[Federal Register Volume 62, Number 203 (Tuesday, October 21, 1997)]
[Rules and Regulations]
[Pages 54582-54585]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-27822]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Parts 1228 and 1234
RIN 3095-AA70
Transfer of Electronic Records to the National Archives
AGENCY: National Archives and Records Administration (NARA).
ACTION: Final rule.
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SUMMARY: This rule revises NARA regulations relating to the transfer of
permanent electronic records to the National Archives of the United
States. The rule clarifies the timing of transfers and expands the
forms of acceptable transfer media. The rule affects Federal agencies.
DATES: Effective November 20, 1997. The incorporation by reference of
certain publications listed in the rule is approved by the Director of
the Federal Register as of November 20, 1997.
FOR FURTHER INFORMATION CONTACT: Thomas E. Brown at 301-713-6630.
SUPPLEMENTARY INFORMATION: NARA published a notice of proposed
rulemaking on July 29, 1996 (61 FR 39373) for a 60-day comment period.
Comments were received from four agencies.
One agency expressed concern that the regulation does not change
the requirement that records be transferred in either ASCII (American
National Standard Code for Information Interchange) or EBCDIC (Extended
binary-coded decimal interchange code). While the regulation expands
the media which NARA will accept, we are unwilling at this time to
expand the coding formats for transfer beyond ASCII or EBCDIC. However
NARA continues to explore additional formats which will meet our long-
term preservation and access needs. To ensure the ability to access the
records over time, the archival format is ASCII or EBCDIC. Conversion
to these formats is easier while the records are in their creating
systems rather than outside of the creating systems after transfer.
Therefore, we have not modified the
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requirement for data to be in ASCII or EBCDIC format when being
transferred to NARA.
One comment stated that NARA should accept relational database
files with embedded control characters associated with a particular
database management system. Such a format would be proprietary and
dependent on a particular software product. Following the transfer to
NARA, it would be problematic as to whether the records would be
accessible. Rather the new regulation calls for the export of tables
from a relational data base as software independent files. The transfer
format is, in fact, the logical format used in a relational database.
Hence the regulation outlines the procedure through which NARA will
accept records from relational databases but free of the proprietary
control characters which would limit access.
One comment recommended that NARA should investigate adding to the
list of acceptable media CD-ROMs that meet ISO standard 13346. As a
result of this comment, NARA technical staff has begun investigating
this standard to determine whether NARA can process records from a CD-
ROM recorded in this format. If this investigation proves successful,
NARA will further amend the CFR.
One agency stated that NARA must not permit public access to non-
permanent software on a CD-ROM unless (1) NARA has appropriate
permission to use and the public has permission to reproduce the
software and (2) the software is necessary to access permanent records.
We agree that the public should not be allowed to reproduce copyrighted
software without permission. NARA will establish internal controls for
managing the research complex to prevent unauthorized reproduction of
CD-ROMs which contain copyrighted software. However, section 109 of the
Copyright Act of 1976 outlined the ``first sale doctrine.'' This
provision allows NARA's researchers to use copyrighted software in the
NARA research complex for access to records on a CD-ROM.
One comment stated that NARA should not provide access to temporary
files. This comment led us to reconsider the proposed use of CD-ROMs in
NARA's research complex, and we concluded that we will not provide
access to temporary records. If an agency transfers both permanent and
temporary records on a CD-ROM, NARA will copy only the permanent
records and return the CD-ROM to the agency or destroy it. In this
final rule, we have amended 36 CFR 1228.188(c)(2)(ii) to reflect this
policy.
One comment objected that NARA permits but does not require
agencies to submit textual documents including formatting codes,
because such codes may carry essential structural information. NARA
agrees with this comment. Section 1228.188(d)(2) of the regulation adds
an option for transferring electronic documents that contain formatting
codes. At this time, only SGML formats can be preserved permanently.
NARA will explore other possibilities to preserve structure and format
of electronic documents. We have not changed the regulation in response
to this comment.
One comment stated that the regulations encourage the use of CD-
ROMs for the storage of electronic records. It went on to conclude that
the proposed regulation may cause technical personnel to argue that CD-
ROM is an appropriate storage media. 36 CFR 1228.188 concerns the use
of CD-ROMs for the transfer of records to the NARA. It does not address
the use of any media for the storage of records. The selection of
storage media for electronic records is addressed in 36 CFR 1234.30. An
agency may store records on any media but must be able to migrate
permanent records to media acceptable for transfer to the National
Archives. To clarify the scope of the regulation, we have modified
Sec. 1228.188(c) to state: ``This section covers the transfer of
permanent records to the National Archives; it does not apply to the
use and storage of records in agency custody. See 36 CFR 1234.30 for
the requirements governing the selection of electronic records storage
media.'' We are also clarifying 36 CFR 1234.30 to reinforce this
distinction between storage and transfer media.
One comment noted that a distinction exists between storing records
and disseminating information. Specifically, the comment stated that
WORM (Write Once--Read Many Times) technology should be used to store
records, and CD-ROM technology should be used to disseminate
information. NARA agrees that there is a difference between the storage
of records and the dissemination of records. Since dissemination of
information can include the transfer of records to the National
Archives, the comment endorses our proposed change in the regulations.
This change in the regulation does not cover the storage of records.
See 36 CFR 1234.28 for the requirements governing the selection of
electronic records storage media. This latter regulation does not
dictate storage media for the records while in agency use; the
regulation makes clear that it is an agency option. NARA will, however,
continue to monitor the status of standardization of WORM technology.
One comment objected that export of tables from a relational
database to flat files is expensive because it requires application
programming. Most records schedules for permanent databases require
periodic transfers, but special programming would only have to be done
once, if at all. Special programming is not necessary in many cases
because the files could be exported using any of a variety of off-the-
shelf tools for data extraction. Export costs can also be minimized by
including migration in the design of those databases that contain
permanent records.
One comment thought that NARA should accept imaged documents on
WORM media. This raises two issues: (1) acceptance of image formats,
and (2) acceptance of WORM media. Currently, with the exception of the
CCITT format for digital facsimile (FAX) transmissions, ANSI and ISO
standards do not exist for any image format or for any WORM disk.
Consequently the acceptance of image documents on WORM media would
result in the archival records being stored in a proprietary format
dependant on a proprietary retrieval system. The result would be either
the loss of information as a result of technological obsolescence or
extremely expensive preservation costs to migrate the images and
storage media to new technologies.
In Sec. 1228.188(c)(2)(i), we have provided more complete
identification of the cited industry standard for CD-ROMs that is
incorporated by reference. In Sec. 1228.188(d)(3), we have provided
more complete identification of the cited standard for digital spatial
data files and its ordering source.
We recognize the concerns that this regulation is narrow in scope
and does not fully address the needs of Federal agencies for NARA
guidance in an increasingly electronic environment. Impressive
developments in technology for creating records have not been matched
by technological developments for managing them. Because of these
constraints, NARA has taken a conservative approach in this regulation
to ensure that the electronic records we accession today are usable 25
and 50 years from now when current software, hardware, and media are no
longer available. NARA is working to expand our capabilities to handle
electronic formats and media that Federal agencies are using today. We
are developing a successor to NARA's Archival Preservation System (APS)
for electronic records, and in FY 1999, we will increase APS processing
capacity to
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50,000 files per year. NARA plans to develop the capability for
preserving document image files in FY 2000, textual electronic records
by FY 2001, and raster and vector files by FY 2002. We will seek the
involvement and assistance of agencies in this effort.
This rule is a significant regulatory action for the purposes of
Executive Order 12866, and has been reviewed by OMB. As required by the
Regulatory Flexibility Act, it is hereby certified that this rule will
not have a significant impact on small entities. This rule is not a
major rule as defined in 5 U.S.C. Chapter 8, Congressional Review of
Agency Rulemaking.
List of Subjects in 36 CFR Parts 1228 and 1234
Archives and records, Computer technology, Incorporation by
reference.
For the reasons set forth in the preamble, Chapter XII of title 36,
Code of Federal Regulations, is amended as follows:
PART 1228--DISPOSITION OF FEDERAL RECORDS
1. The authority citation for part 1228 continues to read:
Authority: 44 U.S.C. chs. 21, 29, and 33.
2. Section 1228.188 is revised to read as follows:
Sec. 1228.188 Electronic records.
(a) Timing of transfers. Each agency is responsible for the
integrity of the records it transfers to the National Archives. To
ensure that permanently valuable electronic records are preserved, each
Federal agency shall transfer electronic records to NARA promptly in
accordance with the agency's records disposition schedule. Furthermore,
if the agency cannot provide proper care and handling of the media (see
part 1234 of this chapter), or if the media are becoming obsolete and
the agency cannot migrate the records to newer media, the agency shall
contact NARA to arrange for timely transfer of permanently valuable
electronic records, even when sooner than provided in the records
schedule.
(b) Temporary retention of copy. Each agency shall retain a second
copy of any permanently valuable electronic records that it transfers
to the National Archives until it receives official notification from
NARA that the transfer was successful and that NARA has assumed
responsibility for continuing preservation of the records.
(c) Transfer media. This paragraph covers the transfer of permanent
records to the National Archives; it does not apply to the use or
storage of records in agency custody. See 36 CFR 1234.30 for the
requirements governing the selection of electronic records storage
media. The agency shall use only media that is sound and free from
defects for such transfers; the agency shall choose reasonable steps to
meet this requirement. The media forms that are approved for transfer
are open reel magnetic tape, magnetic tape cartridge, and Compact-Disk,
Read Only Memory (CD-ROM), as described in paragraphs (c) (1) and (2)
of this section.
(1) Magnetic tape. Agencies may transfer electronic records to the
National Archives on magnetic tape using either open-reel magnetic tape
or tape cartridges. Open-reel magnetic tape shall be on \1/2\ inch 9-
track tape reels recorded at 1600 or 6250 bpi that meet ANSI X3.39-
1986, American National Standard: Recorded Magnetic Tape for
Information Interchange (1600 CPI, PE) or ANSI X3.54-1986, American
National Standard: Recorded Magnetic Tape for Information Interchange
(6250 CPI, Group Coded Recording), respectively. Tape cartridges shall
be 18-track 3480-class cartridges recorded at 37,871 bpi that meet ANSI
X3.180-1990, American National Standard: Magnetic Tape and Cartridge
for Information Interchange--18-Track, Parallel, \1/2\ inch (12.65 mm),
37871 cpi (1491 cpmm), Group-Coded--Requirements for Recording. The
data shall be blocked at no more than 32,760 bytes per block. The
standards cited in this paragraph are available from the American
National Standards Institute, (ANSI), Inc., 11 West 42nd Street, New
York, NY 10036. They are also available for inspection at the Office of
the Federal Register, 800 North Capitol Street, NW., Suite 700,
Washington, D.C. This incorporation by reference was approved by the
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and
1 CFR part 51. These materials are incorporated by reference as they
exist on the date of approval and a notice of any change in these
materials will be published in the Federal Register.
(2) Compact-Disk, Read Only Memory (CD-ROM). Agencies may use CD-
ROMs to transfer electronic records scheduled to be preserved in the
National Archives. The files on such a CD-ROM must comply with the
format and documentation requirements specified in paragraphs (d) and
(e) of this section.
(i) CD-ROMs used for this purpose must conform to ANSI/NISO/ISO
9660-1990, American National Standard for Volume and File Structure of
CD-ROM for Information Exchange. The standard is available from the
National Information Standards Organization (NISO), P.O. Box 1056,
Bethesda, MD or the American National Standards Institute, 11 West 42nd
Street, 13th floor, New York NY 10036. It is also available for
inspection at the Office of the Federal Register, 800 North Capitol
Street, NW., Suite 700, Washington, D.C. This incorporation by
reference was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These materials are
incorporated by reference as they exist on the date of approval and a
notice of any change in these materials will be published in the
Federal Register.
(ii) Permanently valuable electronic records must be stored in
discrete files. The CD-ROMs transferred may contain other files, such
as software or temporary records, but all permanently valuable records
must be in files that contain only permanent records. Agencies should
indicate at the time of transfer if a CD-ROM contains temporary records
and, if so, where those records are located on the CD-ROM. The agency
must also specify whether NARA should return the CD-ROM to the agency
or dispose of it after copying the permanent records to an archival
medium.
(iii) In some cases, permanently valuable electronic records that
an agency disseminates on CD-ROM exist on other media, such as magnetic
tape. In such cases, the agency and NARA will mutually agree on the
most appropriate medium for transfer of the records to the National
Archives.
(d) Formats. The agency may not transfer to the National Archives
electronic records that are in a format dependent on specific hardware
and/or software. The records shall be written in ASCII or EBCDIC with
all control characters and other non-data characters removed (except as
specified in paragraphs (d) (1), (2), and (3) of this section). The
records must not be compressed unless NARA has approved the transfer in
the compressed form in advance. In such cases, NARA may require the
agency to provide the software to decompress the records.
(1) Data files and databases. Data files and databases shall be
transferred to the National Archives as flat files or as rectangular
tables; i.e., as two-dimensional arrays, lists, or tables. All
``records'' (within the context of the computer program, as opposed to
a Federal record) or ``tuples,'' i.e., ordered collections of data
items, within a file or table should have the same logical format. Each
data element within a record should contain only one data value. A
record should not contain
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nested repeating groups of data items. The file should not contain
extraneous control characters, except record length indicators for
variable length records, or marks delimiting a data element, field,
record, or file. If records or data elements in different files need to
be linked or combined, then each record must contain one or more data
elements that constitute primary and/or foreign keys enabling valid
linkages between the related records in separate files.
(2) Textual documents. Electronic textual documents shall be
transferred as plain ASCII files; however, such files may contain
Standard Generalized Markup Language (SGML) tags.
(3) Digital spatial data files. Digital spatial data files shall be
transferred to NARA in accordance with the Spatial Data Transfer
Standard (SDTS) as defined in the Federal Information Processing
Standard 173-1 (June 10, 1994) which is incorporated by reference.
Digital geospatial data files created on systems procured prior to
February 1994 which do not have a SDTS capability are exempt from this
requirement. Agencies should consult with NARA for guidance on
transferring noncompliant digital geospatial data files created between
February 1, 1994 and the effective date of this paragraph. The standard
cited in this paragraph is available from the National Technical
Information Service, Department of Commerce, Springfield, VA 22161.
When ordering, cite FIPSPUB173-1, Spacial Data Transfer Standard
(SDTS). This standard is also available for inspection at the Office of
the Federal Register, 800 North Capitol Street, NW., Suite 700,
Washington, D.C. This incorporation by reference was approved by the
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and
1 CFR part 51. These materials are incorporated by reference as they
exist on the date of approval and a notice of any change in these
materials will be published in the Federal Register.
(4) Other categories of electronic records. Agencies should
identify any foreseeable problems in the possible transfer of
potentially permanent electronic records in accordance with paragraphs
(d) (1), (2), and (3) of this section at the time the records are
scheduled. Special transfer requirements agreed upon by NARA and the
agency shall be included in the disposition instructions.
(5) NARA consultation. The agency shall consult with NARA for
guidance on the transfer of types of electronic records other than
those prescribed in paragraphs (d) (1), (2), and (3) of this section.
(e) Documentation. Documentation adequate to identify, service and
interpret electronic records that have been designated for preservation
by NARA shall be transferred with the records. This documentation shall
include completed NARA Form 14097, Technical Description for Transfer
of Electronic Records, and a completed NARA Form 14028, Information
System Description Form, or their equivalents. Where possible, agencies
should submit required documentation in an electronic form that
conforms to the provisions of this section.
(1) Data files. Documentation for data files and data bases must
include record layouts, data element definitions, and code translation
tables (codebooks) for coded data. Data element definitions, codes used
to represent data values and interpretations of these codes must match
the actual format and codes as transferred.
(2) Digital spatial data files. Digital spatial data files shall
include the documentation specified in paragraph (e)(1) of this
section. In addition, documentation for digital spatial data files may
include metadata that conforms to the Federal Geographic Data
Committee's Content Standards for Digital Geospatial Metadata, as
specified in Executive Order 12906 of April 11, 1994 (3 CFR, 1995
Comp., p. 882).
(3) Documents containing SGML tags. Documentation for electronic
files containing textual documents with SGML tags shall include a table
for interpreting the SGML tags, when appropriate.
PART 1234--ELECTRONIC RECORDS MANAGEMENT
3. The authority citation for part 1234 continues to read:
Authority: 44 U.S.C. 2904, 3101, and 3105
4. In Sec. 1234.30, paragraph (a)(4) is revised to read:
Sec. 1234.30 Selection and maintenance of electronic records storage
media.
(a) * * *
(4) If the media contains permanent records and does not meet the
requirements for transferring permanent records to NARA as outlined in
Sec. 1228.188 of this chapter, permit the migration of the permanent
records at the time of transfer to a medium which does meet the
requirements.
* * * * *
Dated: October 15, 1997.
John W. Carlin,
Archivist of the United States.
[FR Doc. 97-27822 Filed 10-20-97; 8:45 am]
BILLING CODE 7515-01-P
