[Federal Register Volume 67, Number 250 (Monday, December 30, 2002)]
[Rules and Regulations]
[Pages 79517-79520]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-32818]


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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: Final rule.

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SUMMARY: NARA is amending 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.

EFFECTIVE DATE: January 29, 2003. The incorporation by reference of 
certain publications listed in this rule is approved by the Director of 
the Federal Register as of January 29, 2003.

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

SUPPLEMENTARY INFORMATION: The proposed rule was published in the June 
26, 2002, Federal Register (67 FR 43069) for a 60-day public comment 
period. NARA notified Federal records officers and historical, 
archival, and records management organizations of the availability of 
the proposed rule. A copy of the proposed rule was also posted on the 
NARA web site.
    NARA received seven responses to the proposed rule, six from 
Federal agencies and one from a private sector commenter.

File Transfer Protocol

    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.
    Three comments raised questions concerning the security of FTP for 
transferring records. One agency asked whether files transferred by FTP 
would be sent encrypted because there is no mention of this in the 
proposed rule. Another agency and the non-Federal commenter expressed 
similar concern about FTP as an insecure method of transferring 
sensitive files and asked whether provisions have been made to secure 
the transfer and receipt of files by FTP. NARA is only accepting 
unclassified, uncompressed, unrestricted, and unencrypted files via 
FTP. We have made provisions to secure the transfer and receipt of 
electronic files transferred by FTP.
    One agency asked whether there are risks to data integrity when 
transferring electronic records via FTP. The non-Federal commenter 
claimed that FTP is deficient for logging, or tracking and recording, 
transfers, for authenticating senders and receivers, and for 
reliability. During NARA's pilot testing of alternatives to media-based 
transfer methods, NARA has continued to evaluate various secure file 
transfer applications to ensure that we have a reliable system that 
maintains data integrity, authenticity, usability, traceability, and 
reliability. Any transfer application NARA uses at any time will also 
enforce security during the transfer of permanent scheduled electronic 
records.
    One agency asked how data transferred by FTP will be verified for 
accuracy. All electronic files, not just those sent via FTP, go through 
an evaluation and validation review process before the accessioning 
process is completed.
    One agency asked what specific telecommunication network, for 
example web site or dial-up modem, is required to transfer data via 
FTP. NARA's response is that the transfer of files using FTP can be 
accomplished in a variety of ways. The most common methods are dial-up 
modems and high-speed or broadband Internet connections. NARA works 
closely with each individual agency in arranging its specific FTP 
transfers to ensure that the agency has an appropriate secure means of 
transferring the records by FTP.

DLTtape IV

    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 tape preparation will follow existing 
cartridge tape specifications.
    One agency commented that requiring the format to be uncompressed 
reduces some of the viability of DLT media for file transfer and asked 
NARA to reconsider this requirement. NARA did not adopt this comment 
because compression can risk losing record information.
    One agency asked whether NARA will provide further guidance on 
using these transfer methods. Yes, agencies seeking further guidance 
for specific transfers of records should contact NARA's Electronic and 
Special Media Records Services Division (NWME) as cited in Sec. Sec.  
1228.270(c)(1)(iii) and 1228.270(c)(3)(iii).

Other Transfer Methods and Media

    NARA has only used media-based transfer methods in the past, but 
has been testing other methods as well as additional media. Three 
agencies commented that NARA should continue to consider other methods, 
media, and formats for the transfer of permanent electronic records. 
One of these agencies mentioned that DLT tapes are evolving to SDLT 
tapes that have 100/200GB densities. This agency expressed concern that 
although some SDLT tape drives claim to be backward compatible with the 
ability to read from DLT tapes of lesser densities, it is unknown 
whether that will hold as the SDLT technology matures. One agency 
commented that the new emerging standard for software and data storage 
is DVD and asked NARA to consider adding DVD to the approved media 
cited at Sec.  1228.270(c)(2). NARA did not adopt this comment. While 
DVD may prove to be an emerging standard, it does not currently have 
significant presence in the industry for data storage. DVD lacks 
widespread standardization, market placement, and compatibility with 
various drive types. By comparison, DLT has established 
standardization, market placement, and

[[Page 79518]]

multi-drive compatibility. In addition, DLT has greater storage 
capacity. A DLT tape has up to a 40 GB capacity; DVD has less than 5GB 
capacity. We intend to periodically review additional methods for the 
transfer of permanent electronic records and will add them to the CFR 
where appropriate.
    Although this final 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.

Documentation

    One agency asked whether NARA will require agencies to submit 
hardcopy documentation, such as codebooks, record layouts, and data 
dictionaries, with each FTP or DLT transfer. Paragraph (e) of Sec.  
1228.270, which was not modified in this rulemaking, states a 
preference for submission of required documentation in electronic form, 
but NARA will accept in hardcopy, electronic form, or both.

File Naming

    One agency commented that limiting the file name to the 8.3 naming 
convention specified in ISO 9660-1990 is unnecessarily restrictive. The 
agency said that the Joliet extension to ISO 9660 allows file and 
folder names to be extended to 64 characters and other desirable 
features that many current operating systems use. NARA agrees that 
agencies may use the Joliet extension if they comply with certain 
restrictions, using letters, numbers, dashes, and underscores in the 
file and directory names with a slash used to indicate directory 
structures. This change has been made at Sec.  1228.270(c)(3)(i).

Other Changes in This Final Rule

    The proposed rule indicated at Sec.  1228.270(c)(1)(iii) that a 
Tape Archive (TAR) utility would be the mechanism to group files and 
directories onto DLT cartridge tapes. After the publication of the 
proposed rule, NARA continued earlier work with DLT on a pilot basis 
and is changing the TAR requirement to an option, in favor of broader 
file transfer guidance. TAR-type utilities have been developed for many 
different electronic environments. There are several standards of TAR 
in the industry. However, these standards are subject to vendor 
implementation variances and changes. A restriction on receiving files 
in only a TAR format may pose a compliance burden on agencies. In 
addition, NARA has not had extensive experience with using multiple TAR 
utilities on DLT for various file sizes and types.
    In addition, NARA is making an editorial clarification in Sec.  
1228.224(a) concerning publications incorporated by reference for 
subpart K of part 1228.
    This final 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 or tribalism 
implications. 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 Part 1228

    Archives and records, Incorporation by reference.

    For the reasons set forth in the preamble, NARA amends 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.  1228.224 by revising paragraph (a) to read as 
follows:


Sec.  1228.224  Publications incorporated by reference.

    (a) General. The following publications cited in this section are 
hereby incorporated by reference into this subpart K of part 1228. They 
are available from the issuing organizations at the addresses listed in 
this section. They 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 as they exist on the 
date of approval, and a document indicating any change in these 
materials will be published in the Federal Register.
* * * * *
    3. Amend Sec.  1228.270 by revising paragraphs (a), (b), (c) and by 
adding paragraph (f) 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 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

[[Page 79519]]

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. Agencies interested in transferring 
scheduled electronic records using a Tape Archive (TAR) utility should 
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 transfer discussions. 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 below
If you are copying the records on . . .              applies.
------------------------------------------------------------------------
DLTtape IV With a DLT 4000 drive.......  ISO/IEC 15307:1997, First
                                          edition, December 1, 1997,
                                          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 15896:1999, First
                                          edition, December 15, 1999,
                                          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 16382:2000, First
                                          edition, May 15, 2000,
                                          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) 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.
    (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 may use the 64-character Joliet extension 
naming convention only when letters, numbers, dashes (-), and 
underscores (--) are used in the file and/or directory names, with a 
slash ([bs]) used to indicate directory structures. 
Otherwise, 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.
* * * * *
    (f) Incorporation by reference. The following publications cited in 
this section are available from the American National Standards 
Institute (ANSI), 25 West 43rd Street, 4th floor, New York NY 10036 or 
electronically at http://www.ansi.org/. All these standards 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.
    ANSI X3.39-1986, American National Standard: Recorded Magnetic Tape 
for Information Interchange (1600 CPI, PE).
    ANSI X3.54-1986, American National Standard: Recorded Magnetic Tape 
for Information Interchange (6250 CPI, Group Coded Recording).
    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.
    ANSI/NISO/ISO 9660-1990, American National Standard for Volume and 
File Structure of CD-ROM for Information Exchange.
    ISO/IEC 15307:1997, First edition, December 1, 1997, Information 
technology--Data interchange on 12.7

[[Page 79520]]

mm 128-track magnetic tape cartridges--DLT 4 format.
    ISO/IEC 15896:1999, First edition, December 15, 1999, Information 
technology--Data interchange on 12.7 mm 208-track magnetic tape 
cartridges--DLT 5 format.
    ISO/IEC 16382:2000, First edition, May 15, 2000, Information 
technology--Data interchange on 12.7 mm 208-track magnetic tape 
cartridges--DLT 6 format.
* * * * *

    Dated: October 25, 2002.
John W. Carlin,
Archivist of the United States.
[FR Doc. 02-32818 Filed 12-27-02; 8:45 am]
BILLING CODE 7515-01-P