Rule2024-09396
Federal Records Management: GAO Concurrence
Primary source
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Published
May 1, 2024
Issuing agencies
National Archives and Records Administration
Abstract
The National Archives and Records Administration (NARA) is amending our records management regulations to limit the role of the Government Accountability Office (GAO) in approving certain deviations in agency records schedules. Under the updated regulation, Federal agencies will only require GAO approval for records schedules that propose retention periods for accountable officer records that are shorter than the retention periods provided in the General Records Schedule (GRS). 1.1, item 010 for Accountable Officer records. GAO approval will no longer be required for other deviations from the GRS. GAO approval will also not be required for records schedules that dispose of program records less than three years old. GAO has concurred with this change.
Full Text
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<title>Federal Register, Volume 89 Issue 85 (Wednesday, May 1, 2024)</title>
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[Federal Register Volume 89, Number 85 (Wednesday, May 1, 2024)]
[Rules and Regulations]
[Pages 35007-35008]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-09396]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Part 1225
[FDMS No. NARA-24-0008; NARA-2024-026]
RIN 3095-AC12
Federal Records Management: GAO Concurrence
AGENCY: National Archives and Records Administration (NARA).
ACTION: Direct rule.
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SUMMARY: The National Archives and Records Administration (NARA) is
amending our records management regulations to limit the role of the
Government Accountability Office (GAO) in approving certain deviations
in agency records schedules. Under the updated regulation, Federal
agencies will only require GAO approval for records schedules that
propose retention periods for accountable officer records that are
shorter than the retention periods provided in the General Records
Schedule (GRS). 1.1, item 010 for Accountable Officer records. GAO
approval will no longer be required for other deviations from the GRS.
GAO approval will also not be required for records schedules that
dispose of program records less than three years old. GAO has concurred
with this change.
DATES: Send comments on or before July 1, 2024.
ADDRESSES: You may submit comments on this rule, identified by RIN
3095-AC12, by any of the following methods:
Federal eRulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Follow the
instructions for submitting comments.
Email: <a href="/cdn-cgi/l/email-protection#53013634263f32273a3c3d0c303c3e3e363d2720133d3221327d343c25"><span class="__cf_email__" data-cfemail="36645351435a57425f59586955595b5b53584245765857445718515940">[email protected]</span></a>. Include RIN 3095-AC12 in the
subject line of the message.
Mail (for paper, disk, or CD-ROM submissions): Send comments to
Regulation Comments Desk (External Policy Program, Strategy &
Performance Division (MP)); Suite 4100; National Archives and Records
Administration; 8601 Adelphi Road; College Park, MD 20740-6001.
Hand delivery or courier: Deliver comments to the front desk at
8601 Adelphi Road, College Park, MD, addressed to: Regulations Comments
Desk, External Policy Program; Suite 4100.
FOR FURTHER INFORMATION CONTACT: Edward Germino, Strategy and
Performance Division, by email at <a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="71031416041d1005181e1f2e121e1c1c141f0502311f1003105f161e07">[email protected]</a>, or by
telephone at 301-837-3758. Contact <a href="/cdn-cgi/l/email-protection#50223d2324313e3431223423103e3122317e373f26"><span class="__cf_email__" data-cfemail="ff8d928c8b9e919b9e8d9b8cbf919e8d9ed1989089">[email protected]</span></a> with any
questions on records management standards and policy.
SUPPLEMENTARY INFORMATION:
Background
The Federal Records Act at 44 U.S.C. 3309 requires Government
Accountability Office approval in situations where an agency seeks to
dispose of records pertaining to claims and demands by or against the
Government of the United States or to accounts in which the Government
of the United States is concerned. NARA regulations have expanded the
statutory requirement to require approval in two situations. First,
agencies require GAO approval to dispose of agency program records that
are less than three years old. Second, GAO approval is needed before an
agency disposes of records in any way that deviates from what is
provided in former General Records Schedule (GRS) 2-10. GRS 2-10 has
been superseded by GRS 1.1, Financial Management and Reporting Records.
Practically, the current regulatory requirement to obtain GAO
approval before the disposal of certain records means that agencies
must seek GAO approval of numerous records schedules unrelated to GAO's
mission. The required approval by GAO has created an additional burden
on agencies requesting approval of these proposed records schedules and
delays NARA's evaluation and approval processes.
NARA and GAO agree that the review required by this regulation is
no longer necessary or appropriate. GAO review of records disposals
under this regulation was originally established to support GAO
authority under 44 U.S.C. 3309, which provides that records related to
claims and demands by or against the U.S. Government cannot be disposed
of by the agency head unless they have been settled and adjusted by
GAO. However, the General Accounting Office Act of 1996 and the
Legislative Branch Appropriations Act of 1996 transferred the authority
to settle accounts to the Executive Branch. However, GAO retained the
authority to relieve accountable officers from their liability under 31
U.S.C. 3527. Therefore, NARA is amending its records management
regulation to only require GAO approval of records schedules that would
provide retention periods for records of accountable officers that are
shorter than what is authorized in the GRS.
Regulatory Analysis
Executive Order 12866, Regulatory Planning and Review, and Executive
Order 13563 Improving Regulation and Regulation Review
OMB has reviewed this rulemaking and determined it is not
``significant'' under section 3(f) of Executive Order 12866. It is not
significant because it applies only to Federal agencies, updates the
regulations due to a statutory requirement (to incorporate
technological developments and to account for changing technology and
agency practices), and is not establishing a new program. Although the
proposed revisions change existing requirements and add new ones for
agencies, the requirements are necessary to keep the existing
regulations up-to-date, comply with the statute, and ensure agencies
are preserving records for the United States.
Regulatory Flexibility Act (5 U.S.C. 601, et seq.)
This review requires an agency to prepare an initial regulatory
flexibility analysis and publish it alongside the proposed rule. This
requirement does not apply if the agency certifies that the rulemaking
will not, if promulgated, have a significant economic impact on a
substantial number of small entities (5 U.S.C. 603). NARA certifies,
after review and analysis, that this rulemaking will not have a
significant adverse economic impact on small entities.
Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.)
The Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501, et seq.)
requires that agencies consider the impact of paperwork and other
information collection burdens imposed on the public and, under the
provisions of PRA section 3507(d), obtain approval from OMB for each
collection of information they conduct, sponsor, or require through
regulations. This rulemaking does not impose additional information
collection requirements on the public that are subject to the Paperwork
Reduction Act.
Executive Order 13132, Federalism
Executive Order (E.O.) 13132 requires agencies to ensure that State
and local officials have the opportunity for
[[Page 35008]]
meaningful and timely input when those agencies are developing
regulatory policies that may have a substantial, direct effect on the
states, on the relationship between the Federal Government and the
states, or on the distribution of power and responsibilities among the
various levels of government. If the effects of the rule on State and
local governments are sufficiently substantial, the agency must prepare
a Federal assessment to assist senior policymakers. This rulemaking
will not have any effects on State and local governments within the
meaning of the E.O. Therefore, no federalism assessment is required.
Unfunded Mandates Reform Act (Sec. 202, Pub. L. 104-4; 2 U.S.C. 1532)
The Unfunded Mandates Reform Act requires that agencies determine
whether any Federal mandate in the rulemaking may cause State, local,
and Tribal governments, in the aggregate, or cause the private sector
to expend $100 million in any one year. NARA certifies that this
rulemaking does not contain a Federal mandate that may result in such
an expenditure.
List of Subjects in 36 CFR Part 1225
Archives and records, Records management, Records schedules,
Scheduling records.
For the reasons discussed in the preamble, NARA amends 36 CFR part
1225 as follows:
PART 1225--SCHEDULING RECORDS
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1. The authority citation for part 1225 continues to read as follows:
Authority: 44 U.S.C. 2111, 2904, 2905, 3102, and Chapter 33.
0
2. Amend Sec. 1225.20 to read as follows:
Sec. 1225.20 When do agencies have to get GAO approval for schedules?
(a) If an agency requests a deviation from the GRS related to
accountable officer records that would authorize a retention period
shorter than the retention period provided in the GRS, the agency must
obtain approval from the Comptroller General.
(b) This approval must be obtained before NARA will approve the
proposed agency records schedule.
Colleen J. Shogan,
Archivist of the United States.
[FR Doc. 2024-09396 Filed 4-30-24; 8:45 am]
BILLING CODE 7515-01-P
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