PART 1220—FEDERAL RECORDS; GENERAL Authority: 44 U.S.C. Chapters 21, 29, 31, and 33. Source: 74 FR 51014, Oct. 2, 2009, unless otherwise noted. § 1220.1 What is the scope of Subchapter B? Subchapter B specifies policies for Federal agencies' records management programs relating to proper records creation and maintenance, adequate documentation, and records disposition. § 1220.2 What are the authorities for Subchapter B? The regulations in this subchapter implement the provisions of 44 U.S.C. Chapters 21, 29, 31, and 33. § 1220.3 What standards are used as guidelines for Subchapter B? These regulations are in conformance with ISO 15489-1:2001, Information and documentation—Records management. Other standards relating to specific sections of the regulations are cited where appropriate. § 1220.10 Who is responsible for records management? (a) The National Archives and Records Administration (NARA) is responsible for overseeing agencies' adequacy of documentation and records disposition programs and practices, and the General Services Administration (GSA) is responsible for overseeing economy and efficiency in records management. The Archivist of the United States and the Administrator of GSA issue regulations and provide guidance and assistance to Federal agencies on records management programs. NARA regulations are in this subchapter. GSA regulations are in 41 CFR parts 102-193. (b) Federal agencies are responsible for establishing and maintaining a records management program that complies with NARA and GSA regulations and guidance. Subpart B of this part sets forth basic agency records management requirements. § 1220.12 What are NARA's records management responsibilities? (a) The Archivist of the United States issues regulations and provides guidance and assistance to Federal agencies on ensuring adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the Federal Government and ensuring proper records disposition, including standards for improving the management of records. (b) NARA establishes standards for the retention of records having continuing value (permanent records), and assists Federal agencies in applying the standards to records in their custody. (c) Through a records scheduling and appraisal process, the Archivist of the United States determines which Federal records have temporary value and may be destroyed and which Federal records have permanent value and must be preserved and transferred to the National Archives of the United States. The Archivist's determination constitutes mandatory authority for the final disposition of all Federal records. (d) The Archivist of the United States issues General Records Schedules (GRS) authorizing disposition, after specified periods of time, of records common to several or all Federal agencies. § 1220.14 Who must follow the regulations in Subchapter B? The regulations in Subchapter B apply to Federal agencies as defined in § 1220.18. § 1220.16 What recorded information must be managed in accordance with the regulations in Subchapter B? The requirements in Subchapter B apply to documentary materials that meet the definition of Federal records. See also Part 1222 of this subchapter. § 1220.18 What definitions apply to the regulations in Subchapter B? As used in subchapter B— Adequate and proper documentation Agency (see Executive agency and Federal agency). Appraisal Commercial records storage facility Comprehensive schedule records schedule. Contingent records Disposition Disposition authority records schedule. Documentary materials Electronic messages Electronic record Evaluation Executive agency Federal agency Federal records (see records). File Information system Metadata National Archives of the United States permanent record. Nonrecord materials Permanent record Personal files personal papers Recordkeeping requirements Recordkeeping system Records Federal records Records center records storage facility. Records management, Records schedule or schedule (1) A Standard Form 115, Request for Records Disposition Authority that has been approved by NARA to authorize the disposition of Federal records; (2) A General Records Schedule (GRS) issued by NARA; or (3) A published agency manual or directive containing the records descriptions and disposition instructions approved by NARA on one or more SF 115s or issued by NARA in the GRS. See also comprehensive schedule. Records storage facility Retention period Series records series. Temporary record (1) Records designated as disposable in an agency records disposition schedule approved by NARA (SF 115, Request for Records Disposition Authority); or (2) Records designated as disposable in a General Records Schedule. Unscheduled records [74 FR 51014, Oct. 2, 2009, as amended at 87 FR 75931, Dec. 12, 2022] § 1220.20 What NARA acronyms are used throughout this subchapter? As used in this subchapter— AC ACRA AFO B-AD NARA RDE RDS RX WNRC [83 FR 13653, Mar. 30, 2018] Subpart B—Agency Records Management Responsibilities § 1220.30 What are an agency's records management responsibilities? (a) Under 44 U.S.C. 3101, the head of each Federal agency must make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency. These records must be designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities. (b) Under 44 U.S.C. 3102, the head of each Federal agency must establish and maintain an active, continuing program for the economical and efficient management of the records of the agency. (c) Agency records management programs must provide for: (1) Effective controls over the creation, maintenance, and use of records in the conduct of current business; and (2) Cooperation with the Archivist and the Administrator of GSA in applying standards, procedures, and techniques designed to improve the management of records, promote the maintenance and security of records deemed appropriate for preservation, and facilitate the segregation and destruction of records of temporary value. § 1220.32 What records management principles must agencies implement? Agencies must create and maintain authentic, reliable, and usable records and ensure that they remain so for the length of their authorized retention period. A comprehensive records management program provides policies and procedures for ensuring that: (a) Records documenting agency business are created or captured; (b) Records are organized and maintained to facilitate their use and ensure integrity throughout their authorized retention periods; (c) Records are available when needed, where needed, and in a usable format to conduct agency business; (d) Legal and regulatory requirements, relevant standards, and agency policies are followed; (e) Records, regardless of format, are protected in a safe and secure environment and removal or destruction is carried out only as authorized in records schedules; and (f) Continuity of operations is supported by a vital records program (see part 1223 of this subchapter). § 1220.34 What must an agency do to carry out its records management responsibilities? To carry out the responsibilities specified in 44 U.S.C. 3101 and 3102, agencies must: (a) Assign records management responsibility to a person and office with appropriate authority within the agency to coordinate and oversee implementation of the agency comprehensive records management program principles in § 1220.32; (b) Advise NARA and agency managers of the name(s) of the individual(s) assigned operational responsibility for the agency records management program. To notify NARA, send the name(s), e-mail and postal addresses, phone and fax numbers of the individual(s) to NARA (AC), 8601 Adelphi Road, College Park, MD 20740-6001 or to [email protected]. [email protected]; (c) Issue a directive(s) establishing program objectives, responsibilities, and authorities for the creation, maintenance, and disposition of agency records. Copies of the directive(s) (including subsequent amendments or supplements) must be disseminated throughout the agency, as appropriate, and a copy must be sent to NARA (AC); (d) Assign records management responsibilities in each program (mission) and administrative area to ensure incorporation of recordkeeping requirements and records maintenance, storage, and disposition practices into agency programs, processes, systems, and procedures; (e) Integrate records management and archival requirements into the design, development, and implementation of electronic information systems as specified in § 1236.12 of this subchapter; (f) Provide guidance and training to all agency personnel on their records management responsibilities, including identification of Federal records, in all formats and media; (g) Develop records schedules for all records created and received by the agency and obtain NARA approval of the schedules prior to implementation, in accordance with 36 CFR parts 1225 and 1226 of this subchapter; (h) Comply with applicable policies, procedures, and standards relating to records management and recordkeeping requirements issued by the Office of Management and Budget, NARA, GSA, or other agencies, as appropriate (see § 1222.22 of this subchapter); (i) Institute controls ensuring that all records, regardless of format or medium, are properly organized, classified or indexed, and described, and made available for use by all appropriate agency staff; and (j) Conduct formal evaluations to measure the effectiveness of records management programs and practices, and to ensure that they comply with NARA regulations in this subchapter. [74 FR 51014, Oct. 2, 2009, as amended at 83 FR 13653, Mar. 30, 2018]