(b) Requests for Federal civilian personnel files and medical files from the National Personnel Records Center must be made in accordance with 1228.154. Requests for medical records retired to other Federal Records Centers prior to September 1, 1984, must be made on Optional Form 11, Reference Request-Federal Records Centers. The request must include the name and address of the agency's designated medical records manager.

(c) For any other requests, agencies should use Optional Form 11, Reference Request-Federal Records Centers, or a form jointly designated by that agency and NARA.

[45 FR 5707, Jan. 24, 1980. Redesignated at 50 FR 15723. Apr. 19, 1985, and amended at 53 FR 13409, Apr. 25, 1988. Redesignated at 55 FR 27433, July 2, 1990]

§ 1228.164 Disposal clearances for records in Federal records centers.

(a) Records at the National Personnel Records Center covered by General Records Schedules 1 and 2 will be 1 destroyed in accordance with those schedules without further agency clearance.

(b) Contingent records (records of Federal agencies scheduled for destruction after occurrence of an event at some unspecified time in the future) held by Federal records centers will be destroyed upon receipt of agency concurrence in response to NA Form 13000, Agency Review for Contingent Disposal, or other written concurrence. If the agency does not respond to the review notice within 90 calendar days, the records center may return the records to the agency and reject future transfers of that records series.

(c) Other records of Federal agencies held by Federal records centers will be destroyed with the concurrence of the agency concerned by use of NA Form 13001, Notice of Intent to Destroy Records, or other written concurrence for each disposal action. If an agency is notified of the eligibility of its records for disposal and the agency fails to respond to this notification within 90 calendar days, the records

the appropriate disposition authority. If an agency does not concur in the scheduled destruction of an accession, the agency may request extended retention of the records by submitting written justification, including a new disposal date, within 90 days to the records center director.

[45 FR 5705, Jan. 24, 1980, as amended at 49 FR 6371, Feb. 21, 1984; 49 FR 36502, Sept. 18, 1984. Redesignated and amended at 50 FR 15723, 15725. Apr. 19, 1985. Redesignated and amended at 55 FR 27434, July 2, 1990]

Subpart J-Transfer of Records to the National Archives

§ 1228.180 Authority.

(a) Transfer of records. The Archivist of the United States is authorized by 44 U.S.C. 2107 to:

(1) Accept for deposit with the National Archives of the United States the records of a Federal agency or of the Congress determined by the Archivist of the United States to have sufficient historical or other value to warrant their continued preservation by the U.S. Government; and

(2) Direct and effect the transfer to the National Archives of the United States of Federal agency records that have been in existence for more than 30 years and that have been determined by the Archivist of the United States to have sufficient historical or other value to warrant their continued preservation by the U.S. Government.

(b) Custody of records transferred. Under 44 U.S.C. 2108, the Archivist of the United States is responsible for the custody, use, and withdrawal of records transferred to him.

(c) Transferred records subject to statutory or other restrictions. When records, the use of which is subject to statutory limitations and restrictions, are so transferred, permissive and restrictive statutory provisions concerning the examination and use of records applicable to the head of the transferring agency are applicable to the Archivist of the United States and the employees of the National Archives and Records Administration.

[54 FR 2111, Jan. 19, 1989. Redesignated at 55 FR 27433, July 2, 1990, as amended at 57 FR 22432, May 28, 1992]

§ 1228.182 Types of records to be transferred.

(a) General. Records that have been determined by the Archivist of the United States to have sufficient historical or other value to warrant preservation; i.e., appraised by NARA and identified as permanent records, are normally transferred to the National Archives of the United States when: (1) They are 30 years old; or (2) At any age when:

(i) The originating agency no longer needs to use the records for the purpose for which they were created or in its regular current business; or

(ii) Agency needs will be satisfied by use of the records in NARA research rooms or by copies of the records; and restrictions on the use of records are acceptable to NARA and do not violate the Freedom of Information Act (5 U.S.C. 552). Records appraised as permanent that are not yet eligible for transfer because of agency needs or restrictions may be stored in a Federal records center pending transfer. (See subpart I of this part.)

(b) Archival depositories. NARA reserves the right to determine and change the archival depository in which records transferred to the National Archives of the United States are stored. Such determinations are normally made as follows:

Records

(1) Presidential libraries. appropriate for preservation in a Presidential library because they can most effectively be used in conjunction with materials already in that library.

(2) Regional Archives. (i) Records of field offices of Federal agencies, except for records of agency field offices located in the Washington, DC area;

(ii) Records including both headquarters and field office records of regional agencies such as the Tennessee Valley Authority; and

(iii) Other records determined by NARA to be of primarily regional or local interest.

(3) National Archives Building and other Washington, DC area depositories. (i) Records of Washington, DC area field offices of Federal agencies

and other records relating to the District of Columbia and the Washington. DC area, such as records of the National Capital Planning Commission;

(ii) All other records not deposited in a Presidential library or Regional Archives.

[42 FR 57315, Nov. 2, 1977, as amended at 46 FR 60206, Dec. 9, 1981. Redesignated and amended at 50 FR 15723, 15725, Apr. 19. 1985. Redesignated at 55 FR 27433, July 2 1990, as amended at 57 FR 22432, May 28. 1992]

§ 1228.183 Certification for retention of e records in agency custody.

1

Pro

(a) Permanent records shall be transferred to the National Archives of the United States when the recom have been in existence for more than 30 years unless the head of the agency which has custody of the records certifies in writing to the Archivist that the records must be retained in agency custody for use in the conduct of the regular current business of the agency. Records that are scheduled in a NARA-approved records schedule w be transferred to the National Ar chives of the United States after a specified period of time are subject to 32 the certification requirement only if the records are not transferred as scheduled.

(b) In order to certify that records must be retained for the conduct of regular current business, an agency should consider the following factors:

(1) Character of use (to be retained by an agency, records should be used for the normal routine business of the agency at the time of certification);

(2) Frequency of use (to be retained by an agency, records should be used more than one time per month per file unit); and,

(3) Preservation of the records (to be retained by an agency, permanently valuable records should be preserved in accordance with NARA guidelines).

(c) The written certification of need of a series of 30-year-old records for current agency business must:

(1) Include a comprehensive descrip tion and location of records to be retained;

(2) Cite the NARA approved author ity for the disposition of the records if scheduled (SF 115 item number);

2

N

(3) Describe the current business for which the records are required;

(4) Estimate the length of time the records will be needed by the agency for current business (if no date is provided by the agency, approved certification requests will be effective for a maximum of five years);

(5) Explain why the current needs of the agency cannot be met by the services NARA provides for records deposited with the National Archives of the United States; and,

(6) If the records are being retained to enable the agency to provide routine public reference, cite the statute authorizing this agency activity.

(d) NARA will not accept an agency certification that a specific body of records over 30 years old, regardless of physical form or characteristics, is being used for the "conduct of the regular current business," if that agency is retaining such records primarily to: (1) Provide to persons outside the agency access which can be provided by NARA; or

(2) Function as an agency archives, unless specifically authorized by statute or NARA.

[57 FR 22433, May 28, 1992]

Audiovisual records appraised as permanent should be transferred to the National Archives as soon as they become inactive or whenever the agency cannot provide proper care and handling of the materials (see part 1232 of this chapter) to guarantee their preservation. Additionally, the following policies shall govern the transfer of audiovisual records to the National Archives:

(a) Motion pictures. The following copies are necessary for the preservation, duplication, and reference service of motion pictures transferred to the National Archives of the United States. Agencies shall transfer all specified copies, if they exist.

(1) Agency-sponsored motion picture films for distribution (informational films):

(i) Original negative or color original plus separate optical sound track; and (ii) Intermediate master positive or duplicate negative plus optical sound track; and

(iii) Sound projection print.

(2) Agency motion picture films made for internal use (program films): (i) Original negative or color original plus sound, and

(ii) Projection print.

(3) Agency acquired motion picture films: Two projection prints.

(4) Unedited outtakes and trims (the discards of film productions) may be considered for deposit in the National Archives if they are properly arranged, labeled, and described and show unstaged, unrehearsed events of historical interest or historically significant phenomena. The following elements should be included:

(i) Original negative or color original; and

(ii) Work print.

(b) Still pictures. The following elements are necessary for the preservation, duplication and reference service of each pictoral image transferred to the National Archives of the United States. Agencies shall transfer all specified copies, if they exist.

(1) For black and white photographs, an original negative and a captioned print. If the original negative is unstable safety, acetate, nitrate, or glass, a duplicate negative is also needed.

(2) For color photographs, the original color transparency or color negative, a captioned print, and an internegative if one exists.

(3) For slide sets, the original and a reference set, and the related audio recording and script if one exists.

(4) For other pictorial records such as posters, original artwork, and filmstrips, the original and a reference print.

(c) Sound recordings. The following types of audio documents are necessary for the preservation, duplication, and reference service of sound recordings transferred to the National Archives of the United States. Agencies shall transfer all specified copies, if they exist.

(1) For conventional, mass-produced, or multiple-copy disc recordings, the master tape, the matrix or stamper of each sound recording, and a disc pressing of each recording.

(2) For magnetic sound recordings usually on audio tape (reel-to-reel, ca

sette, or cartridge), the original tape or the earliest generation of the recording available and a "dubbing" if one has been made.

(d) Video recordings. The original or the earliest generation of the video recording is necessary for the preservation, duplication, and reference service of this medium. A kinescope of the recording may be substituted.

(e) Finding aids and production documentation. The following records shall be transferred to the National Archives with the audiovisual records to which they pertain:

(1) Existing finding aids such as data sheets, shot lists, continuities, review sheets, catalogs, indexes, list of captions, and other documentation, whether in paper, electronic, or other form, that are necessary or helpful for the proper identification, retrieval, and use of the audiovisual records; and (2) Production case files or similar files that include copies of production contracts, scripts, transcripts, and appropriate documentation bearing on the origin, acquisition, release, and ownership of the production.

[42 FR 57315, Nov. 2, 1977. Redesignated at 50 FR 15723, Apr. 19, 1985, and 55 FR 27433, July 2, 1990, as amended at 57 FR 22433, May 28, 1992]

§ 1228.186 Cartographic and architectural records.

The following classes of cartographic and architectural records appraised as permanent should be transferred to the National Archives as soon as they become inactive or whenever the agency cannot provide the proper care and handling of the materials to guarantee their preservation.

(a) Maps and charts. (1) Manuscript maps; printed and processed maps on which manuscript changes, additions, or annotations have been made for record purposes or which bear manuscript signatures to indicate official approval; and single printed or processed maps that have been attached to or interfiled with other documents of a record character or in any way made an integral part of a record.

(2) Master sets of printed or processed maps in the custody of the agency by which they were issued. Such master sets should be kept segre

gated from the stock of maps held for distribution and from maps received from other agencies. A master set should include one copy of each edition of a printed or processed map issued.

(3) Computer-related and computerplotted maps that cannot be reproduced by the National Archives be cause of destruction of the magnetic tapes or other stored data or because of the unavailability of ADP equipment.

(4) Index maps, card indexes, lists, catalogs, or other finding aids that may be helpful in using the maps transferred.

(5) Records related to preparing compiling, editing, or printing maps such as manuscript field notebooks of surveys, triangulation and other geodetic computations, and project folders containing specifications to be fol lowed and appraisals of source materials to be used.

(b) Aerial photography and remote sensing imagery. (1) Vertical and ob lique negative aerial film, conventional aircraft.

(2) Annotated copy negatives, inter negatives, rectified negatives, and glass plate negatives from vertical and oblique aerial film, conventional aircraft.

(3) Annotated prints from aerial film, conventional aircraft.

(4) Infrared, ultraviolet, multispec tral (multiband), video, imagery radar, and related tapes, converted to a film base.

(5) Indexes and other finding aids in the form of photo mosaics, flight line indexes, coded grids, and coordinate grids.

(c) Architectural and related engi neering drawings. (1) Design drawings, preliminary and presentation drawings, and models which document the evolution of the design of a building or structure.

(2) Master sets of drawings which document the condition of a building or structure in terms of its initial con struction and subsequent alterations. This category includes final working drawings, "as-built" drawings, shop drawings, and repair and alteration drawings.

1

(3) Drawings of repetitive or standard details of one or more buildings or structures.

(4) "Measured" drawings of existing buildings and original or photocopies of drawings reviewed for approval.

(5) Related finding aids and specifications to be followed.

[42 FR 57315, Nov. 2, 1977. Redesignated at 50 FR 15723, Apr. 19, 1985, and 55 FR 27433, July 2, 1990, as amended at 57 FR 22433, | May 28, 1992]

§ 1228.188 Electronic records.

(a) Magnetic tape. (1) Computer magnetic tape is a fragile medium, highly susceptible to the generation of error by improper care and handling. To ensure that permanently valuable information stored on magnetic tape is preserved, Federal agencies should schedule files for disposition as soon as possible after the tapes are written. When NARA has determined that a file is worthy of preservation, the agency should transfer the file to the National Archives as soon as it becomes inactive or whenever the agency cannot provide proper care and handling of the tapes (see part 1234 of this chapter) to guarantee the preservation of the information they contain.

(2) Agencies shall transfer electronic records to the National Archives I either on open reel magnetic tape or on tape cartridges. Open reel magnetic tape shall be on one-half inch 7 or 9 I track tape reels recorded at 800, 1600, or 6250 bpi. Tape cartridges shall be 18 track 3480-class cartridges recorded at 37,871 bpi. The data shall be written f in ASCII or EBCDIC with all extranetous control characters removed from the data (except record length indicators for variable length records, or marks designating a datum, word, field, block or file), blocked at not higher than 32,760 bytes per block. The open reel magnetic tapes or the tape cartridges on which the data are recorded shall be new or recertified tapes (see part 1234 of this chapter) which have been passed over a tape cleaner before writing and shall be rewound under controlled tension.

(b) Other magnetic media. When an electronic file that has been designated for preservation by NARA is main

tained on a direct access storage device, the file shall be written on an open reel magnetic tape or on a magnetic tape cartridge that meets the specifications in paragraph (a)(2) of this section. This tape copy shall be transferred to the National Archives.

(c) Documentation. Documentation adequate for servicing and interpreting electronic records that have been designated for preservation by NARA shall be transferred with them. This documentation shall include, but not necessarily be limited to completed NARA Form 14097, Technical Description for Transfer of Electronic Records, or its equivalent. Where it has been necessary to strip data of its extraneous control characters (see paragraph (a)(2) of this section), the codebook specifications defining the data elements and their values must match the new format of the data. Guidelines for determining adequate documentation may be obtained from the Office of Records Administration (NI), National Archives and Records Administration, Washington, DC

20408.

[57 FR 22433, May 28, 1992]

§ 1228.190 Transfer of records.

(a) Policy. Federal records will be transferred to the National Archives of the United States only if they are listed as permanent on an SF 115, Request for Records Disposition Authority approved by NARA since May 14, 1973, or if they are accretions (continuations of series already accessioned) to holdings of the National Archives. Transfers are initiated by submission of an SF 258, Request to Transfer, Approval and Receipt of Records to the National Archives of the United States.

(b) Initiation of request to transfer. (1) NARA will provide the SF 258 for records scheduled for immediate transfer on an SF 115 approved after September 30, 1987. NARA will send the SF 258 to the agency with the approved SF 115. The agency will sign and return the SF 258 to the address indicated on the form.

(2) Future transfers of series in agency space. Sixty days before the scheduled date of transfer to the Na

341-135 0-93-28