[Federal Register Volume 69, Number 223 (Friday, November 19, 2004)]
[Proposed Rules]
[Pages 67692-67694]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-25691]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1228

RIN 3095-AB43


Federal Records Management; Media Neutral Records Schedules

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rule.

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SUMMARY: NARA proposes to amend its regulations relating to scheduling 
Federal records to make existing approved records schedules and future 
records schedules applicable to bodies of records regardless of the 
medium in which the records are created and maintained. Both the agency 
(in submitting the schedule) and NARA (in approving the schedule) would 
be able to specify that certain disposition authorities are valid only 
for the current media/format of the records. Although agencies 
currently are permitted to submit ``media-neutral'' records schedules, 
most existing records schedules were developed for hard-copy (usually 
paper) recordkeeping systems and do not state that they apply to 
records in other formats. Therefore, agencies have been required to 
submit new schedules when they convert from a hard-copy system of 
records to an automated (electronic) system, including special media 
records (such as still pictures, aerial photography, maps, charts, 
drawings, motion picture film, analog videotape, and analog sound 
recordings). This proposed rule would reduce the workload for both 
agencies and NARA, allowing both to focus resources on critical records 
management needs.

DATES: Comments are due by January 18, 2005.

ADDRESSES: NARA invites interested persons to submit comments on this 
proposed rule. Please include ``Attn: RIN 3095-AB43'' and your name and 
mailing address in your comments. Comments may be submitted by any of 
the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: Send comments to [email protected]. If you do not 
receive a confirmation that we have received your e-mail message, 
contact Nancy Allard at 301-837-1477.
     Fax: Submit comments by facsimile transmission to 301-837-
0319.
     Mail: Send comments to Regulations Comments Desk (NPOL), 
Room 4100, Policy and Communications Staff, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.
     Hand Delivery or Courier: Deliver comments to 8601 Adelphi 
Road, College Park, MD.

FOR FURTHER INFORMATION CONTACT: Nancy Allard at 301-837-1477 or fax 
301-837-0319.

SUPPLEMENTARY INFORMATION:

Background

    Increasingly, agencies are automating their business processes in 
order to better meet their business needs. In many instances, the hard-
copy records that new electronic systems replace are covered by a NARA-
approved records schedule. Agencies currently are required to submit a 
Standard Form (SF) 115, Request for Records Disposition Authority, to 
obtain a new disposition authority when previously scheduled hard-copy 
records are now being created and maintained electronically. The only 
exceptions to this policy have been when the agency's approved schedule 
is media neutral or the records are covered by the General Records 
Schedules or by an agency-specific schedule that relates to 
administrative or housekeeping matters.

Proposed Regulatory Changes

    As part of our Records Management Initiatives, we have re-examined 
this policy and determined that changes should be made to the 
regulations. This proposed rule would:
    (1) Establish NARA policy that new records schedules submitted to 
NARA for approval on or after the effective date of the final rule will 
be considered media neutral (i.e., the dispositions will apply to the 
recordkeeping copies of the described files in all media) unless the 
schedule identifies a specific medium for a specific series. This 
policy is reflected in the proposed change to 36 CFR 1228.24(b). NARA 
also proposes to modify 36 CFR 1228.24(b) and 1228.28(b) to make it 
clear that agencies still must identify special media records (e.g., 
still pictures, motion pictures and videos, maps, aerial photography, 
etc.) when they submit schedules.
    (2) Require agencies to notify NARA within 45 days when converting 
records systems containing permanent records from hard-copy format to 
electronic medium, including special media records. As part of the 
notification, agencies would provide information about the format(s) 
and volume of records in the electronic system,
    (3) Authorize agencies to apply existing previously approved agency 
records schedules that cover hard-copy temporary records to those 
records when they are created electronically, if all of the following 
conditions are met:
     The content and function of the records has not changed 
(i.e., the electronic records do not contain information that is 
substantially different from the information included in the hard-copy 
series, the electronic records are used for the same purpose as the 
hard-copy records, the underlying business processes and the 
regulations or other authorities from which records stem remain the 
same, etc.)
     The records relate to program matters and are scheduled 
for disposal less than 20 years after cut-off, or relate to 
administrative (housekeeping) matters, and
     The records are not covered by one or more exclusions in 
the proposed Sec.  1228.31(a)(3).
    This authorization will apply to the vast majority of agencies' 
records series. NARA estimates that more than 90 percent of agency 
series have retention periods of less than 20 years.
    (4) Require agencies to submit a new SF 115 to obtain disposition 
authority for electronic versions of previously scheduled hard-copy 
temporary records with a retention period of 20 years or longer after 
cut-off. We estimate that less than ten percent of an agency's record 
series would be subject to this requirement. (If such records are 
already covered by a media neutral schedule item or conversion to 
electronic form was approved in the current schedule, this requirement 
does not apply.) As described later in this SUPPLEMENTARY INFORMATION, 
NARA expects that the

[[Page 67693]]

agency and NARA will be able to use an expedited process for review and 
approval of such schedules.

Explanation of New Policy

    NARA's long experience with scheduling electronic records has shown 
that it is the basic content and function of records that determines 
their value in almost all cases. It is very rare that conversion of a 
series of records from hard-copy to electronic form changes its 
underlying value. That said, with the enhancements electronic 
recordkeeping brings (compactness, manipulability, and enhanced search 
capabilities), it is important to provide a safety net to further 
ensure that we are able to capture the rare series that is temporary in 
hard copy form but permanent in an electronic format. There are two 
situations where this safety net is being applied: temporary records 
with lengthy (20 years or more) retention periods, and certain types of 
temporary records with retention periods of less than 20 years.
    Most temporary records that are scheduled for a retention period of 
20 years or more in hard copy will also be temporary if converted to an 
electronic format. However, such records typically have significant 
legal rights implications or are needed for a lengthy period to ensure 
government accountability. Consequently, proposed Sec.  1228.31 
requires that agencies submit a SF 115 when they convert a temporary 
hard-copy series with a retention period of 20 years or more after cut-
off. This will enable NARA to appraise the electronic records and, if 
warranted, designate them as permanent. If records with a retention 
period of 20 years or more are covered by a previously approved media 
neutral schedule item or by a previously approved schedule item for 
hard-copy records that authorizes the disposal of those records after 
they have been converted to an electronic format, NARA has already 
determined that the conversion of the records to an electronic format 
will not render them more valuable.
    NARA also has determined that certain types of existing temporary 
records with a retention period of less than 20 years after cut-off 
(cut-off is when the file or transaction is complete) are not eligible 
for automatic application of the existing hard-copy disposition 
authority to the records when they are created on an electronic system. 
These exclusions are temporary program records that:
     Are covered by approved schedule items that explicitly 
exclude electronic records;
     Cover Web versions of hard-copy records;
     Document observations of natural events or the natural 
environment (e.g., weather, water levels, topographic features, air 
quality, etc.); or
     Consist of raw, unsummarized demographic or economic data 
collected for input into studies and statistical reports (e.g., data on 
wages and prices, education levels, health care, etc.).
    The first exclusion (where the schedule approved for hard copy 
records explicitly excludes electronic versions) covers situations 
where NARA reserved the right to re-evaluate the temporary nature of 
records when NARA approved the media neutral schedule. The exclusion 
for Web records reflects NARA's belief that the approved retention 
period for a series of records in hard-copy (e.g., press releases or 
publications) may be longer than what is needed for Web versions. The 
third and fourth exclusions address the potential for such records, 
when automated, to be more valuable to the creating agency for 
additional purposes or to other researchers.
    For permanent records, we propose that agencies must notify NARA 
within 45 days of the conversion to an electronic system. As part of 
the notification, an agency must provide the series identification 
(schedule item), and information on the format(s) of the electronic 
records and their expected volume. Since schedules developed for 
permanent hard copy records typically provide for the transfer of 
records to the National Archives after a longer period of time has 
elapsed than is advisable in the case of electronic records, after the 
review, NARA will contact the agency concerning when the agency can 
transfer the electronic records to us. NARA and the agency may decide 
to establish revised transfer instructions for the electronic records 
by making ``pen-and-ink'' changes to the previously approved transfer 
instructions. We specifically invite agency comments on whether the 
proposed notification process outlined here would be less work for the 
agency than submission of a new SF 115.
    In cases where the proposed rule requires submission of a new SF 
115 (temporary records with retention periods of 20 years or more after 
cut-off and certain other temporary records), NARA encourages agencies 
to use a streamlined review and sign-off process. For its part, NARA 
will process these SF 115s on an expedited basis also.
    NARA will remind agencies that this proposed rule does not change 
NARA's longstanding policy that a new schedule must be submitted for 
approval if the nature of a previously scheduled series changes in a 
substantial way, i.e., the electronic versions of a previously 
scheduled hard-copy series contain significantly more information than 
the hard-copy records or are used in significantly different ways. NARA 
will also suggest to agencies that they may, as part of re-engineering 
agency processes, determine that the records should be scheduled in 
larger aggregations or ``big buckets'' to facilitate disposition 
through automated systems.
    In a related action to this proposed rule, NARA will modify the 
General Records Schedules (GRS) to authorize agencies to apply 
previously approved agency records schedules to the electronic versions 
of temporary records if the NARA-approved retention period is less than 
20 years (except for electronic records that are derived from or 
replace hard-copy records excluded by proposed Sec.  1228.31(a)(2)). 
Agencies already have authority under GRS 20, Item 3, to apply the GRS 
disposal authority when the agencies move from hard copy to electronic 
systems for records covered by an agency-specific schedule for 
administrative/housekeeping records or by the GRS, except for those few 
series where the GRS specifically requires submission of a SF 115 when 
the records are maintained in electronic form.
    This proposed rule is not a significant regulatory action for the 
purposes of Executive Order 12866 and has not 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.  1228.24 by redesignating paragraphs (b)(3) and 
(b)(4) as paragraphs (b)(4) and (b)(5) respectively, and adding new 
paragraph (b)(3) to read as follows:

[[Page 67694]]

Sec.  1228.24  Formulation of agency records schedules.

* * * * *
    (b) * * *
    (3) Records schedules submitted to NARA for approval on or after 
[the effective date of the final rule] are media-neutral, i.e., the 
disposition instruction applies to the described records in all media, 
unless the schedule identifies a specific medium for a specific series.
* * * * *
    3. Add Sec.  1228.31 to read as follows:


Sec.  1228.31  Authority to apply previously approved schedules to 
electronic records.

    (a) Temporary program records with retention periods of less than 
20 years after cut-off. Agencies may apply disposition authorities for 
temporary program records in previously approved schedules to the 
electronic versions of those records if:
    (1) The content and function of the records has not changed 
significantly (i.e., the electronic records do not contain information 
that is substantially different from the information included in the 
hard-copy series, the electronic records are used for the same purpose 
as the hard-copy records, the underlying business processes and the 
regulations or other authorities from which records stem remain the 
same, etc.);
    (2) The records are scheduled for disposal less than 20 years after 
cut-off; and
    (3) The records are not derived from or replace hard-copy records 
that are covered by schedule items that explicitly exclude electronic 
records; are not web versions of hard-copy records; do not document 
observations of natural events or the natural environment (e.g., 
weather, water levels, topographic features, air quality, etc.); or do 
not consist of raw, unsummarized demographic or economic data collected 
for input into studies and statistical reports (e.g., data on wages and 
prices, education levels, health care, etc.).
    (b) Temporary program records with retention periods of 20 years or 
more after cut-off. Agencies must submit an SF 115 when they convert 
temporary program records with approved retention periods of 20 years 
or more after cut-off to electronic media, unless the records are 
covered by a previously approved media neutral schedule item or by a 
previously approved schedule item that authorizes the disposal of hard 
copy records after they have been converted to an electronic format.
    (c) Temporary administrative or housekeeping records. Agencies may 
apply previously approved agency schedules or the General Records 
Schedules to the electronic versions of temporary records that relate 
to administrative (housekeeping) matters if the approved agency 
schedule or the GRS does not specifically require submission of a SF 
115 when the records are maintained in electronic form.
    (d) Permanent records. (1) Agencies must notify NARA (NWML) within 
45 days of implementation of an electronic system that will maintain 
permanent records that have been scheduled as permanent in hard-copy 
form, including special media records as described in 36 CFR 1228.266 
and 1228.268.
    (2) The notification must contain the:
    (i) Name of the electronic system;
    (ii) Name of the agency and organizational unit that has the 
records;
    (iii) Current disposition authority reference;
    (iv) Annual volume of records created; and
    (v) Format of the records.
    (3) NARA and agencies will change the previously approved transfer 
instructions for the series if necessary to incorporate the 
requirements for electronic records in 36 CFR 1228.28(b)(8)(i).

    Dated: November 15, 2004.
John W. Carlin,
Archivist of the United States.
[FR Doc. 04-25691 Filed 11-18-04; 8:45 am]
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