[Federal Register Volume 67, Number 123 (Wednesday, June 26, 2002)]
[Proposed Rules]
[Pages 43069-43071]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-16047]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1228

RIN 3095-AB03


Expanding Transfer Options for Electronic Records

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rule.

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SUMMARY: This proposed rule will amend the regulations for the transfer 
of permanent records to NARA by permitting two additional electronic 
records transfer methods, File Transfer Protocol (FTP) and Digital 
Linear Tape IV (DLTtape IV). NARA is introducing these transfer methods 
to reduce the media and shipping costs of electronic records 
transferred from Government agencies, improve record and file 
integrity, and expand the options for transfer methods. This rule will 
affect Government agencies transferring permanent electronic records to 
the National Archives of the United States.

DATES: Comments are due by August 26, 2002.

ADDRESSES: Comments must be sent to Regulation Comment Desk (NPOL), 
Room 4100, Policy and Communications Staff, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001. 
They may be faxed to 301-837-0319. You may also comment via the 
Internet to [email protected].

FOR FURTHER INFORMATION CONTACT: Jennifer Davis Heaps at telephone 
number 301-837-1801, or fax number 301-837-0319.

SUPPLEMENTARY INFORMATION: NARA currently accepts magnetic tape and 
compact-disk, read only memory (CD-ROM) as transfer media for records 
scheduled for permanent retention in the National Archives of the 
United States. DLTtape IV is a kind of magnetic tape cartridge. NARA 
has only used media-based transfer methods in the past, but has been 
testing other methods as well as additional media. With this rule, NARA 
proposes the addition of FTP transfer methods and DLT transfer media.
    FTP is a media-less transfer method that can be used to transfer 
electronic records. FTP operates by using special software located at 
the sending and receiving sites. This software, in combination with a 
telecommunications network, provides the means for transferring 
electronic records. The agency may send any documentation in electronic 
format to NARA via FTP as part of the transfer of the electronic 
records or through any other acceptable method of transfer as specified 
in 36 CFR 1228.270.
    DLTtape IV cartridge tape is a high-density magnetic cartridge tape 
that can store up to 40 gigabytes of information on each cartridge. 
DLTtape IV tapes are used by selected tape drive units produced by 
several companies. DLTtape IV preparation will follow existing 
cartridge tape specifications.
    Paragraphs (a) and (b) in Sec. 1228.270 have been rewritten for 
clarity and consistency with the new information in paragraph (c) of 
the same section.
    Although this proposed rule does not address the format of 
electronic records described in paragraph (d), NARA is exploring the 
acceptance of formats other than ASCII and EBCDIC as part of its E-
Government initiative. Any proposed changes in this area will be 
addressed in a separate rulemaking.
    Please submit Internet comments within the body of your email 
message or as an attachment. Please also include ``Attn: 3095-AB03'' 
and your name and return address in your Internet message. If you do 
not receive a confirmation from the system that we have received your 
Internet message, contact the Regulation Comment Desk at 301-837-1801.
    This proposed rule is a significant regulatory action for the 
purposes of Executive Order 12866 and has been reviewed by the Office 
of Management and Budget. As required by the Regulatory Flexibility 
Act, I certify that this rule will not have a significant impact on a 
substantial number of small entities because it applies only to Federal 
agencies.
    This regulation does not have any federalism implications.

List of Subjects in 36 CFR Part 1228

    Archives and records.


    For the reasons set forth in the preamble, NARA proposes to amend 
part 1228 of title 36, Code of Federal Regulations, as follows:

PART 1228--DISPOSITION OF FEDERAL RECORDS

    1. The authority citation for part 1228 continues to read as 
follows:

    Authority: 44 U.S.C. chs. 21, 29, and 33.

    2. Amend Sec. 1228.270 by revising paragraphs (a), (b), and (c) to 
read as follows:


Sec. 1228.270  Electronic records.

    (a) Timing of transfers. Each agency is responsible for the 
integrity of the permanent records it transfers on physical media to 
the National Archives of the United States. For records transferred by 
a media-less method, NARA works with the agency to ensure integrity of 
the records during the transfer process. To ensure that permanent 
electronic records are preserved, each Federal agency must 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

[[Page 43070]]

newer media, the agency must contact NARA to arrange for timely 
transfer of permanent electronic records, even when sooner than 
provided in the records schedule.
    (b) Temporary retention of copy. Each agency must retain a second 
copy of any permanent electronic records that it transfers to the 
National Archives of the United States 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 for current agency use. The agency must use only media that is 
sound and free from defects for transfers to the National Archives of 
the United States; the agency must choose reasonable steps to meet this 
requirement. The approved media and media-less transfer forms are open 
reel magnetic tape, magnetic tape cartridge; Compact-Disk, Read Only 
Memory (CD-ROM); and File Transfer Protocol (FTP) as described in 
paragraphs (c) (1), (2) and (3) of this section.
    (1) Magnetic tape. Agencies may transfer electronic records to the 
National Archives on magnetic tape as follows:
    (i) Open-reel magnetic tape must 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.
    (ii) Tape cartridges may be 18-track 3480-class cartridges. The 
3480-class cartridge must be 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 must be blocked at no more than 32,760 bytes per block.
    (iii) Tape cartridges may be DLTtape IV cartridges that must be 
recorded in an uncompressed format and written to the tape using a Tape 
Archive (TAR) utility. The data must be blocked at no more than 32,760 
bytes per block and must conform to the standards cited in the table as 
follows:

------------------------------------------------------------------------
                                              . . . then, the standard
  If you are copying the record on . . .           below applies.
------------------------------------------------------------------------
DLTtape IV with a DLT 4000 drive..........  ISO/IEC 15307, Information
                                             technology--Data
                                             interchange on 12,7 mm 128-
                                             track magnetic tape
                                             cartridges--DLT 4 format
                                             (20 GB native, 40 GB
                                             compressed, 1.5 MB/sec).
DLTtape IV with a DLT 7000 drive..........  ISO/IEC 15896, Information
                                             technology--Data
                                             interchange on 12,7 mm 208-
                                             track magnetic tape
                                             cartridges--DLT 5 format
                                             (35 GB native, 70 GB
                                             compressed, 5.0 MB/sec).
DLTtape IV with a DLT 8000 drive..........  ISO/IEC 16382, Information
                                             technology--Data
                                             interchange on 12,7 mm 208-
                                             track magnetic tape
                                             cartridges--DLT 6 format
                                             (40 GB native, 80 GB
                                             compressed, 6.0 MB/sec).
------------------------------------------------------------------------

    (2) * * *
    (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.
    (ii) Permanent electronic records must be stored in discrete files. 
The CD-ROMs transferred may contain other files, such as software or 
temporary records, but all permanent records must be in files that 
contain only permanent records. Agencies must 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) If permanent electronic records that an agency disseminates 
on CD-ROM exist on other media, such as magnetic tape, the agency and 
NARA will mutually agree on the most appropriate medium for transfer of 
the records to the National Archives of the United States.
    (3) File Transfer Protocol. Agencies may use File Transfer Protocol 
(FTP) to transfer electronic records scheduled for preservation at the 
National Archives of the United States. The files transferred via FTP 
must comply with the format and documentation requirements specified in 
paragraphs (d) and (e) of this section.
    (i) FTP file structure must conform to an 8.3 file naming 
convention and file directory structure as cited in ANSI/NISO/ISO 9660-
1990, American National Standard for Volume and File Structure of CD-
ROM for Information Exchange.
    (ii) Permanent electronic records must be stored in discrete files, 
separate from temporary files. All permanent records must be 
transferred in files that contain only permanent records.
    (iii) When permanent electronic records may be disseminated through 
other types of mechanisms (e.g., magnetic tape, CD-ROM), the agency and 
NARA will mutually agree on the most appropriate medium for transfer of 
the records to the National Archives and will select the appropriate 
files for FTP transfer. Several important factors may limit the use of 
FTP as a transfer method, including the number of records, record file 
size, and available bandwidth. NARA will retain approval for 
appropriateness of FTP as the selected mechanism for each scheduled 
records transfer based on certain criteria (file size, FTP transfer 
rate, record classification, etc.). Agencies interested in sending 
electronic records scheduled for transfer to NARA through FTP must 
contact NARA's Electronic and Special Media Records Services Division 
(NWME), 8601 Adelphi Rd., College Park, MD 20740-6001 or by email to 
[email protected] to initiate the transfer discussions.
    (iv) Each permanent electronic records transfer must be preceded 
with a signed Agreement to Transfer Records to the National Archives of 
the United States (Standard Form 258) sent to the Office of Records 
Services--Washington, DC (NWME), 8601 Adelphi Road, College Park, MD 
20740-6001.
    (4) Incorporation by reference. The standards cited in 
Sec. 1228.270(c)(1), (2), and (3) are available from the American 
National Standards Institute, 11 West 42nd Street, 13th floor, New 
York, NY 10036. The standards cited for CD-ROM, FTP, and DLTTtapeIV are 
also available from the National Information Standards Organization 
(NISO), Press Fulfillment, P.O. Box 451, Annapolis Junction, MD 20701. 
All these standards are also available for inspection at the Office of 
the Federal Register, 800 North Capitol Street, NW., Suite 700, 
Washington, DC. 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

[[Page 43071]]

approval and a notice of any change in these materials will be 
published in the Federal Register.
* * * * *

    Dated: May 15, 2002.
John W. Carlin,
Archivist of the United States.
[FR Doc. 02-16047 Filed 6-25-02; 8:45 am]
BILLING CODE 7515-01-P