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Chapter 15 Federal Register

August 07, 2007

These operational records relate to publishing the Federal Register, Code of Federal Regulations, Weekly Compilation of Presidential Documents, Public Papers of the Presidents of the United States, U.S. Government Manual, U.S. Statutes at Large, slip laws enacted by Congress, and other publications of the Office of the Federal Register (OFR). Included are files pertaining to administration, staff surveys and studies, published legal documents of the executive and legislative branches, record sets of OFR publications, Incorporation by Reference publications and approvals, and customer communications. There are also records concerning Constitutional amendments, interstate agreements, and the Electoral College.

Program Administration

File #DescriptionDisposition
1501 Administrative Committee Files
Documents relating to the Administrative Committee of the Federal Register, established by the Federal Register Act (44 U.S.C. 1506).
1501-1 Records created or accumulated by the Committee which document membership, policy, and accomplishments of the Committee. Included are agendas, minutes, final reports, and related records.
a. Records of the Secretary. Arranged chronologically by meeting date.
PERMANENT. Cut off in 5-year blocks. Transfer to NARA in 5-year blocks when 10 years old. (N1-64-87-1)
b. Comments received from the public on proposed rulemaking. Arranged chronologically.
PERMANENT. Cut off in 5-year blocks. Transfer to NARA in 5-year blocks when 10 years old. (N1-64-87-1)
c. All other copies.
Cut off annually. Destroy when 2 years old. (N1-64-87-1)
1501-2 All other records created by the Committee. Destroy when 3 years old. (GRS 16, item 8b[2])
1502 Legislative Reference Files
Papers relating to legislation affecting OFR's publications. Included are copies of interpretive documents and related records. Destroy when superseded or obsolete. (N1-64-87-1)
1503 Staff Surveys and Studies
Documents created in surveying and studying OFR administrative techniques, editorial and publication policies, and related subjects. Included are completed staff surveys and studies, supporting papers, and related records.
1503-1 Record copy of each survey and study. Arranged by survey or study. PERMANENT. Cut off annually. Transfer to NARA in 5-year blocks when 10 years old. (N1-64-87-1)
1503-2 Working or background papers. Cut off after completion of project. Destroy when 2 years old. (N1-64-87-1)
1504 Agency Correspondence Files
1504-1 Correspondence from Federal agencies regarding the printing and publishing of regulations by OFR. Cut off annually. Destroy when 1 year old. (N1-64-87-1)
1504-2 Correspondence designating Federal Register Liaisons. Destroy when superseded or obsolete. (N1-64-87-1)

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Publications

File #DescriptionDisposition
1505 eDOCS System and Related Publication Records
Documents submitted by the Executive and Legislative Branches of the Government that are required by law or authorized to be published. The eDOCS system facilitates electronic submission of documents for publication in the Federal Register, and provides a means of processing them for publication in both electronic and printed form.
1505-1 Electronic submissions: Records received from a Federal agency and used as input/source records for producing Federal Register documents. Includes records on disk or other storage media or transmitted on the internet or by e-mail. Documents include those signed electronically by the authorized agency official using PKI. Delete when data have been entered into eDOCS and verified, or when no longer needed to support reconstruction of, or serve as backup to the database, whichever is later. (N1-64-06-3, item 1a)
1505-2 Original signed paper submissions (either a duplication of an electronic submission or a paper-only submission).
a. Documents from Federal agencies.
(1) Rules
Cut off annually. Destroy when 5 years old. (N1-64-06-3, item 1b[1]A)
(2) Proposed Rules and Notices
Cut off annually. Destroy when 2 years old. (N1-64-06-3, item 1b[1]B)
b. Presidential documents (i.e., Presidential Proclamations, Executive Orders, and similar documents signed by the President). Arranged by type of document and thereunder numerically.
1505-3 Electronic documents
a. Copies of published or withdrawn documents in various stages of edit, formatting, pagination and coding for publication by GPO. Versions include the original electronic document as received or transcribed, the public inspection copy, and the retained copy of the final document formatted and coded for publication by GPO.
Cut off at end of calendar year. Delete when 5 years old. (N1-64-06-3, item 2a)
b. Metadata: Data tracking the documents in various stages of edit and processing (e.g. coding, pagination).
Cut off at end of calendar year. Delete when 5 years old. (N1-64-06-3, item 2b)
1505-4 Outputs
a. Outgoing final documents coded for publication by GPO.
Transmit final document to GPO. An electronic copy is retained in item 2a above. (N1-64-06-3, item 3a)
b. Management and operational reports for workload measurement and analysis, general or specific document tracking, and other operational purposes.
Cut off at end of year. Destroy or delete when 2 years old or when no longer needed for administrative use, whichever is sooner.(N1-64-06-3, item 3b)
1505-5 System documentation. System design manual, user manual, system development documents, or equivalent documentation. Maintain for life of system and destroy or delete when no longer needed for operational purposes, whichever is later. (N1-64-06-3, item 4)
1505-6 Backups. Security backups for eDOCS, both incremental and full, created and maintained to restore the system in the event of a system failure or other unintentional loss of data.
a. Incremental backups: Daily backups (usually after the close of business) of system transactions made on that day only.
Destroy at the end of each week after full backup is made and verified. (N1-64-06-3, item 5a)
b. Full backups: Full system backup (usually taken once a week after the close of the business week) which becomes a copy of the system for that point in time.
Destroy at the end of each week after full backup is made and verified. (N1-64-06-3, item 5b)
1505-7 Legislative documents. Enrolled public laws and resolutions, and related papers. PERMANENT. Transfer to NARA when administrative need ceases. (NARA will accession these documents under RG 11, General Records of the U.S. Government.) (N1-64-87-1)
1505-8 Legal documents of Federal agencies and related materials received for publication in the Federal Register, but withdrawn from publication and NOT filed for public inspection nor retrieved by the issuing agency. Destroy 60 days after withdrawal date if NOT retrieved sooner by issuing agency. (N1-64-01-1, item 3)
1506 Record Set of Federal Register Publications
1506-1 Record copy of each issue and publication of OFR. EXCLUDED are microfiche copies of the Federal Register and the Code of Federal Regulations published after December 31, 1986 (See 1506-2). Arranged by type of record and thereunder numerically. PERMANENT. Cut off annually and retire to records center. Transfer to NARA in 5-year blocks when 5 years old. (N1-64-87-1)
1506-2 Microfiche copy of the Federal Register and Code of Federal Regulations published after December 31, 1986. Records will be microfilmed in accordance with the standards set forth in 36 CFR 1230.14. Storage conditions must adhere to the standards in 36 CFR 1230.20. Inspections must be done in accordance with 36 CFR 1230.22. PERMANENT. Cut off annually. Transfer to NARA when 1 year old. (N1-64-87-1)
1507 Incorporation By Reference (IBR) Publications and Approval Files
1507-1 IBR Publications Files. Record copy of each publication that was approved by the Director of the Federal Register for incorporation by reference (IBR) in the Federal Register. Included are scientific, technical, and industrial standards and specifications issued by Federal and state agencies, national and international standards-setting bodies, non-governmental organizations, and corporations. Records are in the form of books, manuals, loose-leaf directives, and other printed formats.
a. Federal Aviation Administration (FAA) Airworthiness Directives and Service Bulletins incorporated since January 1, 1993. Arranged chronologically by order of publication in the Federal Register.
PERMANENT. Cut off at end of calendar year. Retire to records center when 3 years old. Transfer to NARA in 5-year blocks when 10 years old. (N1-64-03-4, item 1a[2])
b. Environmental Protection Agency (EPA) State Implementation Standards incorporated since January 1, 1993. Arranged by state and thereunder by date of publication in the Federal Register.
PERMANENT. Cut off at end of calendar year. Retire to records center when 5 years old. Transfer to NARA in 5-year blocks when 15 years old. (N1-64-03-4, item 1b[2])
c. All other publications. Documents are arranged by name of agency, sponsoring agency, or issuing organization, and thereunder chronologically or by document number, depending on the publishing organization.
PERMANENT. Cut off at end of calendar year. Retire to records center when 5 years old. Transfer to NARA in 5-year blocks when 15 years old. (N1-64-03-4, item 1c)
1507-2 Approval Letters. Correspondence and related documentation about approval of a specific IBR by the Director of the Federal Register.
a. Approval letters for FAA Airworthiness Directives and Service Bulletins.
Cut off at end of calendar year. Retire to records center when 2 years old. Destroy when 10 years old. (N1-64-03-4, item 2a)
b. All other approval letters.
Cut off at end of calendar year. Retire to records center when 2 years old. Destroy when 10 years old. (N1-64-03-4, item 2b)

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State Documentation

File #DescriptionDisposition
1508 Notice of Ratifications of Constitutional Amendments from States
Documents accumulated as required by law in confirmation of proposed amendments to the Constitution from the 50 states. Included are transmittals and certificates of ratification and related records, and the original certificate signed by the Archivist of the United States, proclaiming the amendment as part of the Constitution. Arranged alphabetically by state. PERMANENT. Transfer to NARA after ratification OR determination that proposed amendment will not be ratified. (N1-64-87-1)
1509 State Agreement Files
Documents accumulated as a result of the submission by the states of constitutional agreements between the states. Included are duplicates of originals or authenticated copies of agreements, compacts, and related records. Arranged alphabetically by state. PERMANENT. Transfer to NARA in 5-year blocks when 5 years old. (N1-64-87-1)
1510 Certificate of Ascertainment of Electors
Documents accumulated as a result of the votes cast by the people and the electors of the 50 states and the District of Columbia. Included are ballots, state certification of those chosen as electors, and related records. Arranged alphabetically by state. PERMANENT. Transfer to NARA 1 year after the election. (N1-64-87-1)

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Customer Communications

File #DescriptionDisposition
1511 Customer Service Communications Files
Records created or accumulated in providing replies to inquiries from researchers and the general public for general and specific information on publications, policies, and procedures (e.g., rulemaking) of OFR, or on other government publications. Included are e-mails or records of telephone inquires, copies of replies, and related supporting documentation.
1511-1 Routine inquiries and replies and related records. Cut off annually. Destroy when 2 years old. (N1-64-05-3, item 1)
1511-2 Communications control registers and logs (including automated logs) that list incoming inquiries and replies with related information. Cut off annually. Destroy/delete when 2 years old. (N1-64-05-3, item 2)

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Electronic Copies of Records Contained in this Chapter

File #DescriptionDisposition
1599 Word Processing Files and Electronic Mail (E-mail) Records
1599-1 Word Processing Files. Documents such as letters, memoranda, reports, handbooks, directives, and manuals recorded on electronic media, such as hard disks or floppy diskettes, after they have been copied to an electronic recordkeeping system, paper, or microform for recordkeeping purposes. Delete from the word processing system when no longer needed for updating or revision. (GRS 20, item 13; N1-64-01-1, item 5a; and N1-64-03-4, item 3a)
1599-2 E-mail Records. Senders' and recipients' versions of e-mail messages that meet the definition of Federal records, and any attachments to the record messages after they have been copied to an electronic recordkeeping system, paper, or microform for recordkeeping purposes. Delete from the e-mail system after copying to a recordkeeping system. (GRS 20, item 14; N1-64-01-1, item 5b; and N1-64-03-4, item 3b)

NOTE: Along with the message text, the recordkeeping system must capture the names of sender and recipients and date (transmission data for recordkeeping purposes) and any receipt data when required.
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