REG 36 CFR PART 1233-2011 TRANSFER USE AND DISPOSITION OF RECORDS IN A NARA FEDERAL RECORDS CENTER.pdf

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1、853 National Archives and Records Administration 1233.3 schedules, including the General Records Schedules, are applied to records in agency records centers or commercial records storage facilities in a timely fashion. Procedures must include a requirement that the agency records center or commercia

2、l records storage facility notify agency records managers or the creating office before the disposal of temporary records un-less disposal of temporary records is initiated by the agency. (2) Move temporary records that are subsequently reappraised as permanent to a facility that meets the environ-m

3、ental control requirements for per-manent records in 1234.14 of this sub-chapter within one year of their re-ap-praisal, if not already in such a facil-ity. (Paper-based permanent records in an existing records storage facility that does not meet the environmental control requirements in 1234.14 of

4、this subchapter on October 1, 2009, must be moved from that facility no later than February 28, 2010.) (3) Agencies must establish proce-dures to ensure that the agency records centers or commercial records storage facilities transfer permanent records to the National Archives of the United States a

5、s individual series spanning one or more years and in accordance with the provisions of part 1235 of this subchapter. (e) Agencies must ensure that records that are restricted because they are se-curity classified or exempt from disclo-sure by statute, including the Privacy Act of 1974 (5 U.S.C. 552

6、a, as amended), or regulation are stored and main-tained in accordance with applicable laws, Executive orders, or regulations. (f) Agencies must ensure that tem-porary records, including restricted records (security classified or exempt-ed from disclosure by statute, includ-ing the Privacy Act of 19

7、74, or regula-tion), are destroyed in accordance with the requirements specified in 1226.24 of this subchapter. (g) Agencies must ensure that emer-gency operating vital records, as de-fined in 36 CFR part 1223, that are transferred to an agency records center or commercial records storage facility a

8、re available in accordance with 36 CFR 1223.24. (h) Provide access to appropriate NARA staff to records wherever they are located in order to conduct an in-spection in accordance with 36 CFR part 1239 or to process a request for records disposition authority. PART 1233TRANSFER, USE, AND DISPOSITION

9、OF RECORDS IN A NARA FEDERAL RECORDS CEN-TER Sec. 1233.1 What are the authorities for part 1233? 1233.2 What definitions apply to this part? 1233.3 What standards are used as guidance for this part? 1233.10 How does an agency transfer records to a NARA Federal Records Center? 1233.12 How does an age

10、ncy transfer vital records to a NARA Federal Records Cen-ter? 1233.14 What personnel records must be transferred to the National Personnel Records (NPRC)? 1233.16 How does an agency transfer records to the National Personnel Records Cen-ter (NPRC)? 1233.18 What reference procedures are used in NARA

11、Federal Records Centers? 1233.20 How are disposal clearances man-aged for records in NARA Federal Records Centers? AUTHORITY: 44 U.S.C. 2907 and 3103. SOURCE: 74 FR 51014, Oct. 2, 2009, unless otherwise noted. 1233.1 What are the authorities for part 1233? The statutory authorities for this part are

12、 44 U.S.C. 2907 and 3103. 1233.2 What definitions apply to this part? See 1220.18 of this subchapter for definitions of terms used throughout Subchapter B, including part 1233. 1233.3 What standards are used as guidance for this part? These regulations conform with guid-ance provided in ISO 154891:2

13、001. Para-graphs 7.1 (Principles of records man-agement programmes), 8.3.3 (Physical storage medium and protection), 8.3.6 (Access, retrieval and use), 8.3.7 (Reten-tion and disposition), 9.6 (Storage and handling), and 9.8.3 (Location and tracking) apply to records creation and maintenance. VerDate

14、 Mar2010 12:12 Sep 29, 2011 Jkt 223139 PO 00000 Frm 00863 Fmt 8010 Sfmt 8010 Y:SGML223139.XXX 223139erowe on DSK2VPTVN1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-854 36 CFR Ch. XII (7111 Edition) 1233.10 1233.10 How does an agency t

15、ransfer records to a NARA Federal Records Center? An agency transfers records to a NARA Federal Records Center using the following procedures: (a) General. NARA will ensure that its records centers meet the facilities standards in 36 CFR part 1234, which meets the agencys obligation in 1232.14(a) of

16、 this subchapter. (b) Agencies must use their des-ignated NARA Federal Records Cen-ter(s) as specified in their agency agreement with NARA (Federal Records Center Program (FRCP) for the storage of records. (c) Transfers to NARA Federal Records Centers must be preceded by the submission of a Standard

17、 Form (SF) 135, Records Transmittal and Re-ceipt, or an electronic equivalent. Preparation and submission of this form will meet the requirements for records description provided in 1232.14(c) of this subchapter, except the folder title list required for perma-nent and unscheduled records. A folder

18、title list is also required for records that are scheduled for sampling or se-lection after transfer. (d) A separate SF 135 or electronic equivalent is required for each indi-vidual records series having the same disposition authority and disposition date. (e) For further guidance on transfer of rec

19、ords to a NARA Federal Records Center, consult the NARA Federal Records Centers Program Web site (http:/www.archives.gov/frc/tool-kit.html#transfer), or current NARA publications and bulletins by con-tacting the National Archives and Records Administration, Office of Re-gional Records Services (NR),

20、 8601 Adelphi Road, College Park, MD or phone (301) 8372950, or individual NARA Federal Records Centers http:/ www.archives.gov/frc/locations.html. 1233.12 How does an agency transfer vital records to a NARA Federal Records Center? For assistance on selecting an appro-priate site among NARA faciliti

21、es for storage of vital records, agencies may contact National Archives and Records Administration, Office of Regional Records Services, 8601 Adelphi Road, College Park, MD or phone (301) 837 2950. The actual transfers are governed by the general requirements and proce-dures in this part and 36 CFR

22、part 1223. 1233.14 What personnel records must be transferred to the National Per-sonnel Records Center (NPRC)? (a) Civilian personnel files: (1) General Records Schedules 1 and 2 specify that certain Federal civilian personnel, medical, and pay records must be centrally stored at the Na-tional Pers

23、onnel Records Center headquartered in St. Louis, MO. (2) Reserved (b) The following types of medical treatment records are transferred to the NPRC: (1) Inpatient (hospitalization) records created for all categories of patients (active duty personnel, retirees, and dependents) receiving inpatient tre

24、at-ment and extended ambulatory proce-dures; and (2) Outpatient medical treatment records for military retirees, depend-ents, and other civilians treated at military health care facilities (ex-cludes active duty military personnel at time of military discharge or retire-ment). 1233.16 How does an ag

25、ency transfer records to the National Personnel Records Center (NPRC)? Agencies must use the following pro-cedures when transferring records to the NPRC: (a) Civilian personnel files. (1) Forward the official personnel folder (OPF) and the employee medical folder (EMF) to the NPRC at the same time.

26、(2) Transfer EMFs and OPFs in sepa-rate folders. (3) Retirement of individual folders is based on the date of separation and should occur within 90 to 120 days after the employee separates from Federal service. (4) For additional guidance, consult the Office of Personnel Management (OPM) 1900 E Stre

27、et, NW., Washington, DC 20415, phone number (202) 6061800, Web site http:/www.opm.gov/feddata/ VerDate Mar2010 12:12 Sep 29, 2011 Jkt 223139 PO 00000 Frm 00864 Fmt 8010 Sfmt 8010 Y:SGML223139.XXX 223139erowe on DSK2VPTVN1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitt

28、ed without license from IHS-,-,-855 National Archives and Records Administration 1233.18 recguide2008.pdf, for the OPM publica-tion The Guide to Personnel Record-keeping for procedures on the transfer of OPFs and EMFs. (b) Military medical records. Military health care facilities should contact thei

29、r facility records managers for guidance on transferring medical records to NPRC. For additional guid-ance, consult the Transactions with the National Personnel Records Center (NPRC), St. Louis, MO section of the NARA Federal Records Centers Pro-gram Web site (http:/www.archives.gov/ frc/toolkit.htm

30、l#transactions). (c) Other guidance assistance. For fur-ther guidance assistance consult the NPRC Web site (http:/www.archives.gov/ facilities/mo/stllouis.html). 1233.18 What reference procedures are used in NARA Federal Records Centers? (a) Agency records transferred to a NARA Federal Records Cente

31、r remain in the legal custody of the agency. NARA acts as the agencys agent in maintaining the records. NARA will not disclose the record except to the agency that maintains the record, or under rules established by that agency which are consistent with existing laws. (b) For general reference reque

32、sts agencies may use an FRCP electronic system or, the Optional Form (OF) 11, Reference RequestFederal Records Centers, a form jointly designated by that agency and NARA, or their elec-tronic equivalents. (c) For civilian personnel records, agencies must use the following forms: (1) Standard Form 12

33、7, Request for Official Personnel Folder (Separated Employee), to request transmission of personnel folders of separated employ-ees stored at the National Personnel Records Center. Additional instruc-tions on requesting OPFs are available online at http:/www.archives.gov/st- louis/civilian-personnel

34、/federal-agen-cies.html. (2) Standard Form 184, Request for Employee Medical Folder (Separated Employee), to request medical folders stored at the National Personnel Records Center. Additional instruc-tions on requesting EMFs are available online at http:/www.archives.gov/st- louis/civilian-personne

35、l/federal-agen-cies.html. (3) Optional Form 11, Reference Re-questFederal Records Center to re-quest medical records transferred to other NARA Federal Records Centers prior to September 1, 1984. The request must include the name and address of the agencys designated medical records manager (d) For m

36、ilitary personnel records reference requests, the following forms must be used: (1) Federal agencies must use Stand-ard Form (SF) 180, Request Pertaining to Military Records, to obtain informa-tion from military service records in the National Personnel Records Center (Military Personnel Records); a

37、uthor-ized agencies requesting the loan of a military personnel record may order records using eMilrecs (electronic equivalent of the SF 180). Access to eMilrecs and additional information is available on line at: http:www.archives.gov/st-louis/military- personnel/agencies/ompf-fed-agency.html. (2)

38、A military veteran or the next of kin of a deceased, former member of the military may order military per-sonnel records through the submission of an SF 180 or an online records re-quest system. Additional information is available on line at: http:/ www.archives.gov/veterans/evetrecs. (3) Members of

39、 the public and non- governmental organizations also may obtain copies of SF 180 by submitting a written request to the National Per-sonnel Records Center (Military Per-sonnel Records), 9700 Page Boulevard, St. Louis, MO 63132. OMB Control Num-ber 30950029 has been assigned to the SF 180. (4) Agenci

40、es may furnish copies of the SF 180 to the public to aid in in-quiries. Copies of SF 180 are available at: http:/www.archives.gov/st-louis/mili-tary-personnel/standard-form-180.html#sf. (5) For guidance on requesting origi-nal medical treatment records, mili-tary hospitals and clinics should con-sul

41、t the Transactions with the Na-tional Personnel Records Center (NPRC), St. Louis, MO section of the NARA Federal Records Centers Pro-gram Web site (http:/www.archives.gov/ frc/toolkit.html#transactions). VerDate Mar2010 12:12 Sep 29, 2011 Jkt 223139 PO 00000 Frm 00865 Fmt 8010 Sfmt 8010 Y:SGML223139

42、.XXX 223139erowe on DSK2VPTVN1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-856 36 CFR Ch. XII (7111 Edition) 1233.20 (e) For further guidance on request-ing records from a NARA Federal Records Center, consult the NARA Federal Records

43、Centers Program Web site (http:/www.archives.gov/frc/tool-kit.html#retrieval), or current NARA publications and bulletins by con-tacting the Office of Regional Records Services (NR), or individual NARA Federal Records Centers (http:/ www.archives.gov/frc/locations.html), or the Washington National R

44、ecords Cen-ter (NWMW). 1233.20 How are disposal clearances managed for records in NARA Fed-eral Records Centers? (a) The National Personnel Records Center will destroy records covered by General Records Schedules 1 and 2 in accordance with those schedules with-out further agency clearance. (b) NARA

45、Federal Records Centers will destroy other eligible Federal records only with the written concur-rence of the agency having legal cus-tody of the records. (c) NARA Federal Records Centers will maintain documentation on the final disposition of records, as required in 36 CFR 1232.14(d). (d) When NARA

46、 approves an exten-sion of retention period beyond the time authorized in the records schedule for records stored in NARA Federal Records Centers, NARA will notify those affected records centers to sus-pend disposal of the records (see 1226.18 of this subchapter). (e) For further guidance on records

47、 disposition, consult the NARA Federal Records Centers Program Web site (http:/www.archives.gov/frc/tool-kit.html#disposition), or current NARA publications and bulletins by con-tacting the Office of Regional Records Services (NR) or individual NARA Fed-eral Records Centers (http:/ www.archives.gov/

48、frc/locations.html), in-dividual NARA regional facilities, or the Washington National Records Cen-ter (NWMW). PART 1234FACILITY STANDARDS FOR RECORDS STORAGE FACILITIES Subpart AGeneral Sec. 1234.1 What authorities apply to part 1234? 1234.2 What does this part cover? 1234.3 What publications are in

49、corporated by reference? 1234.4 What definitions are used in this part? Subpart BFacility Standards 1234.10 What are the facility requirements for all records storage facilities? 1234.12 What are the fire safety require-ments that apply to records storage fa-cilities? 1234.14 What are the requirements for envi-ronmental controls for records storage facilities? Subpart CHandling Deviations From NARAs Facility Standards 123