change disposition authority.
(a) Agencies desiring to change the approved retention period of a series or system of records shall submit an SF 115. Disposition authorities contained in approved SFs 115 are automatically superseded by approval of a later SF 115 applicable to the same records unless the later SF 115 specified an effective date. Agencies submitting revised schedules shall indicate on the SF 115 the relevant schedule and item numbers to be superseded, the citation to the current printed records disposition schedule, if any, and/or the General Records Schedules and item numbers that cover the records.
(b) Agencies proposing to change the retention period of a series or system of records shall submit with the SF 115 an explanation and justification for the change. The need to retain records longer than the retention period specified in the disposition instructions on an approved SF 115 for purposes of audit, court order, investigation, litigation, study, or any other administrative purpose that justifies the temporary extension of the retention period shall be governed by the procedures set forth in 1228.54. Agencies shall not submit an SF 115 to change the retention period in such cases.
(c) Agencies must secure NARA approval before changing the provision in a disposition instruction that specifies the period of time that permanent records will remain in agency legal custody prior to transfer to the National Archives of the United States.
