[Federal Register: December 30, 2002 (Volume 67, Number 250)]
[Rules and Regulations]
[Page 79517-79520]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr30de02-3]
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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
cer@nara.gov 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:
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. . . then, the standard below
If you are copying the records on . . . applies.
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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).
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(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
cer@nara.gov 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