ML20247H052
| ML20247H052 | |
| Person / Time | |
|---|---|
| Site: | Seabrook  |
| Issue date: | 05/18/1989 |
| From: | Becton J Federal Emergency Management Agency |
| To: | Federal Emergency Management Agency |
| References | |
| OL-I-MAG-096, OL-I-MAG-96, NUDOCS 8905310144 | |
| Download: ML20247H052 (7) | |
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,R December' 22', 1988.
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MEMORANDUM FOR:
Deputy Director Associate Directors Administrators-Regional Directors i
Offic Dig o
FROM:
u us W. Becton, Jr.
irector
SUBJECT:
Disposition of Personal Papers and Official Records As the Presidential transition takes place during the next several weeks, it is an appropriate time to remind you of the requirements, established by Federal law and implementing regulations, concerning the distinction between personal papers and official documents. The. key points of these issues are outlined in the attached National Archives and Records Administration Bulletin 89-2.
Since' records created by senior executives of FEMA have obvious historical value, your understanding and strict compliance with the attached guidelines are required to ensure the security and integrity of FEMA records.
If you have' questions regarding this matter, please call Alfred Warren, telephone 646-2641.
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NationalArchives and l
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hhington, DC 20408 NARA BULLETIN P4C). 8 9-2 November 14, 1988 TO:- Heads of Federal agencies
SUBJECT:
Disposition of Federal records and personal papers 1.
Purpose.
This bulletin summarizes the quirements of Federal law and related regulations and re.a. ads heads of all Federal agencies of their legal responsibilities to:
a.
Ensure the security and integrity of Federal records; b.
Safeguard records against unauthorized disposition; and c.
Inform agency officials and personnel about established procedures for maintaining personal papers.
2.
Expiration.
This bulletin will remain in effect until November 14, 1990.
3.
Cancellation.
GSA Bulletin FPMR B-106, Disposition of personal papers and official records, dated October 30, 1980, is canceled.
4.
Statutory requirements.
a.
44 U.S.C.
3303a and 44 U.S.C.
3314 prohibit the destruction or removal from Government custody of any Federal records without the approval of the Archivist of the United States.
b.
44 U.S.C.
3105 requires heads of Federal agencies to establish safeguards against the removal or loss of records.
These include notifying agency officials that (1) the alienation and destruction of records in agency custody is governed by specific provisions of chapter 33, title 44, U.S.
Code, and (2) criminal penalties are provided for the unlawful removal or destruction of Federal records (18 U.S.C 2071) and.for the unlawful disclosure of certain information pertaining to national security (18 U.S.C.
793, 794, and 798).
c.
44 U.S.C.
3106 requires heads of Federal agencies to notify the Archivist of the United States of any actual, impending, or threatened ur. lawful removal, alteration, or destruction of records in their custody.
The Archivist of the United States will assist agency heads in initiating action i
i,
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' November-14,)1988 NARA. Bulletin 89-2 through the Attorney General of the United States for the recovery Hof records unlawfully removed.
If no' notification occurs:within a reasonable' time,.the Archivist'will request
. action by the Attorney General' and so inform the Congress.
15.-
I'dentifying Federal records.
a.
44 U.S.C. 3301' defines " Federal records" to include:
all books, papers, maps, photographs, machine =
readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by anfagency of the United States Government under Federal law or in connection with the' transaction of public' business and~ preserved.or-appropriate for preservation.by-that agency or its legitimate. successor
~
as evidence of the organization, functions, policies, decisions, procedures, ' operations, or other activities.of l
the Government or because of the informational value of.
data in them.. Library and. museum material made.or acquiredfand preserved solely for reference or exhibition-purposes, extra copies of documents preserved only for convenience of. reference, and stocks of publications and of processed documents are not included.
- b.
.The' application of this definition requires an understanding of a.nu'mber of key terms, phrases, and concepts that'it contains, but which are not defined.
These include:
(1)
" Documentary materials."
This term refers to all media containing recorded in fo rma tion, regardless of the nature of the medium or the method or circumstances of recording.- The related phrase "regardless of physical form or characteristics"-
means that'the medium may'be paper, film, disk', or other physical
. type.oriform; and that the method of recording may be manual, mechanical, photographic, electronic, or any'other combination of these or'other technologies.
(2) "Made."
In the context of this definition, the term i
"made" refers to the act of recording information by agency personnel, regardless of the method and the medium involved.
The
~
act of recording is generally manifested by circulation to others or by ' filing where the information would be accessible to others.
(3) " Received."
This term refers to the receipt of documentary materials by agency personnel regardless of origin (private citizens, public officials, other agencies, contractors,
' Government grantees, etc.) and regardless of how transmitted (in person or by messenger, mail, electronically, or any other method).
In this context, the term does not refer to misdirected materials.
It may or may not refer to loaned or seized materials depending on the conditions under which such materials came into j
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November-.14,. 1988-NARA Bulletin 89-2 agency custody.or.were used by the agency.
Advice of' legal OM counselE.should be sought regarding loaned or seized materials.
(4). " Preserved. "
This refers.to;the filing, storage or other method of. systematically maintaining documentary materials
. by the : age'ncy. : The phrase covers materials temporarily. removed from established filing systems as-well as materials actually filed or otherwise systematically' maintained.
(5) " Appropriate for preservation."
This phrase refers to documentary materials that, because of the evidenceaor information they contain, should be filed, stored or otherwise W
systematically maintained by an agency even.though the materials I
may.not be covered by current filing or maintenance requirements.
(6)l "Nonrecord materials."
This concept. refers to documentaryJmaterials that do not meet both conditions of record status (see paragraph: Sc) or that are specifically excluded by statute from status as records-(see paragraph 5d).
- c.. Documentary materials achieve record status because they meet both of the:following conditions:
(1) they are made or received by an agency ofLthe United States. Government-under Federal law or in connection ~with the transaction of public' business; and i
(2). they are ' preserved or are appropriate for preser-vation ascevidence of agency activities or because of the value sof the information they contain.
d.
Documentary materials that are specifically excluded from the definition of ' Federal' records are those cited in 44 USC 3301:
(1) library and museum material, but only if such material is made or-acquired and preserved solely for reference or'exhibirion purposes; 1
(2) extra copies of documents, but only if the sole reason such copies are preserved is for convenience of reference; and (3) stocks of publication and of processed documents.
1 Not all of an agency's publications and processed documents are excluded, only stocks of such materials.
Each agency should create and maintain serial or record sets of its publications and processed documents, including posters and maps; these both serve as evidence of ~ agency activities and have value for the information that they contain.
e.
Nonrecord materials may be removed from Government
. custody, but only with the approval of the head of the agency or 3
November 14, 1988 NARA Bulletin 89-2 the individual authorized to act for the agency on matters pertaining to agency records.
An employee may not remove from Government custody copies of any documentary materials that are security-classified unless these materials are transferred directly from the employee's agency to a facility that meets
' Federal requirements for the protection of security-classified material.
An employee also may not remove from Government custody copies of any documentary materials containing other l
agency restrictions on access unless the materials a';e transferred directly to a facility that agrees to observe the applicable restrictions.
6.
Identi fying personal papers.
a.
36 CFR 1222.20(d) defines personal papers:
)
i Papers of a private or nonofficial character which pertain only to an individual's personal affairs that are kept in the. office of a Federal official shall be clearly designated by him or her as nonof ficial and shall at all times be filed separately from the official records of the office.
b.
Examples of personal. papers include:
(1) papers accumulated by an official before joining Government service; l
(2) materials relating solely to an individual's private I
af f airs, such as outside business pursuits, professional affiliations, or private political associations; and (3) diaries, journals, or other personal notes that are not prepared or received in the process of transacting Government
- business, Correspondence designated " personal," " confidential," or c.
" private," etc., but used in connection with the transaction of public business, is a Federal record (or " official record")
subject to the previsions of pertinent laws and regulations.
Federal records are public records and belong to the Government rather than to the employee.
d.
Personal papers that are maintained in a Federal office j
should be filed separately from official files in order to-t (1) avoid inadvertent loss of Federal records, (2) facilitate retrieval of records, and (3) eliminate the possibility that personal papers will be confused with Federal records and made available under the l
4
.c-November 14, 1988 NARA Bulletin 89-2 Freedom of Information Act.
When both private matters and agency business appear in the same document, the part relating to agency business should be extracted or copied and treated as a Federal record.
7.
Action to be taken by agency heads.
j a.
Heads of all Federal agencies are responsible for ensuring that agency employees are fully informed of requirements i
of Federal law concerning records held by their agencies.
Agency heads should review agency records management programs and determine ~ whether adequate safeguards exist against the unauthorized removal, alteration, or destruction of Federal records. To ensure adequate safeguards, they must make all agency employees aware of:
(1)
The legal requirements governing the disposition of Federal records.
Removal or destruction of Federal records may i
occur only when authorized by NARA in an agency records schedule or in General Records Schedules.
(2)
The criminal penalties that are attached to unlawful removal or destruction of Federal records.
o (3)
Their legal responsibility to inform responsible officials of any actual, impend ing, or threatened unlawful removal, alteration, or destruction of Federal records.
(4)
The requirement for identifying and maintaining personal-papers separately from Federal records.
. Responsible officials should regularly monitor compliance with this requirement.
b.
Effective methods to bring these legal requirements to the attention of agency' employees include (1) issuance of appropriate directives and (2) discussions held during orientation and debriefing sessions, especially those held for senior executives.
c.
Agencies should incorporate legal requirements regarding Federal records and personal papers into their filing manuals and records schedules.
Adequate and proper separation and control of personal papers is essential to ensuring the security and integrity of Federal records.
d.
Appropriate agency officials should review the papers to be removed by departing employees to ensure that Federal records are not removed from Government custody without proper authorization.
5
f 1
November'14, 1988 NARA Bulletin 89-2 18.
-Assistance to agencies.
~
a.
The National Archives ' and Records Administration will assist agencies in determining whether documentary materials are records, nonrecord materials, or personal papers.
Oral requests for assistance should be directed to.the Records Administration Information Center (202-724-1471),. to the appropriate appraisal archivist in the Records Appraisal and Disposition Division,. or to 'the director of.the Federal Records Center serving the agency's. field records.-
Written requests should be forwarded to
.the National Archives and Records Administration (NIR),
. Washing ton,' DC 20408.
b.
NARA's Presidential libraries may accept donations from-high. Government officials of their personal papers and of nonrecord ' materials and extra copies of -documents authorized fpr removal from Government custody.
When the personal papers of
' Presidential appointees are used in conj unction with Federal-records, they help to document the interests and accomplishments of those at the highest -levels of. Government and the
, administration they~ served.
Requests for information should be
= directed to the National Archives and Records Administration (NL), Washington, DC 20408 (202-523-3212).
C1 i
DON W. WILSON Archivist of the United States I'
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