Records Management, 45249-45262 [2016-15848]
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45249
Proposed Rules
Federal Register
Vol. 81, No. 134
Wednesday, July 13, 2016
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
NATIONAL ARCHIVES AND RECORDS
ADMINISTRATION
36 CFR Parts 1235, 1236, and 1237
[FDMS No. NARA–16–0002; NARA–2016–
017]
RIN 3095–AB89
Records Management
National Archives and Records
Administration (NARA).
ACTION: Proposed rules.
AGENCY:
NARA proposes to revise its
records management regulations to
reflect executive actions, statutory
changes, advances in technology, and
organizational changes. This is phase II
of the revisions and includes changes to
provisions in transferring records to the
National Archives of the United States,
managing electronic records, and
managing audiovisual, cartographic, and
related records.
DATES: Submit comments on or before
September 12, 2016.
ADDRESSES: You may submit comments,
identified by RIN 3095–AB89, by any of
the following methods:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• Email:
Regulation_comments@nara.gov.
Include RIN 3095–AB89 in the subject
line of the message.
• Fax: 301–837–0319. Include RIN
3095–AB89 in the subject line of the fax
cover sheet.
• Mail (for paper, disk, or CD–ROM
submissions. Include RIN 3095–AB89
on the submission): Regulations
Comment Desk (Strategy & Performance
Division (SP)); Suite 4100; National
Archives and Records Administration;
8601 Adelphi Road; College Park, MD
20740–6001
• Hand delivery or courier: Deliver
comments to front desk at the address
above.
Instructions: All submissions must
include NARA’s name and the
regulatory information number for this
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rulemaking (RIN 3095–AB89). We may
publish any comments we receive
without changes, including any
personal information you include.
FOR FURTHER INFORMATION CONTACT:
Laura McCarthy, by email at
regulation_comments@nara.gov, or by
telephone at 301–837–3023. You may
also find more information about
records management at NARA on
NARA’s Web site at https://
www.archives.gov/records-mgmt/.
SUPPLEMENTARY INFORMATION: The
proposed revisions to the Federal
records management regulations
contained in 36 CFR Chapter XII,
Subchapter B, affect Federal agencies’
records management programs in the
areas of permanent records and their
transfer to the National Archives of the
United States, electronic records
management, and management of
audiovisual, cartographic, and related
records.
We are proposing changes to Federal
records management regulations to
incorporate recent executive actions,
statutory changes, advances in
technology, and NARA organizational
changes.
The Presidential Memorandum—
Managing Government Records
(November 28, 2011) and subsequent
implementing guidance (Office of
Management and Budget Memorandum
M–12–18, Managing Government
Records Directive (August 24, 2012))
require NARA to modernize Federal
records management practices,
particularly with respect to electronic
records. In 2014, the Presidential and
Federal Records Act Amendments of
2014 (‘‘FRA Amendments,’’ Pub. L.
113–187) modernized the definition of a
Federal record, addressed electronic
messaging, and required agencies to
transfer electronic permanent records to
NARA in an electronic format to the
greatest extent possible. We propose
revisions in this rulemaking to address
the changes regarding the transfer of
electronic records and electronic
messaging: additional changes to the
regulations to address policy and
statutory changes will be addressed in
future revisions.
We are also making administrative
changes, such as updating office names
and organizational codes, updating
URLs, and adding new links to NARA’s
records management Web pages. We are
removing repetitive definitions sections
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from each part to a centralized
definitions part (to come in part 1220)
applying to all parts (streamlining under
the Paperwork Reduction Act) and
removing repetitive authorities sections
from each part because authorities are
noted under the table of contents
(streamlining under the Paperwork
Reduction Act). We are making other
minor editorial changes for consistency
among parts, and revising some
language to comply with Plain Language
requirements.
Discussion of Proposed Rule Provisions
Proposed Part 1235, Transfer of Records
to the National Archives of the United
States
This part establishes requirements for
the transfer of permanent Federal
records to the National Archives of the
United States. Throughout part 1235, we
have revised those sections referencing
the paper transfer document, Standard
Form 258 (SF–258), Agreement to
Transfer Records to the National
Archives of the United States, to add the
electronic ERA Transfer Request, and
other similar procedural items. ERA is
the NARA system that Federal agencies
use to request the transfer of permanent
records to NARA.
Part 1235 is divided into three
subparts. Subpart A, General Transfer
Requirements, contains §§ 1235.1
through 1235.20 and prescribes the
requirements that agencies must follow
when they transfer permanent records to
NARA. These sections remain largely
unchanged from the current regulations
with the exception of § 1235.20. We are
proposing changes to § 1235.20 that
would require agencies to review their
historical records and remove any
restrictions that no longer apply at time
of transfer; provide additional
information on any access and use
restrictions that must remain; and
identify classified records.
Our proposed revisions to Subpart B,
Administration of Transferred Records,
specifically § 1235.32, also provide for
the removal of restrictions on
transferred records when NARA
believes it to be in the public interest.
Subpart C, Transfer Specifications
and Standards, contains the
specifications and requirements for
agencies when transferring audiovisual,
cartographic, and architectural records
to NARA. We are proposing moving the
transfer specifications and standards for
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permanent analog and digital
audiovisual, cartographic, and related
records to Part 1237, Audiovisual,
Cartographic, and Related Records.
Additionally, we are proposing to
update our online transfer guidance to
address electronic records and their
formats and adding references to that
guidance in the regulations so users can
quickly access the latest updates. We are
proposing adding two new sections,
§§ 1235.52 and 1235.54, that contain the
transfer specifications, standards, and
procedures for transferring textual
records into the National Archives of
the United States.
Proposed Part 1236, Electronic Records
Management
This part reflects an update in
response to major developments in the
area of electronic recordkeeping and
electronic messaging and we have
proposed several revisions to this part.
These changes include provisions to
reflect the 2014 FRA Amendments, a
new section with Federal electronic
messaging requirements, standards for
internet message formats, new
definitions for electronic messages and
messaging accounts, and a requirement
to associate proper names with email
accounts.
Part 1236 is divided into three
subparts. Subpart A, General, contains a
new standard that we are proposing to
incorporate by reference, RFC 5322,
Internet Message Format (see: https://
www.rfc-base.org/txt/rfc-532), that
provides requirements for internet
electronic message format; a detailed
discussion of RFC 5322 is found below
under the ‘‘Standards’’ heading. The
2014 FRA Amendments contained two
new definitions that we propose adding
to our definitions section: ‘‘electronic
messages’’ and ‘‘electronic messaging
account.’’
Subpart B, Records Management and
Preservation Consideration for
Designing and Implementing Electronic
Information Systems, remains largely
unchanged.
Subpart C, Additional Requirements
for Electronic Records, specifies
recordkeeping requirements for
electronic records and includes a
proposed new section on additional
recordkeeping requirements for
electronic messaging records. In
§ 1236.21, we propose adding the
following provisions regarding
electronic messaging records:
• Use of a non-official electronic
messaging account is permitted only
when agency-administered systems are
unavailable; and
• Any electronic messaging record
created, sent, or received in an
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unofficial account must be copied or
forwarded to an agency-administered
system within 20 days.
We are also adding language to
§ 1236.22 to specify that the proper
name of the sender must either be
captured with the email or the agency
must maintain a record of the
association between the email address
and the employee, including any
nicknames or aliases.
Proposed Part 1237, Audiovisual,
Cartographic, and Related Records
Management
This proposed part expands and
updates the audiovisual records
management provisions in the existing
part 1237 by removing the transfer
specifications and requirements for
permanent audiovisual, cartographic,
and related records from part 1235 and
merging these into § 1237.12, which
prescribes the records elements agencies
must create, preserve, and transfer with
both analog and digital audiovisual,
cartographic, and related records.
Standards
NARA’s current records management
regulations incorporate by reference
certain consensus standards developed
by various organizations. The
regulations in this proposed rule retain
some previously approved standards
incorporated by reference. In addition,
this regulatory action proposes
incorporating by reference the following
standards (either updating current ones
or adding new ones):
In 36 CFR 1235:
ISO 9660:1988(E), Information
Processing—Volume and File Structure
of CD–ROM for Information Exchange,
First edition, as Corrected, 1988–09–
01—Incorporated in § 1235.46
This is the same standard as is
currently incorporated by reference.
However, the ISO standard is now
available from ANSI, as part of the DIN
ISO 9660 (December 1990) version, so
the description and availability
information in § 1235.4 has been
updated accordingly.
In 36 CFR 1236:
Request for Comment (RFC) 5322,
Internet Message Format, 2008—
Incorporated in § 1236.22
This standard provides requirements
for internet electronic message format,
including requirements for a message
header, message header fields and
syntax, and message body. NARA is
incorporating this specification by
reference in part 1236 to provide
Federal agencies with clear minimum
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requirements for email messages. RFC
5322 is available to the public at https://
tools.ietf.org/html/rfc5322.
In 36 CFR 1237:
The following six standards are
available through the American
National Standards Institute (ANSI) at:
American National Standards Institute;
25 West 43rd St., 4th Floor; New York,
NY 10036, or online at https://
webstore.ansi.org, and from Techstreet,
a standards reseller, at Techstreet; 3916
Ranchero Drive; Ann Arbor, MI 48108,
by phone at (800) 699–9277, or online
at https://www.Techstreet.com.
ISO 2859–1: 1999 (‘‘ISO 2859–1’’),
Sampling Procedures for Inspection by
Attributes—Part I: Sampling Schemes
Indexed by Acceptable Quality Level
(AQL) for Lot-by-Lot Inspection, Second
Edition, November 15, 1999
(supplemented by Amendment 1,
2011)—Incorporated in § 1237.28(d)
This standard sets forth statistical
methodologies and procedures for
sampling plans devised for qualitycontrol purposes, and keyed to
calculations of ‘‘Acceptable Quality
Limit’’ (AQL, the limit between
acceptability and refusal with respect to
defective products). The sampling plans
are applicable to a variety of production
and management processes, including
systematic digitization projects
involving substantial audiovisual
holdings. Covered in the document are
such key principles, steps, and
calculations as: Expressions of non`
conformity vis-a-vis product quality
objectives; the AQL formulation;
submission of products for sampling;
acceptance and non-acceptance;
drawing of samples; normal, tightened,
and reduced inspection approaches;
switching of sampling rules and
procedures; sampling plan types; and
determination of acceptability. The 1999
edition, supplemented by Amendment 1
from 2011, updates the original edition
referenced in the present CFR. Changes
introduce a greater measure of sampling
flexibility and efficiency: A new
procedure for switching from normal to
reduced inspection; a new reference to
‘‘skip-lot’’ sampling as an alternative to
reduced inspection; changes to double
sampling plans to provide a smaller
average sample size; reduction of
multiple sampling plans from seven
stages to five stages; and the addition of
optional fractional acceptance number
plans, among other revisions. We are
incorporating the 1999 edition and 2011
amendment in part 1237 to provide
agency personnel with the most
rigorous, up-to-date guidance on how to
monitor quality in processes profoundly
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affecting the audiovisual records bound
for NARA.
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ISO 18902: 2013 (‘‘ISO 18902’’), Imaging
Materials—Processed Imaging
Materials—Albums, Framing, and
Storage Materials, Third Edition, July 1,
2013—Incorporated in §§ 1237.16(b)
and 1237.22(f)
This standard establishes physical
and chemical requirements for album,
storage, and framing materials necessary
to arrest the natural decomposition of
photographic prints, negatives, and
transparencies over time. Included are
detailed requirements for paper and
paperboard, plastics, metals, writing
instruments, adhesives, tapes, selfadhesive labeling materials, stamping
inks and pads, framing and glazing
materials used in the construction of
storage and display devices, and various
types of printers. The 2013 edition
updates the 2001 version (referenced in
the present CFR) as well as the 2007
version; among other changes, the latest
edition adds more specific reporting
protocols for annual testing and
evaluation of housing materials, and
also expands the applicability of the
standard to housing for digital prints.
We are incorporating the 2013 revision
in part 1237 to provide agencies with
current guidance on what materials to
use, and what materials to avoid, for
optimal photo housing.
ISO 18911: 2010 (‘‘ISO 18911’’), Imaging
Materials—Processed Safety
Photographic Films—Storage Practices,
Second Edition, September 1, 2010—
Incorporated in §§ 1237.16(b),
1237.16(d), and 1237.18(a)
This standard provides detailed
recommendations on storage conditions,
enclosures, housing, environmental
controls, fire protection measures, and
identification, inspection, and handling
procedures for all safety (non-nitrate)
photographic films in roll, strip,
aperture-card, or sheet format,
regardless of size. These standards
provide systematic guidance on
temperature and relative humidity
levels needed for medium-term
(minimum 10 years) and extended-term
(500 years) preservation of film in the
major process categories: Black-andwhite and color, acetate-base and
polyester-base. The 2010 edition
updates the 2000 version presently
referenced in the CFR, and includes a
fuller discussion (with greater
sensitivity to digital scanning
possibilities) concerning the
establishment and maintenance of
record version/reference version
approaches designed to minimize the
wear and tear on original (record
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version) film. We are incorporating the
2010 edition in part 1237 to provide
agencies with the most current guidance
on what constitutes a ‘‘proper’’
approach to physical maintenance of
historically valuable film-based
photographic records. The latest
authority also supports NARA’s
emphasis on timely transfer of at-risk
photographic film from sub-standard
storage conditions to standardscompliant NARA facilities.
storage materials, enclosures, labeling,
acclimatization, storage rooms and
housing, fire protection measures, and
identification, inspection, and cleaning
procedures. The 2013 edition updates
the 2002 version (referenced in the
present CFR) and also the 2008 version.
We are incorporating the 2013 revision
in part 1237 to provide agency
personnel with current guidance on the
appropriate strategies for maximizing
the useful life of optical discs.
ISO 18920: 2011 (‘‘ISO 18920’’), Imaging
Materials—Reflection Prints—Storage
Practices, Second Edition, October 1,
2011—Incorporated in § 1237.18(a)
This standard provides detailed
recommendations on storage facilities,
storage enclosures and housing,
environmental conditions, fire
protection measures, and identification,
handling, and inspection procedures for
prints of all types and sizes. This
standard includes prints on fiber-based
or resin-coated paper and prints on
plastic supports; black-and-white silver
gelatin prints and multicolor and
monochrome color prints; and products
of thermal dye transfer printing and
inkjet printing. This standard includes
guidance on temperature and relative
humidity levels appropriate for
medium-term preservation (minimum
10 years) and extended-term
preservation (no fixed-year definition,
but one reference to hundreds of years).
The 2011 edition updates the 2000
version presently referenced in the CFR,
and provides more specificity on digital
print types. We are incorporating the
2011 revision in part 1237 to provide
agencies with current guidance on ‘‘best
practices’’ for physical maintenance of
historically valuable photographic
prints. The latest authority also supports
NARA’s emphasis on timely transfer of
at-risk photographic film from substandard storage conditions to
standards-compliant NARA facilities.
NFPA 40–2011 (‘‘NFPA 40–2011’’),
Standard for the Storage and Handling
of Cellulose Nitrate Film, 2011—
Incorporated in § 1237.30(a)
This standard provides detailed
requirements relating to the many
aspects of nitrate film storage and
handling, including construction and
arrangement of nitrate-storing buildings,
environmental controls, fire protection
measures, cabinets and vaults for
extended term storage, containers for
film transport and eventual disposal,
and enclosed areas for nitrate film
viewing. The 2011 edition updates the
2007 version referenced in the present
CFR; among other changes, the new
edition incorporates updated
specifications for film vault fire
protection and also adds an explanatory
section on converting calculations based
on roll film quantities to sheet film
equivalencies. We are incorporating the
2011 revision in part 1237 to provide
agency personnel with current guidance
on safe storage and handling of nitrate
film.
ISO 18925: 2013 (‘‘ISO 18925’’), Imaging
Materials—Optical Disc Media—Storage
Practices, Third Edition, February 1,
2013—Incorporated in § 1237.18(c)
This standard provides detailed
recommendations for storage
conditions, storage facilities, enclosures,
and inspection procedures sufficient to
prevent long-term deterioration of CDs,
DVDs, and variant disc forms made for
audio, video, photographic, and other
electronic data applications. Included is
guidance on environmental storage
conditions, with an emphasis on
temperature and humidity limits,
dangers posed by contaminants and
gaseous impurities, and the impact of
magnetic fields. Also covered are
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Regulatory Analysis
Review Under Executive Orders 12866
and 13563
Executive Order 12866, Regulatory
Planning and Review, 58 FR 51735
(September 30, 1993), and Executive
Order 13563, Improving Regulation and
Regulation Review, 76 FR 23821
(January 18, 2011), direct agencies to
assess all costs and benefits of available
regulatory alternatives and, if regulation
is necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). This proposed rule is not
‘‘significant’’ under section 3(f) of
Executive Order 12866 because it
applies only to Federal agencies, and is
updating the regulations, not
establishing new programs. Although
the proposed revisions change and add
new requirements for agencies, the
requirements are necessary to keep the
existing regulations up-to-date and to
ensure agencies are preserving records
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for the United States as well as possible.
The Office of Management and Budget
(OMB) has reviewed this regulation.
Review Under the Regulatory Flexibility
Act (5 U.S.C. 601, et seq.)
This review requires an agency to
prepare an initial regulatory flexibility
analysis and publish it when the agency
publishes the proposed rule. This
requirement does not apply if the
agency certifies that the rule will not, if
promulgated, have a significant
economic impact on a substantial
number of small entities (5 U.S.C. 603).
NARA certifies, after review and
analysis, that this proposed rule will not
have a significant adverse economic
impact on small entities.
Review Under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501, et seq.)
This proposed rule does not contain
any information collection requirements
subject to the Paperwork Reduction Act.
Review Under Executive Order 13132,
Federalism, 64 FR 43255 (August 4,
1999)
Review Under Executive Order 13132
requires that agencies review
regulations for Federalism effects on the
institutional interest of states and local
governments, and, if the effects are
sufficiently substantial, prepare a
Federal assessment to assist senior
policy makers. This proposed rule will
not have any direct effects on State and
local governments within the meaning
of the Executive Order. Therefore, no
Federalism assessment is required.
List of Subjects in 36 CFR Parts 1235,
1236 and 1237
Archives, Incorporation by reference,
Records, Records management.
For the reasons stated in the
preamble, NARA proposes to amend 36
CFR parts 1235, 1236, and 1237 as
follows:
■
1. Revise part 1235 to read as follows:
PART 1235—TRANSFERRING
PERMANENT RECORDS TO THE
NATIONAL ARCHIVES OF THE UNITED
STATES
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Sec.
Subpart A—General Transfer Requirements
1235.3 What standards apply to this part?
1235.4 What publication(s) are incorporated
by reference into this part?
1235.10 What records do agencies transfer
to the National Archives of the United
States?
1235.12 When must agencies transfer
records to the National Archives of the
United States?
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1235.14 May agencies retain records longer
than the retention period established by
the records schedule?
1235.16 How does NARA respond to an
agency’s request to retain records?
1235.18 How do agencies transfer records to
the National Archives of the United
States?
1235.20 How do agencies indicate that
records contain information that may be
restricted from public access?
1235.22 When does legal custody of records
transfer to the National Archives of the
United States?
Subpart B—Administration of Transferred
Records
1235.30 Does NARA restrict access to
transferred records?
1235.32 How does NARA handle access
restrictions on transferred records?
1235.34 May NARA destroy transferred
records?
Subpart C—Transfer Specifications and
Standards
1235.40 What records are covered by
additional transfer requirements?
1235.42 What transfer specifications and
standards apply to audiovisual,
cartographic, and related records?
1235.44 What general transfer requirements
apply to electronic records?
1235.46 What media or method may
agencies use to transfer electronic
records to the National Archives of the
United States?
1235.50 What transfer specifications and
standards apply to electronic records?
1235.52 What transfer specifications and
standards apply to textual records?
1235.54 How do agencies transfer
permanent textual records to the
National Archives of the United States?
1235.56 How do agencies transfer
permanent electronic records to the
National Archives of the United States
using the Electronic Records Archives
(ERA)?
Authority: 44 U.S.C. 2107 and 2108.
Subpart A—General Transfer
Requirements
§ 1235.3
part?
What standards apply to this
In addition to this part, you can find
guidance and additional information
about transferring permanent records to
the National Archives of the United
States on NARA’s accessioning Web
page at https://www.archives.gov/
records-mgmt/accessioning/.
§ 1235.4 What publications are
incorporated by reference into this part?
(a) NARA incorporates certain
material by reference into this part with
the approval of the Director of the
Federal Register under 5 U.S.C. 552(a)
and 1 CFR part 51. To enforce any
edition other than that specified in this
section, NARA must publish a
document in the Federal Register and
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must make the material available to the
public. You may inspect all approved
material incorporated by reference at
NARA’s textual research room, located
at National Archives and Records
Administration; 8601 Adelphi Road,
Room 2000; College Park, MD 20740–
6001. To arrange to inspect this
approved material at NARA, contact
NARA’s Regulation Comments Desk
(Strategy & Performance Division (SP))
by email at regulation_comments@
nara.gov or by telephone at 301–837–
3023. All approved material is available
from the sources listed below. You may
also inspect approved material at the
Office of the Federal Register (OFR). For
information on the availability of this
material at the OFR, call 202–741–6030
or go to https://www.archives.gov/
federal_register/code_of_federal_
regulations/ibr_locations.html.
(b) American National Standards
Institute (ANSI). The following
standards are available from the
American National Standards Institute,
25 West 43rd St., 4th Floor, New York,
NY 10036, phone number (212) 642–
4900, or online at https://
webstore.ansi.org.
(1) ISO 9660–1990 (‘‘ISO 9660’’),
Information processing—Volume and
File Structure of CD–ROM for
Information Exchange, First edition, as
corrected, 1988–09–01. IBR approved
for § 1235.46(b).
(2) [Reserved]
§ 1235.10 What records do agencies
transfer to the National Archives of the
United States?
Agencies must transfer to the National
Archives of the United States those
records that the Archivist of the United
States has deemed to have sufficient
historical value to warrant permanent
preservation by the United States
Government. This includes records that
agencies have scheduled as permanent
on a NARA-approved records schedule,
records that a General Records Schedule
(GRS) designates as permanent, and,
when appropriate, records that are
accretions to holdings (i.e.,
continuations of series already
transferred).
§ 1235.12 When must agencies transfer
records to the National Archives of the
United States?
Agencies must transfer permanent
records to the National Archives of the
United States when:
(a) The records are eligible for transfer
based on the transfer date in a NARAapproved records schedule; or
(b) NARA has deemed the records to
have sufficient historical value to
warrant permanent preservation by the
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United States Government and the
records have existed for more than 30
years (see also § 1235.14).
§ 1235.14 May agencies retain records
longer than the retention period established
by the records schedule?
(a) Agencies may retain certain
records longer than specified on a
records schedule only with written
approval from NARA. NARA will
review requests as exceptions to an
approved disposition authority (see part
1225 of this subchapter for more
information about changing retention
periods in an approved disposition
authority).
(b) If an agency determines that it
needs to keep certain records longer
than scheduled to conduct regular
business, the agency’s Records Officer
must submit a written request certifying
continuing need to NARA by mail to
National Archives and Records
Administration; Office of the Chief
Records Officer (AC); 8601 Adelphi
Road; College Park, MD 20740–6001, or
by email to permanentrecords@
nara.gov. This certification must:
(1) Include a comprehensive
description and location of the records;
(2) Cite the NARA-approved
disposition authority;
(3) Describe the current business for
which the agency needs the records;
(4) Estimate the length of time the
agency needs the records (if the agency
provides no date, any certification
request NARA may approve is effective
for a maximum of five years);
(5) Explain why agency needs cannot
be met by NARA reference services or
copies of records deposited in the
National Archives of the United States;
and
(6) If the agency retains the records to
enable routine public access through the
agency rather than through NARA, cite
the statutory authority authorizing this
agency activity.
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§ 1235.16 How does NARA respond to an
agency’s request to retain records?
(a) NARA responds in writing to
requests within 30 days of receiving
them, whether approving or denying the
request.
(b) NARA may deny requests to retain
records in certain cases, including when
the agency requests to retain the records
primarily to:
(1) Provide access services to
individuals outside the agency that can
be provided by NARA; or
(2) Function as an agency archives,
unless specifically authorized by statute
or by NARA.
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§ 1235.18 How do agencies transfer
records to the National Archives of the
United States?
Agencies transfer records by
completing and submitting a Transfer
Request (TR) in the Electronic Records
Archives (ERA) or a signed Standard
Form (SF) 258, Agreement to Transfer
Records to the National Archives of the
United States (if special circumstances
merit use; see https://www.archives.gov/
records-mgmt/era/faqs.html for more
details). Each TR or SF 258 must
correlate to a specific records series or
other aggregation of records, as
identified in an item on a records
schedule or under circumstances noted
in § 1235.10. The National Archives
makes the final determination to accept
transfers of permanent records.
§ 1235.20 How do agencies indicate that
records contain information that may be
restricted from public access?
Agencies should consider the
historical nature of the records when
indicating what restrictions may apply
at the time of transfer to the National
Archives of the United States. Agencies
must conduct a review of restrictions on
records and remove any restrictions that
are not applicable at the time of transfer.
In addition, agencies should consult
NARA’s accessioning Web page at:
https://www.archives.gov/records-mgmt/
accessioning/, and NARA’s Transfer
Guidance at: https://www.archives.gov/
records-mgmt/policy/transferguidance.html for information about
documentation that agencies must
transfer with electronic records.
(a) Agencies must indicate all
restrictions on access and use of the
records when completing Transfer
Request (TR) in the Electronic Records
Archives (ERA) or a signed Standard
Form (SF) 258, Agreement to Transfer
Records to the National Archives of the
United States (see https://
www.archives.gov/records-mgmt/era/
agency-user-manual.pdf for NARA’s
ERA Agency User Manual, or the
accessioning Web page at: https://
www.archives.gov/records-mgmt/
accessioning/, for further instructions).
(1) The TR or SF 258 must cite any
Freedom of Information Act (FOIA)
exemptions (5 U.S.C. 552(b)) that
authorize the restrictions. When an
agency cites Exemption 3, they must
also cite the underlying statutory
restriction.
(2) NARA may require additional
information on access and use
restrictions.
(3) If the Archivist of the United
States agrees to the restrictions, NARA
will place such restrictions on the
records, until such time as NARA deems
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45253
it in the public interest to remove the
restrictions.
(b) Agencies must include the
Classified Records Transfer Check List,
National Archives and Records
Administration Form (NA Form) 14130
(https://www.archives.gov/
declassification/ndc/forms/na14130.pdf) as an attachment to the ERA
TR or the SF 258 when classified and
declassified records are ready for
transfer to the National Archives.
(c) Agencies must use Standard Form
(SF) 715, Government Declassification
Review Tab, to tab and identify specific
documents that contain classified
information that:
(1) Is exempt or excluded from
automatic declassification; or
(2) Requires referral to another
agency. See 32 CFR part 2001 Classified
National Security Information, and
ISOO Notice 2009-02, at: https://
www.archives.gov/isoo/notices/notice2009-02-sf715.pdf, for further guidance.
§ 1235.22 When does legal custody of
records transfer to the National Archives of
the United States?
Legal custody of records passes from
the agency to the National Archives of
the United States when the appropriate
NARA official signs the Electronic
Records Archives (ERA) Legal Transfer
Instrument (LTI) or Standard Form (SF)
258, Agreement to Transfer Records to
the National Archives of the United
States (if special circumstances merit
use).
Subpart B—Administration of
Transferred Records
§ 1235.30 Does NARA restrict access to
transferred records?
Consistent with NARA’s General
Restrictions (subpart D of part 1256 of
this chapter) and with FOIA (5 U.S.C.
552(b)):
(a) NARA enforces restrictions on
access to records in the National
Archives of the United States. This
applies to access by both Federal
agencies and the public; and
(b) NARA regulations in subchapter C
of this chapter apply to Federal agency
personnel accessing transferred records
for official Government purposes, and to
the public at large.
§ 1235.32 How does NARA handle access
restrictions on transferred records?
(a) Records less than 30 years old.
NARA will apply the Freedom of
Information Act (FOIA) exemptions
cited on the Electronic Records
Archives (ERA) Transfer Request or
Standard Form (SF) 258, Agreement to
Transfer Records to the National
Archives of the United States, where
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appropriate, and conduct a FOIA
review, where NARA deems it
necessary, before releasing records to
the public. NARA may relax, remove, or
impose restrictions to serve the public
interest.
(b) Records more than 30 years old.
After records are more than 30 years
old, NARA may lift restrictions, as
appropriate, but may keep the
restrictions in force for a longer period.
§ 1235.34
records?
May NARA destroy transferred
NARA will only destroy records
transferred to the National Archives of
the United States’ legal custody:
(a) With the written concurrence of
the agency or its successor; or
(b) As authorized on an Electronic
Records Archives (ERA) Legal Transfer
Instrument (LTI) or Standard Form (SF)
258, Agreement to Transfer Records to
the National Archives of the United
States.
Subpart C—Transfer Specifications
and Standards
§ 1235.40 What records are covered by
additional transfer requirements?
In addition to complying with
subparts A and B of this part, agencies
must follow the specifications and
requirements in this subpart when
transferring audiovisual, cartographic,
architectural, and electronic records to
the National Archives of the United
States. In general, agencies must transfer
such records to the National Archives of
the United States as soon as they
become inactive or whenever the agency
cannot provide proper care and
handling for the records, including
adequate storage conditions (see parts
1236 and 1237 of this subchapter for
storage information). For specific
guidance about transferring permanent
electronic records, see https://
www.archives.gov/records-mgmt/
accessioning/electronic.html.
§ 1235.42 What transfer specifications and
standards apply to audiovisual,
cartographic, and related records?
jstallworth on DSK7TPTVN1PROD with PROPOSALS
See § 1237.12 of this subchapter for
specifications and standards for transfer
of audiovisual, cartographic, and related
records.
§ 1235.44 What general transfer
requirements apply to electronic records?
(a) Each agency must retain a copy of
permanent electronic records that it
transfers to the National Archives of the
United States until it receives official
notification that NARA has assumed
legal custody of the records.
(b) For guidance related to the transfer
of electronic records other than those
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covered in this subpart, the agency must
consult with NARA by mail at National
Archives and Records Administration;
Electronic Records Division (RDE); 8601
Adelphi Road; College Park, MD 20740–
6001, or by email atetransfers@nara.gov.
(c) When transferring digital
photographs and their accompanying
metadata, the agency must consult with
NARA by mail at National Archives and
Records Administration; Special Media
Records Division (RDS); 8601 Adelphi
Road; College Park, MD 20740–6001, or
by email at stillpix.accessions@nara.gov.
(d) Agencies should consult NARA’s
transfer guidance at https://
www.archives.gov/records-mgmt/policy/
transfer-guidance.html.
§ 1235.46 What media or method may
agencies use to transfer electronic records
to the National Archives of the United
States?
(a) General. Agencies must use only
sound and defect-free media for
transfers to the National Archives of the
United States. When permanent
electronic records may be disseminated
through multiple electronic media (e.g.,
magnetic tape, CD–ROM) or
mechanisms (e.g., File Transfer Protocol
(FTP)), the agency and NARA must
agree on the most appropriate medium
or method for transfer of the records to
the National Archives of the United
States.
(b) Optical media (e.g., CD–ROM and
DVD)). Agencies may use CD–ROMs and
DVDs to transfer permanent electronic
records to the National Archives of the
United States.
(1) CD–ROMs used for this purpose
must conform to ISO 9660 (incorporated
by reference; see § 1235.4).
(2) Permanent electronic records must
be stored in discrete files. Transferred
CD–ROMs and DVDs 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 or DVD
contains temporary records and where
those records are located on the CD–
ROM or DVD. The agency must also
specify whether NARA should return
the CD–ROM or DVD to the agency or
dispose of it after copying the
permanent records to an archival
medium.
(c) Remote or Internet-based File
Transfers. Agencies may use remote or
network transfer methods (e.g., File
Transfer Protocol (FTP)) to transfer
permanent electronic records to the
National Archives of the United States
only with NARA’s approval. Several
important factors may limit the use of
remote transfers, including the number
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of records, record file size, and available
bandwidth. Agencies must contact
NARA to initiate the transfer
discussions. Contact NARA by mail at
National Archives and Records
Administration; Special Media Records
Division (RDS); 8601 Adelphi Road;
College Park, MD 20740–6001, or by
email at stillpix.accessions@nara.gov
(for digital photographs) or
mopix.accessions@nara.gov (for
electronic audiovisual records). For all
other electronic records formats, contact
NARA by mail at National Archives and
Records Administration; Electronic
Records Division (RDE); 8601 Adelphi
Road; College Park, MD 20740–6001, or
by email atetransfers@nara.gov.
Agencies must submit an approved
Transfer Request (TR) in the Electronic
Records Archives (ERA) (or an Standard
Form (SF) 258, Agreement to Transfer
Records to the National Archives of the
United States if special circumstances
merit use) prior to each transfer of
electronic records via remote transfer.
(d) Other Media. NARA may accept
records for transfer on media not
specified in paragraph (b) of this
section. This includes select magnetic
tape formats and external hard drives.
Contact NARA by mail at National
Archives and Records Administration;
Electronic Records Division (RDE); 8601
Adelphi Road; College Park, MD 20740–
6001, or by email at etransfers@nara.gov
to ask if the National Archives is able to
accept an alternate type of media.
§ 1235.50 What transfer specifications and
standards apply to electronic records?
(a) General. Agencies must transfer all
digital or electronic records to the
National Archives of the United States
in digital or electronic form. Agencies
must transfer adequate documentation,
including metadata, to identify, service,
and interpret the permanent electronic
records. See NARA’s Transfer Guidance
at: https://www.archives.gov/recordsmgmt/policy/transfer-guidance.html for
information about adequate
documentation for transferring
electronic records.
(b) Data files. Documentation for data
files and databases 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.
(c) Digital geospatial data files. Digital
geospatial data files must include the
documentation specified in paragraph
(b) of this section. In addition,
documentation for digital geospatial
data files can include metadata that
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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).
Federal geographic data standards are
available at: https://www.fgdc.gov/
standards/standards_publications.
§ 1235.52 What transfer specifications and
standards apply to textual records?
(a) Whenever agencies transfer textual
records to the National Archives of the
United States, they must provide the
following:
(1) A folder title list or equivalent
detailed records description, attached to
the Electronic Records Archives (ERA)
Transfer Request (TR) or Standard Form
(SF) 258, Agreement to Transfer Records
to the National Archives of the United
States at time of submission to NARA;
and
(2) Any indexes (textual or electronic)
or other materials existing at the time of
transfer that are used for finding,
managing, or retrieving the records, and
any other documentation needed or
useful for identifying or using the
records.
(b) Agencies must pack records in
NARA-recognized/approved document
storage containers (for further guidance,
see https://www.archives.gov/recordsmgmt/accessioning/).
§ 1235.54 How do agencies transfer
permanent textual records to the National
Archives of the United States?
jstallworth on DSK7TPTVN1PROD with PROPOSALS
(a) Agencies may transfer custody to
the National Archives of the United
States of permanent textual records that
reach eligibility for disposition by
submitting an Electronic Records
Archive (ERA) Transfer Request (TR).
NARA may choose to accept an
Standard Form (SF) 258, Agreement to
Transfer Records to the National
Archives of the United States if special
circumstances merit use. On all offers of
permanent records, NARA determines
whether requested restrictions are
acceptable.
(b) If the agency stores permanent
textual records at a Federal Records
Center (FRC), the FRC Inter-Agency
Agreement also governs the transfer of
those permanent records.
§ 1235.56 How do agencies transfer
permanent electronic records to the
National Archives of the United States
using the Electronic Records Archives
(ERA)?
Once NARA approves a Transfer
Request (TR) in ERA, agencies may
ingest electronic records against that
ERA TR. However, NARA encourages
agencies to continue to provide
electronic records to the National
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Archives of the United States in
accordance with format guidance at
https://www.archives.gov/records-mgmt/
policy/transfer-guidance.html. NARA
can then review, process, and ingest the
electronic records against the approved
ERA TR on the agency’s behalf.
Agencies should ingest electronic
records against an approved ERA TR
only after consultation at etransfer@
nara.gov.
PART 1236—ELECTRONIC RECORDS
MANAGEMENT
Subpart A—[Amended]
2. Revise the authority citation for part
1236 to read as follows:
■
Authority: 44 U.S.C. 2904, 2911, 3101,
3102, and 3105.
■
3. Remove and reserve § 1236.1.
§ 1236.1
■
[Reserved]
4. Revise § 1236.2 to read as follows:
§ 1236.2
part?
What definitions apply to this
In addition to the definitions in part
1220 that apply to all of subchapter B,
including this part, the following
definitions apply only to part 1236:
Electronic information system means
an information system that contains and
provides access to electronic Federal
records and other information.
Electronic messages means email and
other electronic messages that are used
for purposes of communicating between
individuals.
Electronic messaging account means
any account that sends or receives
electronic messages.
Email system means a system used to
create, receive, and transmit electronic
messages and other digital or electronic
documents. This definition does not
include file transfer utilities (software
that transmits files between users but
does not retain any transmission data),
data systems that collect and process
data which has been organized into data
files or databases on computers, and
word processing or other digital or
electronic documents not transmitted by
email.
Unstructured electronic records
means records created using office
automation applications, such as word
processing applications or presentation
software.
■ 20. Revise § 1236.4 to read as follows:
45255
edition other than that specified in this
section, NARA must publish a
document in the Federal Register and
the material must be available to the
public. You may inspect all approved
material incorporated by reference at
NARA’s textual research room, located
at National Archives and Records
Administration; 8601 Adelphi Road,
Room 2000; College Park, MD 20740–
6001. To arrange to inspect this
approved material at NARA, contact
NARA’s Regulations Comment Desk
(Strategy & Performance Division (SP))
by email at regulation_comments@
nara.gov or by telephone at 301–837–
3023. All approved material is available
from the sources listed below. You may
also inspect approved material at the
Office of the Federal Register (OFR). For
information on the availability of this
material at the OFR, call 202–741–6030
or go to https://www.archives.gov/
federal_register/code_of_federal_
regulations/ibr_locations.html.
(b) Internet Engineering Task Force
(IETF). The following standards are
available from the Internet Engineering
Task Force; c/o Association
Management Solutions, LLC (AMS);
48377 Freemont Blvd., Suite 117;
Freemont, CA 94538, (510) 492–4080.
(1) Request for Comments (RFC) 5322,
Internet Message Format, October 2008.
IBR approved for § 1236.22(b).
(2) [Reserved]
§ 1236.6
[Removed]
5. Remove § 1236.6.
6. Revise subpart B, Records
Management and Preservation
Considerations for Designing and
Implementing Electronic Information
Systems to read as follows:
■
■
Subpart B—Records Management and
Preservation Considerations for
Designing and Implementing
Electronic Information Systems
Sec.
1236.10 What records management controls
must agencies establish for records in
electronic information systems?
1236.12 What records management and
preservation considerations must
agencies incorporate into the design and
operation of electronic information
systems?
1236.14 What must agencies do to protect
records against technological
obsolescence?
§ 1236.4 What publications are
incorporated by reference in this part?
§ 1236.10 What records management
controls must agencies establish for
records in electronic information systems?
(a) NARA incorporates certain
material by reference into this part with
the approval of the Director of the
Federal Register under 5 U.S.C. 552(a)
and 1 CFR part 51. To enforce any
Agencies must incorporate records
management controls into the electronic
information system or integrate them
into a recordkeeping system that is
external to the information system itself
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Federal Register / Vol. 81, No. 134 / Wednesday, July 13, 2016 / Proposed Rules
(see § 1236.20 of this part). The
following types of records management
controls ensure that Federal records in
the electronic system provide adequate
and proper documentation of agency
business until the approved retention
time is past:
(a) Reliability: Controls to ensure that
the system keeps a full and accurate
representation of all transactions,
activities, or facts that occur in the
system and that the agency can depend
on the represented information in the
course of subsequent transactions or
activities;
(b) Authenticity: Controls to protect
against unauthorized addition, deletion,
alteration, use, and concealment of
transactions, activities, information, or
records;
(c) Integrity: Controls, such as audit
trails, to ensure records are complete
and unaltered;
(d) Usability: Mechanisms to ensure
the agency can locate, retrieve, present,
and interpret records;
(e) Content: Mechanisms to preserve
the information contained within the
record that the record’s creator
produced;
(f) Context: Mechanisms to crossreference related records that show the
record’s organizational, functional, and
operational circumstances. These will
vary depending on the agency’s
business, legal, and regulatory
requirements; and
(g) Structure: Controls to ensure the
maintenance of the physical and logical
format of the records and the
relationships between the data
elements.
jstallworth on DSK7TPTVN1PROD with PROPOSALS
§ 1236.12 What records management and
preservation considerations must agencies
incorporate into the design and operation of
electronic information systems?
As part of the capital planning and
systems development life cycle
processes, agencies must:
(a) Plan and implement records
management controls (see § 1236.10) in
the system;
(b) Be able to retrieve and use all
records in the system until the agency
no longer needs them to conduct
business and until the NARA-approved
retention period expires. When agencies
will need to retain records beyond the
planned life of the system, they must
also plan and budget for migration of
records and their associated metadata.
The migration plan must prevent loss of
records due to media decay or
technological obsolescence (see
§ 1236.14);
(c) Include contract provisions for the
export of records at the end of a contract
with third parties that have physical
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custody of agency records (including a
cloud-based environment); and
(d) Include processes for transferring
permanent records to the National
Archives of the United States in
accordance with part 1235 of this
subchapter.
§ 1236.14 What must agencies do to
protect records against technological
obsolescence?
To successfully protect records
against technological obsolescence,
regardless of the storage environment
and media, agencies must:
(a) Determine if the NARA-approved
retention period for the records will be
longer than the life of the system. If so,
agencies must migrate the records and
their associated metadata before retiring
the current system.
(b) Ensure hardware and software are
able to retain the electronic records’
functionality and integrity regardless of
the storage environment. To retain
functionality and integrity, agencies
must:
(1) Keep the records in a usable
format until their authorized disposition
date. When the agency must convert
records to migrate them, the agency
must still be able to maintain and
dispose of the records in the authorized
manner after conversion;
(2) Convert storage media to provide
compatibility with current hardware
and software as necessary; and
(3) Maintain a link between records
and their metadata when converting or
migrating. This includes capturing all
relevant associated metadata at the
point of migration (for both the records
and the migration process).
Subpart C—[Amended]
7. Revise §§ 1236.20 through 1236.24
to read as follows:
■
§ 1236.20 What are appropriate
recordkeeping systems for electronic
records?
Recordkeeping functionality may be
built into the electronic information
system, including email or other
electronic messaging systems, or records
can be transferred to an electronic
recordkeeping repository. The following
functionalities are necessary for
electronic recordkeeping, and may be
achieved through a combination of
management policies and system
controls:
(a) Store and preserve Federal records
and associated metadata. Allow the
agency to retrieve and use all records in
the system until the agency no longer
needs them to conduct business and
until the NARA-approved retention
period expires. Include procedures to
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migrate records and their associated
metadata to new storage media or
formats to avoid loss due to media
decay or technology obsolescence;
(b) Manage access and retrieval.
Establish appropriate user rights to
access, search, and retrieve records, and
prevent unauthorized access,
modification, or destruction of records.
Include appropriate audit trails to track
use of the records;
(c) Execute disposition. Identify and
transfer permanent records to the
National Archives of the United States
based on approved records schedules.
Identify and destroy temporary records
that are eligible for disposal. Apply
records holds or freezes on disposition
when required; and
(d) Backup systems. System and file
backup processes and media that do not
provide the appropriate recordkeeping
functionalities must not be used as the
agency electronic recordkeeping system.
§ 1236.21 In addition to recordkeeping
system requirements, what additional
requirements apply to managing electronic
messaging records?
The additional requirements listed
below apply to all electronic messaging
records.
(a) Employees should use non-official
electronic messaging accounts only
when agency-administered systems are
unavailable, and never as a routine
business practice.
(b) Employees may not create or send
a record using a non-official electronic
messaging account unless the employee:
(1) Copies their official electronic
messaging account when they originally
create or transmit the record; or
(2) Forwards a complete copy of the
record to their official electronic
messaging account no later than 20 days
after they originally create or transmit
the record.
(c) When employees receive a record
in a non-official electronic messaging
account, they must forward a complete
copy of the electronic message to their
official electronic messaging account no
later than 20 days after they receive the
record.
(d) If employees intentionally fail to
follow these requirements, they may
face adverse disciplinary actions in
accordance with 5 U.S.C. Ch. 75 (also
see 44 U.S.C. 2911).
§ 1236.22 What are the additional
requirements for managing email records?
(a) All Federal agencies must manage
permanent and temporary email records
in an electronic format with the
capability to identify, retrieve, and use
the records for as long as their
disposition requires.
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(b) Agencies must issue instructions
for retaining and managing email
records that include the following
electronic recordkeeping requirements:
(1) Email messages must comply with
the commonly accepted specifications
outlined in Request for Comments (RFC)
5322, Internet Message Format
(incorporated by reference, see
§ 1236.4). The record copy of the email
message must include, at a minimum,
subject, message body, address of sender
and all addressee(s), and the time and
date the message was sent and received;
(2) Associate nicknames or aliases of
agency-created accounts with the proper
name of the employee responsible for
the agency-generated emails; if an
agency does not capture these in the
header section, it must maintain records
that allow the agency to do so;
(3) Include the information necessary
to identify, service, and interpret email
records the agency transfers to the
National Archives of the United States,
in accordance with the requirements in
paragraphs (b)(1) and (2) of this section
and § 1235.50 of this subchapter;
(4) Preserve email message
attachments that are part of the email
record or linked to the email record
with other related records; and
(5) If the email system identifies users
by codes or nicknames or identifies
addressees only by the name of a
distribution list, retain the intelligent or
full names on directories or distribution
lists to identify the sender and
addressee(s) of messages that are
records.
(c) Agencies may elect to manage
email records on the agencyadministered email system itself,
provided that:
(1) Users do not delete the messages
before the NARA-approved retention
period expires; and
(2) The system’s automatic deletion
rules ensure it preserves the records
until the NARA-approved retention
period expires.
jstallworth on DSK7TPTVN1PROD with PROPOSALS
§ 1236.24 In addition to recordkeeping
system requirements, are there additional
requirements for managing unstructured
electronic records?
Agencies that manage unstructured
electronic records must maintain the
records in a recordkeeping system that
meets the requirements in § 1236.10.
■ 8. Revise § 1236.26(a) to read as
follows:
§ 1236.26 What actions must agencies
take to maintain electronic information
systems?
(a) Agencies must maintain
inventories of electronic information
systems and review the systems
periodically for conformance to
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established agency procedures,
standards, and policies as part of the
periodic reviews required by 44 U.S.C.
3506. The review should determine if
the agency has properly identified and
described the records, and if the records
schedule descriptions and retention
periods reflect the current content and
use. If not, agencies must submit a
records schedule through NARA’s
Electronic Records Archive (ERA)
records schedule system in accordance
with part 1225 of this subchapter.
*
*
*
*
*
■ 9. Revise § 1236.28(c) and (e) to read
as follows:
§ 1236.28 What additional requirements
apply to the selection and maintenance of
electronic records storage media for
permanent records?
*
*
*
*
*
(c) For additional guidance on
maintaining and storing CDs and DVDS,
agencies may consult the National
Institute of Standards and Technology
(NIST) Special Publication 500–252,
Care and Handling of CDs and DVDs at:
https://www.itl.nist.gov/iad/894.05/
publications.html.
*
*
*
*
*
(e) Agencies must annually read a
statistical sample of electronic storage
media that contains the record copy and
backups of permanent and unscheduled
records. Agencies must read and correct
as appropriate all other electronic
storage media which might have been
affected by the same cause (e.g., poorquality tape, high usage, poor
environment, improper handling).
(1) If agencies are maintaining
magnetic computer tape libraries with
1800 or fewer tape media a 20 percent
sample or a sample set of 50 media,
whichever is larger, should be read.
(2) In magnetic computer tape
libraries with more than 1800 media,
agencies should read a sample of 384
media.
(3) Agencies should replace magnetic
computer tape media with errors and,
when possible, restore lost data.
*
*
*
*
*
■ 10. Revise part 1237 to read as
follows:
PART 1237—MANAGING
AUDIOVISUAL, CARTOGRAPHIC, AND
RELATED RECORDS
Sec.
1237.1 What records management
requirements apply to audiovisual,
cartographic, and related records?
1237.3 What publications are incorporated
by reference into this part?
1237.4 What definitions apply to this part?
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1237.10 How must agencies manage their
audiovisual, cartographic, and related
records?
1237.12 What record elements must
agencies create, preserve, and transfer for
permanent audiovisual, cartographic,
and related records?
1237.14 What are the additional scheduling
requirements for audiovisual,
cartographic, and related records?
1237.16 How do agencies store audiovisual
records?
1237.18 What are the environmental
standards for audiovisual records
storage?
1237.20 How must agencies handle and
maintain audiovisual records?
1237.22 How must agencies handle and
maintain cartographic and related
records?
1237.24 How must agencies handle and
maintain aerial photographic records?
1237.26 What materials and processes must
agencies use to create audiovisual
records?
1237.28 How must agencies handle and
maintain digital photographs?
1237.30 How must agencies handle and
manage records on nitrocellulose-base
and cellulose-acetate-base film?
Authority: 44 U.S.C. 2904 and 3101.
§ 1237.1 What records management
requirements apply to audiovisual,
cartographic, and related records?
Agencies must manage audiovisual,
cartographic, and related records in
accordance with the common records
management requirements in parts 1220
through 1235 of this subchapter. In
addition, this part prescribes
requirements specific to managing
audiovisual, cartographic, and related
records to ensure adequate and proper
documentation and authorized, timely,
and appropriate disposition.
§ 1237.3 What publications are
incorporated by reference into this part?
(a) NARA incorporates certain
material by reference into this part with
the approval of the Director of the
Federal Register under 5 U.S.C. 552(a)
and 1 CFR part 51. To enforce any
edition other than that specified in this
section, NARA must publish a
document in the Federal Register and
must make the material available to the
public. You may inspect all approved
material incorporated by reference at
NARA’s textual research room, located
at National Archives and Records
Administration; 8601 Adelphi Road,
Room 2000; College Park, MD 20740–
6001. To arrange to inspect this
approved material at NARA, contact
NARA’s Regulation Comments Desk
(Strategy & Performance Division (SP))
by email at regulation_comments@
nara.gov or by telephone at 301–837–
3023. All approved material is available
from the sources listed below. You may
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also inspect approved material at the
Office of the Federal Register (OFR). For
information on the availability of this
material at the OFR, call 202–741–6030
or go to https://www.archives.gov/
federal_register/code_of_federal_
regulations/ibr_locations.html.
(b) American National Standards
Institute (ANSI). The following
standards are available from American
National Standards Institute; 25 West
43rd St., 4th Floor; New York, NY
10036, or online at: https://
webstore.ansi.org.
(1) ANSI/AIIM TR34: 1996 (‘‘ANSI/
AIIM TR34’’), Sampling Procedures for
Inspection by Attributes of Images in
Electronic Image Management and
Micrographic Systems, May 13, 1996.
IBR approved for § 1237.28(d).
(2) ISO 2859–1: 1999 (‘‘ISO 2859–1’’),
Sampling Procedures for Inspection by
Attributes—Part 1: Sampling Schemes
Indexed by Acceptable Quality Level
(AQL) for Lot-by-Lot Inspection, Second
Edition, November 15, 1999
(supplemented by Amendment 1, 2011).
IBR approved for § 1237.28(d).
(3) ISO 18902: 2013 (‘‘ISO 18902’’),
Imaging Materials—Processed Imaging
Materials—Albums, Framing, and
Storage Materials, Third Edition, July 1,
2013. IBR approved for §§ 1237.16(b)
and 1237.22(f).
(4) ISO 18906: 2000 (‘‘ISO 18906’’),
Imaging Materials—Photographic
Films—Specifications for Safety Film,
First Edition, December 15, 2000. IBR
approved for § 1237.26(a).
(5) ISO 18911: 2010 (‘‘ISO 18911’’),
Imaging Materials—Processed Safety
Photographic Films—Storage Practices,
Second Edition, September 1, 2010. IBR
approved for §§ 1237.16(b) and (d) and
1237.18(a).
(6) ISO 18920: 2011 (‘‘ISO 18920’’),
Imaging Materials—Reflection Prints—
Storage Practices, Second Edition,
October 1, 2011. IBR approved for
§ 1237.18(a).
(7) ISO 18923: 2000 (‘‘ISO 18923’’),
Imaging Materials—Polyester-Base
Magnetic Tape—Storage Practices, First
Edition, June 1, 2000. IBR approved for
§ 1237.18(b).
(8) ISO 18925: 2013 (‘‘ISO 18925’’),
Imaging Materials—Optical Disc
Media—Storage Practices, Third
Edition, February 1, 2013. IBR approved
for § 1237.18(c).
(c) National Fire Protection
Association (NFPA). The following
standards are available from the
National Fire Protection Association; 1
Battery March Park; Quincy, MA 02269,
by phone at (800) 344–3555, or online
at: https://www.nfpa.org.
(1) NFPA 40–2011 (‘‘NFPA 40–
2011’’), Standard for the Storage and
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Handling of Cellulose Nitrate Film,
2011. IBR approved for § 1237.30(a).
(2) [Reserved]
§ 1237.4
part?
What definitions apply to this
In addition to the definitions in part
1220 that apply to all of subchapter B
including this part, the following
definitions apply only to part 1237:
Aerial photographic records means
film-based images of the surface of the
earth, of other planetary bodies, or of
the atmosphere that have been taken
from airborne vehicles or satellites.
These records include:
(1) Vertical and oblique aerial
negative film as well as copy negatives,
internegatives, rectified negatives, and
annotated and other prints from these
negatives;
(2) Infrared, ultraviolet, multispectral,
video, and radar imagery that has been
converted to a film base; and
(3) The relevant index system in
whatever form it may exist, such as
mosaics, flight-line overlays or
annotated maps, or electronic databases
capturing the latitude and longitude (or
other coordinate-based location data) of
individual aerial photographic center
points.
Architectural and engineering records
means graphic records that depict the
proposed and actual construction of
stationary structures (e.g. buildings,
bridges, and canals) or movable objects
(e.g., ships, aircraft, vehicles, weapons,
machinery, and equipment). These
records are also known as design and
construction drawings and include
closely-related indexes and written
specifications.
Audiovisual means any pictorial or
aural means of communicating
information (e.g., photographic prints,
negatives, slides, digital images, sound
recordings, and moving images).
Audiovisual equipment means
equipment used to record, produce,
duplicate, process, broadcast, distribute,
store, or exhibit audiovisual materials or
to provide any audiovisual services.
Audiovisual production means an
organized and unified presentation,
developed according to a plan or script,
containing visual imagery, sound, or
both, and used to convey information.
An audiovisual production generally is
a self-contained presentation.
Audiovisual records means records in
pictorial or aural form, including still
photographs and motion media (i.e.,
moving images whether on motion
picture film or as video recordings),
sound recordings, graphic works (e.g.,
printed posters), mixed media, and
related finding aids and production
files.
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Cartographic records means graphic
representations drawn to scale of
selected cultural and physical features
of the surface of the earth, of other
planetary bodies, and of the atmosphere.
They include maps, charts, photomaps,
orthophotomaps and images, atlases,
cartograms, globes, and relief models.
Related records are those that are
integral to the map-making process,
such as field survey notes, geodetic
controls, map history case files, source
material, indexes, and finding aids.
§ 1237.10 How must agencies manage
their audiovisual, cartographic, and related
records?
Each Federal agency must manage its
audiovisual, cartographic, and related
records as required in parts 1220
through 1235 for all records. In
addition, for these types of records,
agencies must:
(a) Prescribe the types of audiovisual,
cartographic, and related records the
agency creates and maintains;
(b) Create and maintain current
inventories showing the location of all
generations of audiovisual records and
all cartographic and related records,
especially those not maintained
centrally by the agency; and
(c) For permanent electronic records,
consult NARA’s transfer guidance at:
https://www.archives.gov/records-mgmt/
policy/transfer-guidance.html.
§ 1237.12 What record elements must
agencies create, preserve, and transfer for
permanent audiovisual, cartographic, and
related records?
In general, the physical types
described below comprise the minimum
record elements that agencies must
provide for future preservation,
duplication, and reference.
(a) Motion pictures.
(1) For agency-sponsored or produced
motion picture films (e.g., public
information films), whether for public
or internal use:
(i) Original negative or color original
plus separate optical sound track;
(ii) Intermediate master positive or
duplicate negative plus optical sound
track; and
(iii) Sound projection print and video
recording, if one exists.
(2) For agency-acquired motion
picture films: two projection prints in
good condition or one projection print
and one videotape.
(3) For unedited footage, other
outtakes, and trims (the discards of film
productions), which the agency must
properly arrange, label, and describe,
and which show un-staged, unrehearsed
events of historical interest or
historically significant phenomena:
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(i) Original negative or color original;
and
(ii) Matching print or videotape.
(4) For digital cinema records: See
NARA’s transfer guidance relating to
digital moving image files copied from
analog film at: https://www.archives.gov/
records-mgmt/policy/transferguidance.html.
(b) Video recordings.
(1) For videotape: The original or
earliest generation videotape and a copy
for reference. Agencies must comply
with requirements in § 1237.26(c) for
original videotapes, although agencies
may transfer VHS, DVD, or other digital
files as reference copies.
(2) For video discs: The premaster
videotapes used to manufacture the
video disc and two copies of the disc.
Agencies must consult NARA by mail at
National Archives and Records
Administration; Special Media Records
Division (RDS); 8601 Adelphi Road;
College Park, MD 20740–6001, or by
email at mopix.accessions@nara.gov,
before initiating transfers of video discs
that depend on interactive software or
non-standard equipment.
(3) For digital video records: See
NARA’s transfer guidance relating to
born-digital video files, or digital video
files copied from analog video at: https://
www.archives.gov/records-mgmt/policy/
transfer-guidance.html.
(c) Still pictures.
(1) For analog black-and-white
photographs: An original negative and a
captioned print. The agency may
maintain captioning information in hard
copy or electronic form, such as a
database or spreadsheet, if the agency
ensures the caption-image number
correlation is clear. If the original
negative is on nitrate, or unstable
acetate film base, the agency should also
transfer a duplicate negative on a
polyester base or a digital copy that
meets, at minimum, the photographic
scanning standards in NARA’s Digital
Photographic Transfer Guidance
referenced in paragraph (d) of this
section. NARA prefers that whenever
possible, the digital copy meet the
highest-level NARA Lab Services
standards set forth at: https://
www.archives.gov/preservation/
products/definitions/photo-def.html.
(2) For analog color photographs: The
original color negative, color
transparency, or color slide; a captioned
print of the original color negative; a
duplicate negative, slide, or
transparency, if it exists; and, where the
caption does not appear directly with
the image, captioning information
maintained in another file presenting a
clear caption-image number correlation.
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(3) For slide sets: The original and a
reference set, and the related audio
recording (in accordance with paragraph
(e) of this section) and script.
(4) For other pictorial records, such as
posters, original art work, and
filmstrips: The original and a reference
copy. Please note the National Archives
of the United States is not the
appropriate repository for original
physical artwork (e.g., paintings and
sculptures). Agencies may, however,
transfer to the National Archives of the
United States analog or digital
photographic reproductions of the
artwork meeting the requirements for
analog photographs, listed above, or
digital photographs, listed below.
(d) Digital photographic records. See
NARA’s transfer guidance for digital
photographic records at: https://
www.archives.gov/records-mgmt/policy/
transfer-guidance.html. See also
§ 1237.14 (for transfer timing) and
§ 1237.28 (for making imagery
transferable).
(e) Sound recordings.
(1) For digital recordings: The
origination recording regardless of form
and a subsequent generation copy for
reference.
(2) For analog disc recordings: The
master tape and two disc pressings of
each recording (typically a vinyl copy
for playback at 331⁄3 revolutions per
minute (rpm)).
(3) For analog audio recordings on
magnetic tape (open reel, cassette, or
cartridge): The original tape, or the
earliest available generation of the
recording, and a subsequent generation
copy for reference.
(f) Finding aids and production
documentation. Agencies must transfer
the following records to the National
Archives of the United States with the
audiovisual records to which they
pertain:
(1) Existing finding aids such as data
sheets, shot lists, continuities, review
sheets, catalogs, indexes, assignment
logs, lists of captions, and other
documentation needed or useful to
identify or retrieve still images, graphic
materials (posters), or audiovisual
(moving and sound) records. Contact
NARA by mail at National Archives and
Records Administration; Special Media
Records Division (RDS); 8601 Adelphi
Road; College Park, MD 20740–6001, or
by email at mopixaccessions@nara.gov
(for audiovisual records) and
stillpix.accessions@nara.gov (for digital
still photographs) for information on
transferring finding aids that do not
meet the requirements of this part; and
(2) Production case files or similar
files that include copies of production
contracts, scripts, transcripts, and
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appropriate documentation bearing on
the origin, acquisition, release, and
ownership of the production (including,
among other examples, licensing
agreements and use permission forms).
(g) Maps and charts. This includes:
(1) Manuscript maps; printed and
processed maps on which manuscript
changes, additions, or annotations have
been made for record purposes or which
bear manuscript signatures to indicate
official approval; and single printed or
processed maps that have been attached
to or interfiled with other documents of
a record character or in any way made
an integral part of the record;
(2) Master sets of printed or processed
maps issued by the agency. A master set
must include each edition of a printed
or processed map issued;
(3) Paper versions of computer-related
and computer-plotted maps that can no
longer be reproduced electronically;
(4) Index maps, card indexes, lists,
catalogs, or other finding aids that may
be helpful in using the transferred maps;
and
(5) Records related to preparing,
compiling, editing, or printing maps,
such as manuscript field notebooks of
surveys, triangulation and other
geodetic computations, and project
folders containing agency specifications
for creating the maps.
(h) Aerial photography and remote
sensing imagery. This includes:
(1) Vertical and oblique negative
aerial film;
(2) Annotated copy negatives,
internegatives, rectified negatives, and
glass plate negatives from vertical and
oblique aerial film;
(3) Annotated prints from aerial film;
(4) Infrared, ultraviolet, multispectral
(multiband), video, imagery radar, and
related tapes, converted to a film base;
and
(5) Indexes and other finding aids in
the form of photo mosaics, flight line
indexes, coded grids, and coordinate
grids. (Note that, with respect to aerial
imagery on nitrate or unstable acetatebased film, the same agency copying
requirements apply as those cited above
under still pictures, paragraph (c)(1) of
this section).
(i) Architectural and related
engineering drawings. This includes:
(1) Design drawings, preliminary and
presentation drawings, and models that
document the evolution of the design of
a building or structure;
(2) Master sets of drawings that
document both the initial design and
construction and subsequent alterations
of a building or structure. This category
includes final working drawings, ‘‘asbuilt’’ drawings, shop drawings, and
repair and alteration drawings;
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(3) Drawings of repetitive or standard
details of one or more buildings or
structures;
(4) ‘‘Measured’’ drawings of existing
buildings and originals or photocopies
of drawings reviewed for approval; and
(5) Related finding aids and
specifications to be followed.
(j) Digital geospatial formats and
Computer Aided Design (CAD). See
NARA’s transfer guidance for digital
geospatial formats and CAD at: https://
www.archives.gov/records-mgmt/policy/
transfer-guidance.html.
§ 1237.14 What are the additional
scheduling requirements for audiovisual,
cartographic, and related records?
For better preservation and access,
schedule audiovisual records for as
short a retention period as possible to
meet agency business needs. Agencies
should schedule permanent audiovisual
records for transfer to the National
Archives of the United States:
(a) Within 5–10 years after creation, in
the case of unrestricted analog records
or within 3–5 years after creation, in the
case of unrestricted digital records (see
36 CFR part 1235 of this subchapter);
and
(b) In the case of restricted analog or
digital records, agencies should consult
with NARA regarding transfers at
etransfer@nara.gov.
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§ 1237.16 How do agencies store
audiovisual records?
Agencies must maintain appropriate
storage conditions for permanent, longterm temporary, or unscheduled
audiovisual records:
(a) Ensure that audiovisual records
storage facilities comply with part 1234
of this subchapter;
(b) Use audiovisual storage containers
or enclosures made of non-corroding
metal, inert plastics, paper products,
and other safe materials recommended
in ISO 18902 and ISO 18911
(incorporated by reference; see § 1237.3)
to store permanent, long-term
temporary, or unscheduled records;
(c) Store originals and copies for use
(e.g., negatives and prints) separately
whenever practicable. Store distinct
audiovisual record series separately
from textual series (e.g., store poster
series separately from other kinds of
agency publications, or photographic
series separately from general reference
files). Retain intellectual control
through finding aids, annotations, or
other descriptive mechanisms;
(d) Store series of permanent and
unscheduled x-ray films (i.e., x-rays that
are not interspersed among paper
records (case files)) in accordance with
§ 1238.20 of this subchapter. Store series
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of temporary x-ray films under
conditions that ensure they are
preserved for their full scheduled
retention period, in accordance with
ISO 18911 (incorporated by reference;
see § 1237.3);
(e) Store posters and similar oversized
graphic works in map cases, hanging
files, or other enclosures that are
sufficiently large or flexible to
accommodate the records without
rolling, folding, bending, or other
treatment that compromises image
integrity and stability; and
(f) Store optical discs in individual
containers and use felt-tip, water-based
markers to label the discs.
§ 1237.18 What are the environmental
standards for audiovisual records storage?
(a) Photographic film and prints. The
requirements in this paragraph apply to
permanent, long-term temporary, and
unscheduled audiovisual records:
(1) Store polyester-base black-andwhite film, and black-and-white
photographic prints, in a climatecontrolled environment at a constant
temperature and humidity; as a best
practice, at maximum 65 degrees
Fahrenheit and between 30 and 40
percent relative humidity; and
(2) Keep all non-polyester black-andwhite film, color film on any base, and
color photographic prints in climatecontrolled cold storage, in order to
retard fading of color images and
deterioration of acetate-base film.
Maintain cold storage area at a constant
temperature and humidity; as a best
practice, at maximum 35 to 40 degrees
Fahrenheit with 30 to 40 percent
relative humidity. For more detailed,
format- and process-specific
requirements, see ISO 18911 and ISO
18920 (incorporated by reference; see
§ 1237.3). See also NARA Directive
1571, Archival Storage Standards, at:
www.archives.gov/foia/directives/nara/
1571.pdf.
(b) Analog, digital records on
magnetic tape. For analog audio and
video recordings and digital images
stored on magnetic tape, keep in an area
maintained at a constant temperature
range of 62 to 68 degrees Fahrenheit,
with constant relative humidity from 35
to 45 percent. See also the requirements
for electronic records storage in
§ 1236.28 of this subchapter.
(c) Digital images on optical media.
For permanent, long-term temporary, or
unscheduled digital images maintained
on optical media (e.g., CDs, DVDs), use
the storage temperature and humidity
levels stated in ISO 18925 (incorporated
by reference; see § 1237.3).
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§ 1237.20 How must agencies handle and
maintain audiovisual records?
Agencies must:
(a) Protect audiovisual records,
including those recorded on digital
media or magnetic sound or video
media, from being accidentally or
deliberately altered or erased;
(b) If different versions of audiovisual
productions (e.g., short and long
versions or foreign-language versions)
are prepared, keep an unaltered copy of
each version for record purposes;
(c) Link audiovisual records with
their finding aids, including captions
and published and unpublished
catalogs, inventories, assignment logs,
indexes, production files, and similar
documentation created in the course of
audiovisual production. Establish and
communicate agency-wide, clearcaptioning standards, procedures, and
responsibilities;
(d) Maintain current documentation
identifying creators of audiovisual
products, their precise relationship to
the agency, and the nature and status of
copyright or other rights affecting the
present and future use of items acquired
from sources outside the agency (see
§ 1222.32 of this subchapter for
requirements to ensure agency
ownership of contractor-produced
records);
(e) For each audiovisual record, create
unique identifiers that clarify
connections and correlations between
related elements (e.g., photographic
prints and corresponding negatives,
original analog photographs and
corresponding digital versions, original
edited masters and corresponding
dubbing for video and audio
recordings). Unique identifiers must
also associate records with the relevant
creating, sponsoring, or requesting
offices. The caption-image numbering
correlation must be clear and facilitate
precise and efficient access (i.e., for
digital files, use file naming conventions
that ensure non-repetition across
directory structures);
(f) Maintain temporary and permanent
audiovisual records separately; and
(g) Require that personnel wear white,
lint-free cotton gloves (or other
approved gloves, such as un-powdered
nitrile) when handling film and
photographic prints.
(h) For more technical information on
preservation strategies and options,
consult with NARA at National
Archives and Records Administration;
Preservation Programs Division (RX) or
Special Media Records Division (RDS);
8601 Adelphi Road; College Park, MD
20740–6001.
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§ 1237.22 How must agencies handle and
maintain cartographic and related records?
Agencies must:
(a) Maintain permanent and
unscheduled cartographic, architectural,
and engineering records in
environments appropriate for the type of
materials they are made of. Optimum
environment for paper-based materials
does not exceed 65 to 70 degrees
Fahrenheit, with relative humidity
under 50 percent. For film-based
materials, see the targets in § 1237.24(e),
below. See also NARA Directive 1571,
Archival Storage Standards, at:
www.archives.gov/foia/directives/nara/
1571.pdf.
(b) Create an identification scheme for
each series and assign unique
identification designations to each item
within a series;
(c) Maintain lists or indexes for each
series with cross-references to related
textual records;
(d) Avoid interfiling separate series of
maps, charts, or drawings;
(e) File permanent cartographic and
architectural records separately from
temporary series, except that the agency
may systematically file hand-corrected
versions with other published maps in
a central or master file;
(f) Avoid rolling and folding maps
and drawings. Store permanent maps
and drawings flat in shallow-drawer
map cases in acid-free folders compliant
with ISO 18902 (incorporated by
reference; see § 1237.3); and
(g) Not laminate original oversized
records. Consult NARA by mail at
National Archives and Records
Administration; Preservation Programs
Division (RX); 8601 Adelphi Road;
College Park, MD 20740–6001, for
preservation, storage, and treatment
options.
jstallworth on DSK7TPTVN1PROD with PROPOSALS
§ 1237.24 How must agencies handle and
maintain aerial photographic records?
Agencies must:
(a) Mark each aerial film container
with a unique identification code to
facilitate identification and filing;
(b) Mark aerial film indexes with the
unique aerial film identification codes
or container codes for the aerial film
that they index. Also, file and mark the
aerial indexes in such a way that the
agency can easily retrieve them by area
covered;
(c) Store aerial film negative rolls in
inert plastic containers upright on
shelves, and assign identification codes
to each roll of film;
(d) Wear white, lint-free cotton gloves
(or other approved gloves, such as
unpowdered nitrile) to handle film; and
(e) Store film in a climate-controlled
environment at a constant temperature
and humidity, ideally:
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(1) Maximum 65 degrees Fahrenheit
and between 30 and 40 percent relative
humidity for polyester-base black-andwhite film; and
(2) Maximum 35 to 40 degrees
Fahrenheit and between 30 and 40
percent relative humidity for acetatebase film and color film on any base.
For more detailed, format- and processspecific requirements, see ISO 18911
(incorporated by reference; see
§ 1237.3). See also NARA Directive
1571, Archival Storage Standards, at:
www.archives.gov/foia/directives/nara/
1571.pdf.
§ 1237.26 What materials and processes
must agencies use to create audiovisual
records?
(a) For still picture and motion
picture preprints (e.g., negatives,
masters, and all other copies) of
permanent, long-term temporary, or
unscheduled records, use polyester-base
media, and process in accordance with
the industry standards in ISO 18906
(incorporated by reference; see
§ 1237.3).
(b) When reproducing excerpts or
stock footage, avoid using motion
pictures in a final ‘‘A & B’’ format (i.e.,
two precisely matched reels designed to
be printed together).
(c) Use only industrial- or
professional-grade photographic
cameras and equipment, video and
audio recording equipment, new and
previously unrecorded magnetic tape
stock, blank optical media (e.g., DVD
and CD), or magnetic media (hard
drives) for the record copy of all
permanent, long-term temporary, or
unscheduled imagery and recordings.
Limit the use of consumer formats to
distribution or reference copies or to
subjects scheduled for destruction.
Avoid using videocassettes in the VHS
format as originals for permanent or
unscheduled records.
(d) Record permanent, long-term
temporary, temporary, or unscheduled
audio recordings on optical media from
major manufacturers. Avoid using
cassettes as originals for permanent
records or unscheduled records
(although agencies may use them for
reference copies).
(e) For born-digital or scanned digital
images that are scheduled as permanent
or unscheduled, a record (or master)
version of each image must be
comparable in quality to a 35mm film
negative or better. The Tagged Image
File Format (TIFF) and the JPEG File
Interchange Format (JFIF, JPEG) are
well-established examples of formats
appropriate for saving permanent and
unscheduled digital photographs.
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(f) As a general rule, create such
images at a resolution reaching or
approximating at least 3000 pixels on
the longest dimension.
(g) For temporary digital photographs,
agencies select formats they deem most
suitable to fulfill business needs.
(h) For further information about
preferred and acceptable formats and
versions, see NARA’s transfer guidance
at: https://www.archives.gov/recordsmgmt/policy/transfer-guidance.html.
§ 1237.28 How must agencies handle and
maintain digital photographs?
Digital photographs, either originating
in digital form (‘‘born-digital’’) or
scanned from photographic prints,
slides, and negatives, are subject to the
provisions of this part and the
requirements of part 1236 of this
subchapter. Agencies must:
(a) Schedule digital photographs and
related databases as soon as possible for
the minimum retention period the
agency requires to meet its business
needs, and transfer records promptly
according to the disposition instructions
on the records schedule;
(b) Select image management and
related database management software
and hardware that meet long-term
archival requirements, National
Archives and Records Administration’s
transfer standards, and business needs.
Agencies must be able to export images
and related data in formats compatible
with NARA systems. For additional
information and assistance, contact
NARA by mail at National Archives and
Records Administration; Special Media
Records Division (RDS); 8601 Adelphi
Road; College Park, MD 20740–6001, or
by email at stillpix.accessions@nara.gov;
(c) Build redundancy into storage
systems (i.e., back up image files
through on-line, off-line, or combination
approaches) when developing digital
image storage strategies (see electronic
storage requirements in § 1236.28 of this
subchapter);
(d) Document the quality control
inspection process the agency employs
when scanning digital images of
photographic prints, slides, and
negatives that are scheduled as
permanent or are unscheduled. As part
of the process:
(1) Visually inspect a sample of the
images for defects, evaluate finding aid
accuracy, verify file header information
and file name integrity; and
(2) Conduct the sample using a
volume sufficiently large to yield
statistically valid results, in accordance
with one of the quality sampling
methods presented in ANSI/AIIM TR34
and ISO 2859–1 (incorporated by
reference; see § 1237.3);
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Federal Register / Vol. 81, No. 134 / Wednesday, July 13, 2016 / Proposed Rules
(e) Periodically inspect born-digital
images scheduled as permanent, longterm temporary, or unscheduled, using
sampling methods or more
comprehensive verification systems
(e.g., checksum programs), to evaluate
image file stability, documentation
quality, and finding aid reliability.
Agencies must also establish procedures
to refresh digital data (recopying) and to
migrate files, especially for images and
databases retained for five years or
longer;
(f) Designate a record set of images to
maintain separately from other versions.
Do not subject record sets of permanent
or unscheduled images that have
already been compressed once (e.g.,
compressed TIFF or first-generation
JPEG) to further changes in image size;
(g) Organize record images in logical
series. Group permanent digital images
separately from temporary digital
images or designate images as
permanent or temporary in a metadata
field designed for that purpose;
(h) Document information about
digital photographic images as the
agency produces them. Embed
descriptive elements in each permanent
or unscheduled image’s file header or
capture descriptive elements in a
separate database accompanying the
image series. Descriptive elements must
include:
(1) A unique identification number;
(2) Information about image content
(i.e., basic ‘‘who,’’ ‘‘what,’’ ‘‘where,’’
‘‘when,’’ ‘‘why’’ captioning data);
(3) Photographer’s identity and
organizational affiliation;
(4) Existence of any copyright or other
potential restrictions on image use; and
(5) Technical data, including file
format and version, bit depth, image
size, camera make and model,
compression method and level, and
custom or generic color profiles (ICC/
ICM profile), among other elements. In
this regard, verify the extent of the
Exchangeable Image File Format (EXIF)
information embedded automatically by
digital cameras and scanners;
(i) Provide a unique file name to
identify the digital image; and
(j) Develop finding aids sufficiently
detailed to ensure the agency can
efficiently and accurately retrieve
images. Ensure that the agency can use
indexes, caption lists, and assignment
logs to identify and chronologically cut
off blocks of images for transfer to the
National Archives of the United States.
chemically unstable and highly
flammable. Agencies must handle
nitrocellulose-base film (used in the
manufacture of sheet film, 35mm
motion pictures, aerial and still
photographs into the 1950s) as specified
below:
(1) Segregate nitrocellulose film
materials (e.g., 35mm motion picture
film and large series of still pictures)
from other records in storage areas;
(2) Immediately notify NARA by mail
at National Archives and Records
Administration; Special Media Records
Division (RDS); 8601 Adelphi Road;
College Park, MD 20740–6001, or by
email at stillpix.accessions@nara.gov
(for still photographs) or
mopix.accessions@nara.gov (for motion
picture film). If NARA appraises nitrate
film materials as disposable and the
agency wishes to retain them, the
agency must follow the standard NFPA
40–2011 (incorporated by reference; see
§ 1237.3); and
(3) Follow the packing and shipping
standards for nitrate film as specified in
Department of Transportation
regulations (49 CFR 172.101, Hazardous
materials table; 172.504, Transportation;
173.24, Standard requirements for all
packages; and 173.177, Motion picture
film and X-ray film—nitrocellulose
base). Carry out nitrate film disposal in
accordance with the relevant hazardous
waste disposal regulations in 40 CFR,
parts 260 through 282.
(b) Inspect cellulose-acetate film
periodically (at least once every five
years) for acetic odor, wrinkling, or
crystalline deposits on the edge or
surface of the film, which indicate
deterioration. Agencies must notify
NARA about deteriorating permanent or
unscheduled audiovisual records
composed of cellulose acetate
immediately after inspection, so the
agency can copy the records prior to
transferring the original and duplicate
film to the National Archives of the
United States. Notify NARA by mail at
National Archives and Records
Administration; Special Media Records
Division (RDS); 8601 Adelphi Road;
College Park, MD 20740–6001, or by
email at stillpix.accessions@nara.gov
(for still photographs) or
mopix.accessions@nara.gov (for motion
picture film).
§ 1237.30 How must agencies handle and
manage records on nitrocellulose-base and
cellulose-acetate-base film?
Dated: June 28, 2016.
David S. Ferriero,
Archivist of the United States.
(a) The nitrocellulose base, a
substance akin to gun cotton, is
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ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 228
[EPA–R04–OW–2016–0356; FRL–9948–90–
Region 4]
Ocean Dumping: Modification of an
Ocean Dredged Material Disposal Site
Offshore of Charleston, South Carolina
Environmental Protection
Agency (EPA).
ACTION: Proposed rule.
AGENCY:
The Environmental Protection
Agency (EPA) is proposing to approve a
modification of the ocean dredged
material disposal site (ODMDS) site
offshore of Charleston, South Carolina
pursuant to the Marine Protection,
Research and Sanctuaries Act, as
amended (MPRSA). The primary
purpose for the site modification is to
serve the long-term need for a location
to dispose of material dredged from the
Charleston Harbor federal navigation
channel, and to provide a location for
the disposal of dredged material for
persons who have received a permit for
such disposal. The modified site will be
subject to ongoing monitoring and
management to ensure continued
protection of the marine environment.
DATES: Written comments must be
received on or before August 12, 2016.
ADDRESSES: Submit your comments,
identified by Docket ID No. EPA–R04–
OW–2016–0356, by one of the following
methods:
• www.regulations.gov: Follow the
on-line instructions for submitting
comments and accessing the docket and
materials related to this proposed rule.
• Email: collins.garyw@epa.gov.
• Mail: Gary W. Collins, U.S.
Environmental Protection Agency,
Region 4, Water Protection Division,
Marine Regulatory and Wetlands
Enforcement Section, 61 Forsyth Street,
Atlanta, Georgia 30303.
Instructions: Direct your comments to
Docket ID No. EPA–R04–OW–2016–
0356. The EPA’s policy is that all
comments received will be included in
the public docket without change and
may be made available online at
www.regulations.gov, including any
personal information provided, unless
the comment includes information
claimed to be Confidential Business
Information (CBI) or other information
whose disclosure is restricted by statute.
Do not submit through
www.regulations.gov or email,
information that you consider to be CBI
or otherwise protected. The
www.regulations.gov Web site is an
‘‘anonymous access’’ system, which
SUMMARY:
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[Federal Register Volume 81, Number 134 (Wednesday, July 13, 2016)]
[Proposed Rules]
[Pages 45249-45262]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-15848]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 81, No. 134 / Wednesday, July 13, 2016 /
Proposed Rules
[[Page 45249]]
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Parts 1235, 1236, and 1237
[FDMS No. NARA-16-0002; NARA-2016-017]
RIN 3095-AB89
Records Management
AGENCY: National Archives and Records Administration (NARA).
ACTION: Proposed rules.
-----------------------------------------------------------------------
SUMMARY: NARA proposes to revise its records management regulations to
reflect executive actions, statutory changes, advances in technology,
and organizational changes. This is phase II of the revisions and
includes changes to provisions in transferring records to the National
Archives of the United States, managing electronic records, and
managing audiovisual, cartographic, and related records.
DATES: Submit comments on or before September 12, 2016.
ADDRESSES: You may submit comments, identified by RIN 3095-AB89, by any
of the following methods:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
Email: Regulation_comments@nara.gov. Include RIN 3095-AB89
in the subject line of the message.
Fax: 301-837-0319. Include RIN 3095-AB89 in the subject
line of the fax cover sheet.
Mail (for paper, disk, or CD-ROM submissions. Include RIN
3095-AB89 on the submission): Regulations Comment Desk (Strategy &
Performance Division (SP)); Suite 4100; National Archives and Records
Administration; 8601 Adelphi Road; College Park, MD 20740-6001
Hand delivery or courier: Deliver comments to front desk
at the address above.
Instructions: All submissions must include NARA's name and the
regulatory information number for this rulemaking (RIN 3095-AB89). We
may publish any comments we receive without changes, including any
personal information you include.
FOR FURTHER INFORMATION CONTACT: Laura McCarthy, by email at
regulation_comments@nara.gov, or by telephone at 301-837-3023. You may
also find more information about records management at NARA on NARA's
Web site at https://www.archives.gov/records-mgmt/.
SUPPLEMENTARY INFORMATION: The proposed revisions to the Federal
records management regulations contained in 36 CFR Chapter XII,
Subchapter B, affect Federal agencies' records management programs in
the areas of permanent records and their transfer to the National
Archives of the United States, electronic records management, and
management of audiovisual, cartographic, and related records.
We are proposing changes to Federal records management regulations
to incorporate recent executive actions, statutory changes, advances in
technology, and NARA organizational changes.
The Presidential Memorandum--Managing Government Records (November
28, 2011) and subsequent implementing guidance (Office of Management
and Budget Memorandum M-12-18, Managing Government Records Directive
(August 24, 2012)) require NARA to modernize Federal records management
practices, particularly with respect to electronic records. In 2014,
the Presidential and Federal Records Act Amendments of 2014 (``FRA
Amendments,'' Pub. L. 113-187) modernized the definition of a Federal
record, addressed electronic messaging, and required agencies to
transfer electronic permanent records to NARA in an electronic format
to the greatest extent possible. We propose revisions in this
rulemaking to address the changes regarding the transfer of electronic
records and electronic messaging: additional changes to the regulations
to address policy and statutory changes will be addressed in future
revisions.
We are also making administrative changes, such as updating office
names and organizational codes, updating URLs, and adding new links to
NARA's records management Web pages. We are removing repetitive
definitions sections from each part to a centralized definitions part
(to come in part 1220) applying to all parts (streamlining under the
Paperwork Reduction Act) and removing repetitive authorities sections
from each part because authorities are noted under the table of
contents (streamlining under the Paperwork Reduction Act). We are
making other minor editorial changes for consistency among parts, and
revising some language to comply with Plain Language requirements.
Discussion of Proposed Rule Provisions
Proposed Part 1235, Transfer of Records to the National Archives of the
United States
This part establishes requirements for the transfer of permanent
Federal records to the National Archives of the United States.
Throughout part 1235, we have revised those sections referencing the
paper transfer document, Standard Form 258 (SF-258), Agreement to
Transfer Records to the National Archives of the United States, to add
the electronic ERA Transfer Request, and other similar procedural
items. ERA is the NARA system that Federal agencies use to request the
transfer of permanent records to NARA.
Part 1235 is divided into three subparts. Subpart A, General
Transfer Requirements, contains Sec. Sec. 1235.1 through 1235.20 and
prescribes the requirements that agencies must follow when they
transfer permanent records to NARA. These sections remain largely
unchanged from the current regulations with the exception of Sec.
1235.20. We are proposing changes to Sec. 1235.20 that would require
agencies to review their historical records and remove any restrictions
that no longer apply at time of transfer; provide additional
information on any access and use restrictions that must remain; and
identify classified records.
Our proposed revisions to Subpart B, Administration of Transferred
Records, specifically Sec. 1235.32, also provide for the removal of
restrictions on transferred records when NARA believes it to be in the
public interest.
Subpart C, Transfer Specifications and Standards, contains the
specifications and requirements for agencies when transferring
audiovisual, cartographic, and architectural records to NARA. We are
proposing moving the transfer specifications and standards for
[[Page 45250]]
permanent analog and digital audiovisual, cartographic, and related
records to Part 1237, Audiovisual, Cartographic, and Related Records.
Additionally, we are proposing to update our online transfer
guidance to address electronic records and their formats and adding
references to that guidance in the regulations so users can quickly
access the latest updates. We are proposing adding two new sections,
Sec. Sec. 1235.52 and 1235.54, that contain the transfer
specifications, standards, and procedures for transferring textual
records into the National Archives of the United States.
Proposed Part 1236, Electronic Records Management
This part reflects an update in response to major developments in
the area of electronic recordkeeping and electronic messaging and we
have proposed several revisions to this part. These changes include
provisions to reflect the 2014 FRA Amendments, a new section with
Federal electronic messaging requirements, standards for internet
message formats, new definitions for electronic messages and messaging
accounts, and a requirement to associate proper names with email
accounts.
Part 1236 is divided into three subparts. Subpart A, General,
contains a new standard that we are proposing to incorporate by
reference, RFC 5322, Internet Message Format (see: https://www.rfc-base.org/txt/rfc-532), that provides requirements for internet
electronic message format; a detailed discussion of RFC 5322 is found
below under the ``Standards'' heading. The 2014 FRA Amendments
contained two new definitions that we propose adding to our definitions
section: ``electronic messages'' and ``electronic messaging account.''
Subpart B, Records Management and Preservation Consideration for
Designing and Implementing Electronic Information Systems, remains
largely unchanged.
Subpart C, Additional Requirements for Electronic Records,
specifies recordkeeping requirements for electronic records and
includes a proposed new section on additional recordkeeping
requirements for electronic messaging records. In Sec. 1236.21, we
propose adding the following provisions regarding electronic messaging
records:
Use of a non-official electronic messaging account is
permitted only when agency-administered systems are unavailable; and
Any electronic messaging record created, sent, or received
in an unofficial account must be copied or forwarded to an agency-
administered system within 20 days.
We are also adding language to Sec. 1236.22 to specify that the
proper name of the sender must either be captured with the email or the
agency must maintain a record of the association between the email
address and the employee, including any nicknames or aliases.
Proposed Part 1237, Audiovisual, Cartographic, and Related Records
Management
This proposed part expands and updates the audiovisual records
management provisions in the existing part 1237 by removing the
transfer specifications and requirements for permanent audiovisual,
cartographic, and related records from part 1235 and merging these into
Sec. 1237.12, which prescribes the records elements agencies must
create, preserve, and transfer with both analog and digital
audiovisual, cartographic, and related records.
Standards
NARA's current records management regulations incorporate by
reference certain consensus standards developed by various
organizations. The regulations in this proposed rule retain some
previously approved standards incorporated by reference. In addition,
this regulatory action proposes incorporating by reference the
following standards (either updating current ones or adding new ones):
In 36 CFR 1235:
ISO 9660:1988(E), Information Processing--Volume and File Structure of
CD-ROM for Information Exchange, First edition, as Corrected, 1988-09-
01--Incorporated in Sec. 1235.46
This is the same standard as is currently incorporated by
reference. However, the ISO standard is now available from ANSI, as
part of the DIN ISO 9660 (December 1990) version, so the description
and availability information in Sec. 1235.4 has been updated
accordingly.
In 36 CFR 1236:
Request for Comment (RFC) 5322, Internet Message Format, 2008--
Incorporated in Sec. 1236.22
This standard provides requirements for internet electronic message
format, including requirements for a message header, message header
fields and syntax, and message body. NARA is incorporating this
specification by reference in part 1236 to provide Federal agencies
with clear minimum requirements for email messages. RFC 5322 is
available to the public at https://tools.ietf.org/html/rfc5322.
In 36 CFR 1237:
The following six standards are available through the American
National Standards Institute (ANSI) at: American National Standards
Institute; 25 West 43rd St., 4th Floor; New York, NY 10036, or online
at https://webstore.ansi.org, and from Techstreet, a standards reseller,
at Techstreet; 3916 Ranchero Drive; Ann Arbor, MI 48108, by phone at
(800) 699-9277, or online at https://www.Techstreet.com.
ISO 2859-1: 1999 (``ISO 2859-1''), Sampling Procedures for Inspection
by Attributes--Part I: Sampling Schemes Indexed by Acceptable Quality
Level (AQL) for Lot-by-Lot Inspection, Second Edition, November 15,
1999 (supplemented by Amendment 1, 2011)--Incorporated in Sec.
1237.28(d)
This standard sets forth statistical methodologies and procedures
for sampling plans devised for quality-control purposes, and keyed to
calculations of ``Acceptable Quality Limit'' (AQL, the limit between
acceptability and refusal with respect to defective products). The
sampling plans are applicable to a variety of production and management
processes, including systematic digitization projects involving
substantial audiovisual holdings. Covered in the document are such key
principles, steps, and calculations as: Expressions of non-conformity
vis-[agrave]-vis product quality objectives; the AQL formulation;
submission of products for sampling; acceptance and non-acceptance;
drawing of samples; normal, tightened, and reduced inspection
approaches; switching of sampling rules and procedures; sampling plan
types; and determination of acceptability. The 1999 edition,
supplemented by Amendment 1 from 2011, updates the original edition
referenced in the present CFR. Changes introduce a greater measure of
sampling flexibility and efficiency: A new procedure for switching from
normal to reduced inspection; a new reference to ``skip-lot'' sampling
as an alternative to reduced inspection; changes to double sampling
plans to provide a smaller average sample size; reduction of multiple
sampling plans from seven stages to five stages; and the addition of
optional fractional acceptance number plans, among other revisions. We
are incorporating the 1999 edition and 2011 amendment in part 1237 to
provide agency personnel with the most rigorous, up-to-date guidance on
how to monitor quality in processes profoundly
[[Page 45251]]
affecting the audiovisual records bound for NARA.
ISO 18902: 2013 (``ISO 18902''), Imaging Materials--Processed Imaging
Materials--Albums, Framing, and Storage Materials, Third Edition, July
1, 2013--Incorporated in Sec. Sec. 1237.16(b) and 1237.22(f)
This standard establishes physical and chemical requirements for
album, storage, and framing materials necessary to arrest the natural
decomposition of photographic prints, negatives, and transparencies
over time. Included are detailed requirements for paper and paperboard,
plastics, metals, writing instruments, adhesives, tapes, self-adhesive
labeling materials, stamping inks and pads, framing and glazing
materials used in the construction of storage and display devices, and
various types of printers. The 2013 edition updates the 2001 version
(referenced in the present CFR) as well as the 2007 version; among
other changes, the latest edition adds more specific reporting
protocols for annual testing and evaluation of housing materials, and
also expands the applicability of the standard to housing for digital
prints. We are incorporating the 2013 revision in part 1237 to provide
agencies with current guidance on what materials to use, and what
materials to avoid, for optimal photo housing.
ISO 18911: 2010 (``ISO 18911''), Imaging Materials--Processed Safety
Photographic Films--Storage Practices, Second Edition, September 1,
2010--Incorporated in Sec. Sec. 1237.16(b), 1237.16(d), and 1237.18(a)
This standard provides detailed recommendations on storage
conditions, enclosures, housing, environmental controls, fire
protection measures, and identification, inspection, and handling
procedures for all safety (non-nitrate) photographic films in roll,
strip, aperture-card, or sheet format, regardless of size. These
standards provide systematic guidance on temperature and relative
humidity levels needed for medium-term (minimum 10 years) and extended-
term (500 years) preservation of film in the major process categories:
Black-and-white and color, acetate-base and polyester-base. The 2010
edition updates the 2000 version presently referenced in the CFR, and
includes a fuller discussion (with greater sensitivity to digital
scanning possibilities) concerning the establishment and maintenance of
record version/reference version approaches designed to minimize the
wear and tear on original (record version) film. We are incorporating
the 2010 edition in part 1237 to provide agencies with the most current
guidance on what constitutes a ``proper'' approach to physical
maintenance of historically valuable film-based photographic records.
The latest authority also supports NARA's emphasis on timely transfer
of at-risk photographic film from sub-standard storage conditions to
standards-compliant NARA facilities.
ISO 18920: 2011 (``ISO 18920''), Imaging Materials--Reflection Prints--
Storage Practices, Second Edition, October 1, 2011--Incorporated in
Sec. 1237.18(a)
This standard provides detailed recommendations on storage
facilities, storage enclosures and housing, environmental conditions,
fire protection measures, and identification, handling, and inspection
procedures for prints of all types and sizes. This standard includes
prints on fiber-based or resin-coated paper and prints on plastic
supports; black-and-white silver gelatin prints and multicolor and
monochrome color prints; and products of thermal dye transfer printing
and inkjet printing. This standard includes guidance on temperature and
relative humidity levels appropriate for medium-term preservation
(minimum 10 years) and extended-term preservation (no fixed-year
definition, but one reference to hundreds of years). The 2011 edition
updates the 2000 version presently referenced in the CFR, and provides
more specificity on digital print types. We are incorporating the 2011
revision in part 1237 to provide agencies with current guidance on
``best practices'' for physical maintenance of historically valuable
photographic prints. The latest authority also supports NARA's emphasis
on timely transfer of at-risk photographic film from sub-standard
storage conditions to standards-compliant NARA facilities.
ISO 18925: 2013 (``ISO 18925''), Imaging Materials--Optical Disc
Media--Storage Practices, Third Edition, February 1, 2013--Incorporated
in Sec. 1237.18(c)
This standard provides detailed recommendations for storage
conditions, storage facilities, enclosures, and inspection procedures
sufficient to prevent long-term deterioration of CDs, DVDs, and variant
disc forms made for audio, video, photographic, and other electronic
data applications. Included is guidance on environmental storage
conditions, with an emphasis on temperature and humidity limits,
dangers posed by contaminants and gaseous impurities, and the impact of
magnetic fields. Also covered are storage materials, enclosures,
labeling, acclimatization, storage rooms and housing, fire protection
measures, and identification, inspection, and cleaning procedures. The
2013 edition updates the 2002 version (referenced in the present CFR)
and also the 2008 version. We are incorporating the 2013 revision in
part 1237 to provide agency personnel with current guidance on the
appropriate strategies for maximizing the useful life of optical discs.
NFPA 40-2011 (``NFPA 40-2011''), Standard for the Storage and Handling
of Cellulose Nitrate Film, 2011--Incorporated in Sec. 1237.30(a)
This standard provides detailed requirements relating to the many
aspects of nitrate film storage and handling, including construction
and arrangement of nitrate-storing buildings, environmental controls,
fire protection measures, cabinets and vaults for extended term
storage, containers for film transport and eventual disposal, and
enclosed areas for nitrate film viewing. The 2011 edition updates the
2007 version referenced in the present CFR; among other changes, the
new edition incorporates updated specifications for film vault fire
protection and also adds an explanatory section on converting
calculations based on roll film quantities to sheet film equivalencies.
We are incorporating the 2011 revision in part 1237 to provide agency
personnel with current guidance on safe storage and handling of nitrate
film.
Regulatory Analysis
Review Under Executive Orders 12866 and 13563
Executive Order 12866, Regulatory Planning and Review, 58 FR 51735
(September 30, 1993), and Executive Order 13563, Improving Regulation
and Regulation Review, 76 FR 23821 (January 18, 2011), direct agencies
to assess all costs and benefits of available regulatory alternatives
and, if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects, distributive impacts, and equity).
This proposed rule is not ``significant'' under section 3(f) of
Executive Order 12866 because it applies only to Federal agencies, and
is updating the regulations, not establishing new programs. Although
the proposed revisions change and add new requirements for agencies,
the requirements are necessary to keep the existing regulations up-to-
date and to ensure agencies are preserving records
[[Page 45252]]
for the United States as well as possible. The Office of Management and
Budget (OMB) has reviewed this regulation.
Review Under the Regulatory Flexibility Act (5 U.S.C. 601, et seq.)
This review requires an agency to prepare an initial regulatory
flexibility analysis and publish it when the agency publishes the
proposed rule. This requirement does not apply if the agency certifies
that the rule will not, if promulgated, have a significant economic
impact on a substantial number of small entities (5 U.S.C. 603). NARA
certifies, after review and analysis, that this proposed rule will not
have a significant adverse economic impact on small entities.
Review Under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et
seq.)
This proposed rule does not contain any information collection
requirements subject to the Paperwork Reduction Act.
Review Under Executive Order 13132, Federalism, 64 FR 43255 (August 4,
1999)
Review Under Executive Order 13132 requires that agencies review
regulations for Federalism effects on the institutional interest of
states and local governments, and, if the effects are sufficiently
substantial, prepare a Federal assessment to assist senior policy
makers. This proposed rule will not have any direct effects on State
and local governments within the meaning of the Executive Order.
Therefore, no Federalism assessment is required.
List of Subjects in 36 CFR Parts 1235, 1236 and 1237
Archives, Incorporation by reference, Records, Records management.
For the reasons stated in the preamble, NARA proposes to amend 36
CFR parts 1235, 1236, and 1237 as follows:
0
1. Revise part 1235 to read as follows:
PART 1235--TRANSFERRING PERMANENT RECORDS TO THE NATIONAL ARCHIVES
OF THE UNITED STATES
Sec.
Subpart A--General Transfer Requirements
1235.3 What standards apply to this part?
1235.4 What publication(s) are incorporated by reference into this
part?
1235.10 What records do agencies transfer to the National Archives
of the United States?
1235.12 When must agencies transfer records to the National Archives
of the United States?
1235.14 May agencies retain records longer than the retention period
established by the records schedule?
1235.16 How does NARA respond to an agency's request to retain
records?
1235.18 How do agencies transfer records to the National Archives of
the United States?
1235.20 How do agencies indicate that records contain information
that may be restricted from public access?
1235.22 When does legal custody of records transfer to the National
Archives of the United States?
Subpart B--Administration of Transferred Records
1235.30 Does NARA restrict access to transferred records?
1235.32 How does NARA handle access restrictions on transferred
records?
1235.34 May NARA destroy transferred records?
Subpart C--Transfer Specifications and Standards
1235.40 What records are covered by additional transfer
requirements?
1235.42 What transfer specifications and standards apply to
audiovisual, cartographic, and related records?
1235.44 What general transfer requirements apply to electronic
records?
1235.46 What media or method may agencies use to transfer electronic
records to the National Archives of the United States?
1235.50 What transfer specifications and standards apply to
electronic records?
1235.52 What transfer specifications and standards apply to textual
records?
1235.54 How do agencies transfer permanent textual records to the
National Archives of the United States?
1235.56 How do agencies transfer permanent electronic records to the
National Archives of the United States using the Electronic Records
Archives (ERA)?
Authority: 44 U.S.C. 2107 and 2108.
Subpart A--General Transfer Requirements
Sec. 1235.3 What standards apply to this part?
In addition to this part, you can find guidance and additional
information about transferring permanent records to the National
Archives of the United States on NARA's accessioning Web page at https://www.archives.gov/records-mgmt/accessioning/.
Sec. 1235.4 What publications are incorporated by reference into this
part?
(a) NARA incorporates certain material by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, NARA must publish a document in the Federal
Register and must make the material available to the public. You may
inspect all approved material incorporated by reference at NARA's
textual research room, located at National Archives and Records
Administration; 8601 Adelphi Road, Room 2000; College Park, MD 20740-
6001. To arrange to inspect this approved material at NARA, contact
NARA's Regulation Comments Desk (Strategy & Performance Division (SP))
by email at regulation_comments@nara.gov or by telephone at 301-837-
3023. All approved material is available from the sources listed below.
You may also inspect approved material at the Office of the Federal
Register (OFR). For information on the availability of this material at
the OFR, call 202-741-6030 or go to https://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(b) American National Standards Institute (ANSI). The following
standards are available from the American National Standards Institute,
25 West 43rd St., 4th Floor, New York, NY 10036, phone number (212)
642-4900, or online at https://webstore.ansi.org.
(1) ISO 9660-1990 (``ISO 9660''), Information processing--Volume
and File Structure of CD-ROM for Information Exchange, First edition,
as corrected, 1988-09-01. IBR approved for Sec. 1235.46(b).
(2) [Reserved]
Sec. 1235.10 What records do agencies transfer to the National
Archives of the United States?
Agencies must transfer to the National Archives of the United
States those records that the Archivist of the United States has deemed
to have sufficient historical value to warrant permanent preservation
by the United States Government. This includes records that agencies
have scheduled as permanent on a NARA-approved records schedule,
records that a General Records Schedule (GRS) designates as permanent,
and, when appropriate, records that are accretions to holdings (i.e.,
continuations of series already transferred).
Sec. 1235.12 When must agencies transfer records to the National
Archives of the United States?
Agencies must transfer permanent records to the National Archives
of the United States when:
(a) The records are eligible for transfer based on the transfer
date in a NARA-approved records schedule; or
(b) NARA has deemed the records to have sufficient historical value
to warrant permanent preservation by the
[[Page 45253]]
United States Government and the records have existed for more than 30
years (see also Sec. 1235.14).
Sec. 1235.14 May agencies retain records longer than the retention
period established by the records schedule?
(a) Agencies may retain certain records longer than specified on a
records schedule only with written approval from NARA. NARA will review
requests as exceptions to an approved disposition authority (see part
1225 of this subchapter for more information about changing retention
periods in an approved disposition authority).
(b) If an agency determines that it needs to keep certain records
longer than scheduled to conduct regular business, the agency's Records
Officer must submit a written request certifying continuing need to
NARA by mail to National Archives and Records Administration; Office of
the Chief Records Officer (AC); 8601 Adelphi Road; College Park, MD
20740-6001, or by email to permanentrecords@nara.gov. This
certification must:
(1) Include a comprehensive description and location of the
records;
(2) Cite the NARA-approved disposition authority;
(3) Describe the current business for which the agency needs the
records;
(4) Estimate the length of time the agency needs the records (if
the agency provides no date, any certification request NARA may approve
is effective for a maximum of five years);
(5) Explain why agency needs cannot be met by NARA reference
services or copies of records deposited in the National Archives of the
United States; and
(6) If the agency retains the records to enable routine public
access through the agency rather than through NARA, cite the statutory
authority authorizing this agency activity.
Sec. 1235.16 How does NARA respond to an agency's request to retain
records?
(a) NARA responds in writing to requests within 30 days of
receiving them, whether approving or denying the request.
(b) NARA may deny requests to retain records in certain cases,
including when the agency requests to retain the records primarily to:
(1) Provide access services to individuals outside the agency that
can be provided by NARA; or
(2) Function as an agency archives, unless specifically authorized
by statute or by NARA.
Sec. 1235.18 How do agencies transfer records to the National
Archives of the United States?
Agencies transfer records by completing and submitting a Transfer
Request (TR) in the Electronic Records Archives (ERA) or a signed
Standard Form (SF) 258, Agreement to Transfer Records to the National
Archives of the United States (if special circumstances merit use; see
https://www.archives.gov/records-mgmt/era/faqs.html for more details).
Each TR or SF 258 must correlate to a specific records series or other
aggregation of records, as identified in an item on a records schedule
or under circumstances noted in Sec. 1235.10. The National Archives
makes the final determination to accept transfers of permanent records.
Sec. 1235.20 How do agencies indicate that records contain
information that may be restricted from public access?
Agencies should consider the historical nature of the records when
indicating what restrictions may apply at the time of transfer to the
National Archives of the United States. Agencies must conduct a review
of restrictions on records and remove any restrictions that are not
applicable at the time of transfer. In addition, agencies should
consult NARA's accessioning Web page at: https://www.archives.gov/records-mgmt/accessioning/, and NARA's Transfer Guidance at: https://www.archives.gov/records-mgmt/policy/transfer-guidance.html for
information about documentation that agencies must transfer with
electronic records.
(a) Agencies must indicate all restrictions on access and use of
the records when completing Transfer Request (TR) in the Electronic
Records Archives (ERA) or a signed Standard Form (SF) 258, Agreement to
Transfer Records to the National Archives of the United States (see
https://www.archives.gov/records-mgmt/era/agency-user-manual.pdf for
NARA's ERA Agency User Manual, or the accessioning Web page at: https://www.archives.gov/records-mgmt/accessioning/, for further instructions).
(1) The TR or SF 258 must cite any Freedom of Information Act
(FOIA) exemptions (5 U.S.C. 552(b)) that authorize the restrictions.
When an agency cites Exemption 3, they must also cite the underlying
statutory restriction.
(2) NARA may require additional information on access and use
restrictions.
(3) If the Archivist of the United States agrees to the
restrictions, NARA will place such restrictions on the records, until
such time as NARA deems it in the public interest to remove the
restrictions.
(b) Agencies must include the Classified Records Transfer Check
List, National Archives and Records Administration Form (NA Form) 14130
(https://www.archives.gov/declassification/ndc/forms/na-14130.pdf) as an
attachment to the ERA TR or the SF 258 when classified and declassified
records are ready for transfer to the National Archives.
(c) Agencies must use Standard Form (SF) 715, Government
Declassification Review Tab, to tab and identify specific documents
that contain classified information that:
(1) Is exempt or excluded from automatic declassification; or
(2) Requires referral to another agency. See 32 CFR part 2001
Classified National Security Information, and ISOO Notice 2009-02, at:
https://www.archives.gov/isoo/notices/notice-2009-02-sf715.pdf, for
further guidance.
Sec. 1235.22 When does legal custody of records transfer to the
National Archives of the United States?
Legal custody of records passes from the agency to the National
Archives of the United States when the appropriate NARA official signs
the Electronic Records Archives (ERA) Legal Transfer Instrument (LTI)
or Standard Form (SF) 258, Agreement to Transfer Records to the
National Archives of the United States (if special circumstances merit
use).
Subpart B--Administration of Transferred Records
Sec. 1235.30 Does NARA restrict access to transferred records?
Consistent with NARA's General Restrictions (subpart D of part 1256
of this chapter) and with FOIA (5 U.S.C. 552(b)):
(a) NARA enforces restrictions on access to records in the National
Archives of the United States. This applies to access by both Federal
agencies and the public; and
(b) NARA regulations in subchapter C of this chapter apply to
Federal agency personnel accessing transferred records for official
Government purposes, and to the public at large.
Sec. 1235.32 How does NARA handle access restrictions on transferred
records?
(a) Records less than 30 years old. NARA will apply the Freedom of
Information Act (FOIA) exemptions cited on the Electronic Records
Archives (ERA) Transfer Request or Standard Form (SF) 258, Agreement to
Transfer Records to the National Archives of the United States, where
[[Page 45254]]
appropriate, and conduct a FOIA review, where NARA deems it necessary,
before releasing records to the public. NARA may relax, remove, or
impose restrictions to serve the public interest.
(b) Records more than 30 years old. After records are more than 30
years old, NARA may lift restrictions, as appropriate, but may keep the
restrictions in force for a longer period.
Sec. 1235.34 May NARA destroy transferred records?
NARA will only destroy records transferred to the National Archives
of the United States' legal custody:
(a) With the written concurrence of the agency or its successor; or
(b) As authorized on an Electronic Records Archives (ERA) Legal
Transfer Instrument (LTI) or Standard Form (SF) 258, Agreement to
Transfer Records to the National Archives of the United States.
Subpart C--Transfer Specifications and Standards
Sec. 1235.40 What records are covered by additional transfer
requirements?
In addition to complying with subparts A and B of this part,
agencies must follow the specifications and requirements in this
subpart when transferring audiovisual, cartographic, architectural, and
electronic records to the National Archives of the United States. In
general, agencies must transfer such records to the National Archives
of the United States as soon as they become inactive or whenever the
agency cannot provide proper care and handling for the records,
including adequate storage conditions (see parts 1236 and 1237 of this
subchapter for storage information). For specific guidance about
transferring permanent electronic records, see https://www.archives.gov/records-mgmt/accessioning/electronic.html.
Sec. 1235.42 What transfer specifications and standards apply to
audiovisual, cartographic, and related records?
See Sec. 1237.12 of this subchapter for specifications and
standards for transfer of audiovisual, cartographic, and related
records.
Sec. 1235.44 What general transfer requirements apply to electronic
records?
(a) Each agency must retain a copy of permanent electronic records
that it transfers to the National Archives of the United States until
it receives official notification that NARA has assumed legal custody
of the records.
(b) For guidance related to the transfer of electronic records
other than those covered in this subpart, the agency must consult with
NARA by mail at National Archives and Records Administration;
Electronic Records Division (RDE); 8601 Adelphi Road; College Park, MD
20740-6001, or by email etransfers@nara.gov">atetransfers@nara.gov.
(c) When transferring digital photographs and their accompanying
metadata, the agency must consult with NARA by mail at National
Archives and Records Administration; Special Media Records Division
(RDS); 8601 Adelphi Road; College Park, MD 20740-6001, or by email at
stillpix.accessions@nara.gov.
(d) Agencies should consult NARA's transfer guidance at https://www.archives.gov/records-mgmt/policy/transfer-guidance.html.
Sec. 1235.46 What media or method may agencies use to transfer
electronic records to the National Archives of the United States?
(a) General. Agencies must use only sound and defect-free media for
transfers to the National Archives of the United States. When permanent
electronic records may be disseminated through multiple electronic
media (e.g., magnetic tape, CD-ROM) or mechanisms (e.g., File Transfer
Protocol (FTP)), the agency and NARA must agree on the most appropriate
medium or method for transfer of the records to the National Archives
of the United States.
(b) Optical media (e.g., CD-ROM and DVD)). Agencies may use CD-ROMs
and DVDs to transfer permanent electronic records to the National
Archives of the United States.
(1) CD-ROMs used for this purpose must conform to ISO 9660
(incorporated by reference; see Sec. 1235.4).
(2) Permanent electronic records must be stored in discrete files.
Transferred CD-ROMs and DVDs 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 or DVD contains temporary records and where those
records are located on the CD-ROM or DVD. The agency must also specify
whether NARA should return the CD-ROM or DVD to the agency or dispose
of it after copying the permanent records to an archival medium.
(c) Remote or Internet-based File Transfers. Agencies may use
remote or network transfer methods (e.g., File Transfer Protocol (FTP))
to transfer permanent electronic records to the National Archives of
the United States only with NARA's approval. Several important factors
may limit the use of remote transfers, including the number of records,
record file size, and available bandwidth. Agencies must contact NARA
to initiate the transfer discussions. Contact NARA by mail at National
Archives and Records Administration; Special Media Records Division
(RDS); 8601 Adelphi Road; College Park, MD 20740-6001, or by email at
stillpix.accessions@nara.gov (for digital photographs) or
mopix.accessions@nara.gov (for electronic audiovisual records). For all
other electronic records formats, contact NARA by mail at National
Archives and Records Administration; Electronic Records Division (RDE);
8601 Adelphi Road; College Park, MD 20740-6001, or by email
etransfers@nara.gov">atetransfers@nara.gov. Agencies must submit an approved Transfer
Request (TR) in the Electronic Records Archives (ERA) (or an Standard
Form (SF) 258, Agreement to Transfer Records to the National Archives
of the United States if special circumstances merit use) prior to each
transfer of electronic records via remote transfer.
(d) Other Media. NARA may accept records for transfer on media not
specified in paragraph (b) of this section. This includes select
magnetic tape formats and external hard drives. Contact NARA by mail at
National Archives and Records Administration; Electronic Records
Division (RDE); 8601 Adelphi Road; College Park, MD 20740-6001, or by
email etransfers@nara.gov">atetransfers@nara.gov to ask if the National Archives is able to
accept an alternate type of media.
Sec. 1235.50 What transfer specifications and standards apply to
electronic records?
(a) General. Agencies must transfer all digital or electronic
records to the National Archives of the United States in digital or
electronic form. Agencies must transfer adequate documentation,
including metadata, to identify, service, and interpret the permanent
electronic records. See NARA's Transfer Guidance at: https://www.archives.gov/records-mgmt/policy/transfer-guidance.html for
information about adequate documentation for transferring electronic
records.
(b) Data files. Documentation for data files and databases 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.
(c) Digital geospatial data files. Digital geospatial data files
must include the documentation specified in paragraph (b) of this
section. In addition, documentation for digital geospatial data files
can include metadata that
[[Page 45255]]
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). Federal geographic data
standards are available at: https://www.fgdc.gov/standards/standards_publications.
Sec. 1235.52 What transfer specifications and standards apply to
textual records?
(a) Whenever agencies transfer textual records to the National
Archives of the United States, they must provide the following:
(1) A folder title list or equivalent detailed records description,
attached to the Electronic Records Archives (ERA) Transfer Request (TR)
or Standard Form (SF) 258, Agreement to Transfer Records to the
National Archives of the United States at time of submission to NARA;
and
(2) Any indexes (textual or electronic) or other materials existing
at the time of transfer that are used for finding, managing, or
retrieving the records, and any other documentation needed or useful
for identifying or using the records.
(b) Agencies must pack records in NARA-recognized/approved document
storage containers (for further guidance, see https://www.archives.gov/records-mgmt/accessioning/).
Sec. 1235.54 How do agencies transfer permanent textual records to
the National Archives of the United States?
(a) Agencies may transfer custody to the National Archives of the
United States of permanent textual records that reach eligibility for
disposition by submitting an Electronic Records Archive (ERA) Transfer
Request (TR). NARA may choose to accept an Standard Form (SF) 258,
Agreement to Transfer Records to the National Archives of the United
States if special circumstances merit use. On all offers of permanent
records, NARA determines whether requested restrictions are acceptable.
(b) If the agency stores permanent textual records at a Federal
Records Center (FRC), the FRC Inter-Agency Agreement also governs the
transfer of those permanent records.
Sec. 1235.56 How do agencies transfer permanent electronic records to
the National Archives of the United States using the Electronic Records
Archives (ERA)?
Once NARA approves a Transfer Request (TR) in ERA, agencies may
ingest electronic records against that ERA TR. However, NARA encourages
agencies to continue to provide electronic records to the National
Archives of the United States in accordance with format guidance at
https://www.archives.gov/records-mgmt/policy/transfer-guidance.html.
NARA can then review, process, and ingest the electronic records
against the approved ERA TR on the agency's behalf. Agencies should
ingest electronic records against an approved ERA TR only after
consultation at etransfer@nara.gov.
PART 1236--ELECTRONIC RECORDS MANAGEMENT
Subpart A--[Amended]
0
2. Revise the authority citation for part 1236 to read as follows:
Authority: 44 U.S.C. 2904, 2911, 3101, 3102, and 3105.
0
3. Remove and reserve Sec. 1236.1.
Sec. 1236.1 [Reserved]
0
4. Revise Sec. 1236.2 to read as follows:
Sec. 1236.2 What definitions apply to this part?
In addition to the definitions in part 1220 that apply to all of
subchapter B, including this part, the following definitions apply only
to part 1236:
Electronic information system means an information system that
contains and provides access to electronic Federal records and other
information.
Electronic messages means email and other electronic messages that
are used for purposes of communicating between individuals.
Electronic messaging account means any account that sends or
receives electronic messages.
Email system means a system used to create, receive, and transmit
electronic messages and other digital or electronic documents. This
definition does not include file transfer utilities (software that
transmits files between users but does not retain any transmission
data), data systems that collect and process data which has been
organized into data files or databases on computers, and word
processing or other digital or electronic documents not transmitted by
email.
Unstructured electronic records means records created using office
automation applications, such as word processing applications or
presentation software.
0
20. Revise Sec. 1236.4 to read as follows:
Sec. 1236.4 What publications are incorporated by reference in this
part?
(a) NARA incorporates certain material by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, NARA must publish a document in the Federal
Register and the material must be available to the public. You may
inspect all approved material incorporated by reference at NARA's
textual research room, located at National Archives and Records
Administration; 8601 Adelphi Road, Room 2000; College Park, MD 20740-
6001. To arrange to inspect this approved material at NARA, contact
NARA's Regulations Comment Desk (Strategy & Performance Division (SP))
by email at regulation_comments@nara.gov or by telephone at 301-837-
3023. All approved material is available from the sources listed below.
You may also inspect approved material at the Office of the Federal
Register (OFR). For information on the availability of this material at
the OFR, call 202-741-6030 or go to https://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(b) Internet Engineering Task Force (IETF). The following standards
are available from the Internet Engineering Task Force; c/o Association
Management Solutions, LLC (AMS); 48377 Freemont Blvd., Suite 117;
Freemont, CA 94538, (510) 492-4080.
(1) Request for Comments (RFC) 5322, Internet Message Format,
October 2008. IBR approved for Sec. 1236.22(b).
(2) [Reserved]
Sec. 1236.6 [Removed]
0
5. Remove Sec. 1236.6.
0
6. Revise subpart B, Records Management and Preservation Considerations
for Designing and Implementing Electronic Information Systems to read
as follows:
Subpart B--Records Management and Preservation Considerations for
Designing and Implementing Electronic Information Systems
Sec.
1236.10 What records management controls must agencies establish for
records in electronic information systems?
1236.12 What records management and preservation considerations must
agencies incorporate into the design and operation of electronic
information systems?
1236.14 What must agencies do to protect records against
technological obsolescence?
Sec. 1236.10 What records management controls must agencies establish
for records in electronic information systems?
Agencies must incorporate records management controls into the
electronic information system or integrate them into a recordkeeping
system that is external to the information system itself
[[Page 45256]]
(see Sec. 1236.20 of this part). The following types of records
management controls ensure that Federal records in the electronic
system provide adequate and proper documentation of agency business
until the approved retention time is past:
(a) Reliability: Controls to ensure that the system keeps a full
and accurate representation of all transactions, activities, or facts
that occur in the system and that the agency can depend on the
represented information in the course of subsequent transactions or
activities;
(b) Authenticity: Controls to protect against unauthorized
addition, deletion, alteration, use, and concealment of transactions,
activities, information, or records;
(c) Integrity: Controls, such as audit trails, to ensure records
are complete and unaltered;
(d) Usability: Mechanisms to ensure the agency can locate,
retrieve, present, and interpret records;
(e) Content: Mechanisms to preserve the information contained
within the record that the record's creator produced;
(f) Context: Mechanisms to cross-reference related records that
show the record's organizational, functional, and operational
circumstances. These will vary depending on the agency's business,
legal, and regulatory requirements; and
(g) Structure: Controls to ensure the maintenance of the physical
and logical format of the records and the relationships between the
data elements.
Sec. 1236.12 What records management and preservation considerations
must agencies incorporate into the design and operation of electronic
information systems?
As part of the capital planning and systems development life cycle
processes, agencies must:
(a) Plan and implement records management controls (see Sec.
1236.10) in the system;
(b) Be able to retrieve and use all records in the system until the
agency no longer needs them to conduct business and until the NARA-
approved retention period expires. When agencies will need to retain
records beyond the planned life of the system, they must also plan and
budget for migration of records and their associated metadata. The
migration plan must prevent loss of records due to media decay or
technological obsolescence (see Sec. 1236.14);
(c) Include contract provisions for the export of records at the
end of a contract with third parties that have physical custody of
agency records (including a cloud-based environment); and
(d) Include processes for transferring permanent records to the
National Archives of the United States in accordance with part 1235 of
this subchapter.
Sec. 1236.14 What must agencies do to protect records against
technological obsolescence?
To successfully protect records against technological obsolescence,
regardless of the storage environment and media, agencies must:
(a) Determine if the NARA-approved retention period for the records
will be longer than the life of the system. If so, agencies must
migrate the records and their associated metadata before retiring the
current system.
(b) Ensure hardware and software are able to retain the electronic
records' functionality and integrity regardless of the storage
environment. To retain functionality and integrity, agencies must:
(1) Keep the records in a usable format until their authorized
disposition date. When the agency must convert records to migrate them,
the agency must still be able to maintain and dispose of the records in
the authorized manner after conversion;
(2) Convert storage media to provide compatibility with current
hardware and software as necessary; and
(3) Maintain a link between records and their metadata when
converting or migrating. This includes capturing all relevant
associated metadata at the point of migration (for both the records and
the migration process).
Subpart C--[Amended]
0
7. Revise Sec. Sec. 1236.20 through 1236.24 to read as follows:
Sec. 1236.20 What are appropriate recordkeeping systems for
electronic records?
Recordkeeping functionality may be built into the electronic
information system, including email or other electronic messaging
systems, or records can be transferred to an electronic recordkeeping
repository. The following functionalities are necessary for electronic
recordkeeping, and may be achieved through a combination of management
policies and system controls:
(a) Store and preserve Federal records and associated metadata.
Allow the agency to retrieve and use all records in the system until
the agency no longer needs them to conduct business and until the NARA-
approved retention period expires. Include procedures to migrate
records and their associated metadata to new storage media or formats
to avoid loss due to media decay or technology obsolescence;
(b) Manage access and retrieval. Establish appropriate user rights
to access, search, and retrieve records, and prevent unauthorized
access, modification, or destruction of records. Include appropriate
audit trails to track use of the records;
(c) Execute disposition. Identify and transfer permanent records to
the National Archives of the United States based on approved records
schedules. Identify and destroy temporary records that are eligible for
disposal. Apply records holds or freezes on disposition when required;
and
(d) Backup systems. System and file backup processes and media that
do not provide the appropriate recordkeeping functionalities must not
be used as the agency electronic recordkeeping system.
Sec. 1236.21 In addition to recordkeeping system requirements, what
additional requirements apply to managing electronic messaging records?
The additional requirements listed below apply to all electronic
messaging records.
(a) Employees should use non-official electronic messaging accounts
only when agency-administered systems are unavailable, and never as a
routine business practice.
(b) Employees may not create or send a record using a non-official
electronic messaging account unless the employee:
(1) Copies their official electronic messaging account when they
originally create or transmit the record; or
(2) Forwards a complete copy of the record to their official
electronic messaging account no later than 20 days after they
originally create or transmit the record.
(c) When employees receive a record in a non-official electronic
messaging account, they must forward a complete copy of the electronic
message to their official electronic messaging account no later than 20
days after they receive the record.
(d) If employees intentionally fail to follow these requirements,
they may face adverse disciplinary actions in accordance with 5 U.S.C.
Ch. 75 (also see 44 U.S.C. 2911).
Sec. 1236.22 What are the additional requirements for managing email
records?
(a) All Federal agencies must manage permanent and temporary email
records in an electronic format with the capability to identify,
retrieve, and use the records for as long as their disposition
requires.
[[Page 45257]]
(b) Agencies must issue instructions for retaining and managing
email records that include the following electronic recordkeeping
requirements:
(1) Email messages must comply with the commonly accepted
specifications outlined in Request for Comments (RFC) 5322, Internet
Message Format (incorporated by reference, see Sec. 1236.4). The
record copy of the email message must include, at a minimum, subject,
message body, address of sender and all addressee(s), and the time and
date the message was sent and received;
(2) Associate nicknames or aliases of agency-created accounts with
the proper name of the employee responsible for the agency-generated
emails; if an agency does not capture these in the header section, it
must maintain records that allow the agency to do so;
(3) Include the information necessary to identify, service, and
interpret email records the agency transfers to the National Archives
of the United States, in accordance with the requirements in paragraphs
(b)(1) and (2) of this section and Sec. 1235.50 of this subchapter;
(4) Preserve email message attachments that are part of the email
record or linked to the email record with other related records; and
(5) If the email system identifies users by codes or nicknames or
identifies addressees only by the name of a distribution list, retain
the intelligent or full names on directories or distribution lists to
identify the sender and addressee(s) of messages that are records.
(c) Agencies may elect to manage email records on the agency-
administered email system itself, provided that:
(1) Users do not delete the messages before the NARA-approved
retention period expires; and
(2) The system's automatic deletion rules ensure it preserves the
records until the NARA-approved retention period expires.
Sec. 1236.24 In addition to recordkeeping system requirements, are
there additional requirements for managing unstructured electronic
records?
Agencies that manage unstructured electronic records must maintain
the records in a recordkeeping system that meets the requirements in
Sec. 1236.10.
0
8. Revise Sec. 1236.26(a) to read as follows:
Sec. 1236.26 What actions must agencies take to maintain electronic
information systems?
(a) Agencies must maintain inventories of electronic information
systems and review the systems periodically for conformance to
established agency procedures, standards, and policies as part of the
periodic reviews required by 44 U.S.C. 3506. The review should
determine if the agency has properly identified and described the
records, and if the records schedule descriptions and retention periods
reflect the current content and use. If not, agencies must submit a
records schedule through NARA's Electronic Records Archive (ERA)
records schedule system in accordance with part 1225 of this
subchapter.
* * * * *
0
9. Revise Sec. 1236.28(c) and (e) to read as follows:
Sec. 1236.28 What additional requirements apply to the selection and
maintenance of electronic records storage media for permanent records?
* * * * *
(c) For additional guidance on maintaining and storing CDs and
DVDS, agencies may consult the National Institute of Standards and
Technology (NIST) Special Publication 500-252, Care and Handling of CDs
and DVDs at: https://www.itl.nist.gov/iad/894.05/publications.html.
* * * * *
(e) Agencies must annually read a statistical sample of electronic
storage media that contains the record copy and backups of permanent
and unscheduled records. Agencies must read and correct as appropriate
all other electronic storage media which might have been affected by
the same cause (e.g., poor-quality tape, high usage, poor environment,
improper handling).
(1) If agencies are maintaining magnetic computer tape libraries
with 1800 or fewer tape media a 20 percent sample or a sample set of 50
media, whichever is larger, should be read.
(2) In magnetic computer tape libraries with more than 1800 media,
agencies should read a sample of 384 media.
(3) Agencies should replace magnetic computer tape media with
errors and, when possible, restore lost data.
* * * * *
0
10. Revise part 1237 to read as follows:
PART 1237--MANAGING AUDIOVISUAL, CARTOGRAPHIC, AND RELATED RECORDS
Sec.
1237.1 What records management requirements apply to audiovisual,
cartographic, and related records?
1237.3 What publications are incorporated by reference into this
part?
1237.4 What definitions apply to this part?
1237.10 How must agencies manage their audiovisual, cartographic,
and related records?
1237.12 What record elements must agencies create, preserve, and
transfer for permanent audiovisual, cartographic, and related
records?
1237.14 What are the additional scheduling requirements for
audiovisual, cartographic, and related records?
1237.16 How do agencies store audiovisual records?
1237.18 What are the environmental standards for audiovisual records
storage?
1237.20 How must agencies handle and maintain audiovisual records?
1237.22 How must agencies handle and maintain cartographic and
related records?
1237.24 How must agencies handle and maintain aerial photographic
records?
1237.26 What materials and processes must agencies use to create
audiovisual records?
1237.28 How must agencies handle and maintain digital photographs?
1237.30 How must agencies handle and manage records on
nitrocellulose-base and cellulose-acetate-base film?
Authority: 44 U.S.C. 2904 and 3101.
Sec. 1237.1 What records management requirements apply to
audiovisual, cartographic, and related records?
Agencies must manage audiovisual, cartographic, and related records
in accordance with the common records management requirements in parts
1220 through 1235 of this subchapter. In addition, this part prescribes
requirements specific to managing audiovisual, cartographic, and
related records to ensure adequate and proper documentation and
authorized, timely, and appropriate disposition.
Sec. 1237.3 What publications are incorporated by reference into this
part?
(a) NARA incorporates certain material by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, NARA must publish a document in the Federal
Register and must make the material available to the public. You may
inspect all approved material incorporated by reference at NARA's
textual research room, located at National Archives and Records
Administration; 8601 Adelphi Road, Room 2000; College Park, MD 20740-
6001. To arrange to inspect this approved material at NARA, contact
NARA's Regulation Comments Desk (Strategy & Performance Division (SP))
by email at regulation_comments@nara.gov or by telephone at 301-837-
3023. All approved material is available from the sources listed below.
You may
[[Page 45258]]
also inspect approved material at the Office of the Federal Register
(OFR). For information on the availability of this material at the OFR,
call 202-741-6030 or go to https://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(b) American National Standards Institute (ANSI). The following
standards are available from American National Standards Institute; 25
West 43rd St., 4th Floor; New York, NY 10036, or online at: https://webstore.ansi.org.
(1) ANSI/AIIM TR34: 1996 (``ANSI/AIIM TR34''), Sampling Procedures
for Inspection by Attributes of Images in Electronic Image Management
and Micrographic Systems, May 13, 1996. IBR approved for Sec.
1237.28(d).
(2) ISO 2859-1: 1999 (``ISO 2859-1''), Sampling Procedures for
Inspection by Attributes--Part 1: Sampling Schemes Indexed by
Acceptable Quality Level (AQL) for Lot-by-Lot Inspection, Second
Edition, November 15, 1999 (supplemented by Amendment 1, 2011). IBR
approved for Sec. 1237.28(d).
(3) ISO 18902: 2013 (``ISO 18902''), Imaging Materials--Processed
Imaging Materials--Albums, Framing, and Storage Materials, Third
Edition, July 1, 2013. IBR approved for Sec. Sec. 1237.16(b) and
1237.22(f).
(4) ISO 18906: 2000 (``ISO 18906''), Imaging Materials--
Photographic Films--Specifications for Safety Film, First Edition,
December 15, 2000. IBR approved for Sec. 1237.26(a).
(5) ISO 18911: 2010 (``ISO 18911''), Imaging Materials--Processed
Safety Photographic Films--Storage Practices, Second Edition, September
1, 2010. IBR approved for Sec. Sec. 1237.16(b) and (d) and 1237.18(a).
(6) ISO 18920: 2011 (``ISO 18920''), Imaging Materials--Reflection
Prints--Storage Practices, Second Edition, October 1, 2011. IBR
approved for Sec. 1237.18(a).
(7) ISO 18923: 2000 (``ISO 18923''), Imaging Materials--Polyester-
Base Magnetic Tape--Storage Practices, First Edition, June 1, 2000. IBR
approved for Sec. 1237.18(b).
(8) ISO 18925: 2013 (``ISO 18925''), Imaging Materials--Optical
Disc Media--Storage Practices, Third Edition, February 1, 2013. IBR
approved for Sec. 1237.18(c).
(c) National Fire Protection Association (NFPA). The following
standards are available from the National Fire Protection Association;
1 Battery March Park; Quincy, MA 02269, by phone at (800) 344-3555, or
online at: https://www.nfpa.org.
(1) NFPA 40-2011 (``NFPA 40-2011''), Standard for the Storage and
Handling of Cellulose Nitrate Film, 2011. IBR approved for Sec.
1237.30(a).
(2) [Reserved]
Sec. 1237.4 What definitions apply to this part?
In addition to the definitions in part 1220 that apply to all of
subchapter B including this part, the following definitions apply only
to part 1237:
Aerial photographic records means film-based images of the surface
of the earth, of other planetary bodies, or of the atmosphere that have
been taken from airborne vehicles or satellites. These records include:
(1) Vertical and oblique aerial negative film as well as copy
negatives, internegatives, rectified negatives, and annotated and other
prints from these negatives;
(2) Infrared, ultraviolet, multispectral, video, and radar imagery
that has been converted to a film base; and
(3) The relevant index system in whatever form it may exist, such
as mosaics, flight-line overlays or annotated maps, or electronic
databases capturing the latitude and longitude (or other coordinate-
based location data) of individual aerial photographic center points.
Architectural and engineering records means graphic records that
depict the proposed and actual construction of stationary structures
(e.g. buildings, bridges, and canals) or movable objects (e.g., ships,
aircraft, vehicles, weapons, machinery, and equipment). These records
are also known as design and construction drawings and include closely-
related indexes and written specifications.
Audiovisual means any pictorial or aural means of communicating
information (e.g., photographic prints, negatives, slides, digital
images, sound recordings, and moving images).
Audiovisual equipment means equipment used to record, produce,
duplicate, process, broadcast, distribute, store, or exhibit
audiovisual materials or to provide any audiovisual services.
Audiovisual production means an organized and unified presentation,
developed according to a plan or script, containing visual imagery,
sound, or both, and used to convey information. An audiovisual
production generally is a self-contained presentation.
Audiovisual records means records in pictorial or aural form,
including still photographs and motion media (i.e., moving images
whether on motion picture film or as video recordings), sound
recordings, graphic works (e.g., printed posters), mixed media, and
related finding aids and production files.
Cartographic records means graphic representations drawn to scale
of selected cultural and physical features of the surface of the earth,
of other planetary bodies, and of the atmosphere. They include maps,
charts, photomaps, orthophotomaps and images, atlases, cartograms,
globes, and relief models. Related records are those that are integral
to the map-making process, such as field survey notes, geodetic
controls, map history case files, source material, indexes, and finding
aids.
Sec. 1237.10 How must agencies manage their audiovisual,
cartographic, and related records?
Each Federal agency must manage its audiovisual, cartographic, and
related records as required in parts 1220 through 1235 for all records.
In addition, for these types of records, agencies must:
(a) Prescribe the types of audiovisual, cartographic, and related
records the agency creates and maintains;
(b) Create and maintain current inventories showing the location of
all generations of audiovisual records and all cartographic and related
records, especially those not maintained centrally by the agency; and
(c) For permanent electronic records, consult NARA's transfer
guidance at: https://www.archives.gov/records-mgmt/policy/transfer-guidance.html.
Sec. 1237.12 What record elements must agencies create, preserve, and
transfer for permanent audiovisual, cartographic, and related records?
In general, the physical types described below comprise the minimum
record elements that agencies must provide for future preservation,
duplication, and reference.
(a) Motion pictures.
(1) For agency-sponsored or produced motion picture films (e.g.,
public information films), whether for public or internal use:
(i) Original negative or color original plus separate optical sound
track;
(ii) Intermediate master positive or duplicate negative plus
optical sound track; and
(iii) Sound projection print and video recording, if one exists.
(2) For agency-acquired motion picture films: two projection prints
in good condition or one projection print and one videotape.
(3) For unedited footage, other outtakes, and trims (the discards
of film productions), which the agency must properly arrange, label,
and describe, and which show un-staged, unrehearsed events of
historical interest or historically significant phenomena:
[[Page 45259]]
(i) Original negative or color original; and
(ii) Matching print or videotape.
(4) For digital cinema records: See NARA's transfer guidance
relating to digital moving image files copied from analog film at:
https://www.archives.gov/records-mgmt/policy/transfer-guidance.html.
(b) Video recordings.
(1) For videotape: The original or earliest generation videotape
and a copy for reference. Agencies must comply with requirements in
Sec. 1237.26(c) for original videotapes, although agencies may
transfer VHS, DVD, or other digital files as reference copies.
(2) For video discs: The premaster videotapes used to manufacture
the video disc and two copies of the disc. Agencies must consult NARA
by mail at National Archives and Records Administration; Special Media
Records Division (RDS); 8601 Adelphi Road; College Park, MD 20740-6001,
or by email at mopix.accessions@nara.gov, before initiating transfers
of video discs that depend on interactive software or non-standard
equipment.
(3) For digital video records: See NARA's transfer guidance
relating to born-digital video files, or digital video files copied
from analog video at: https://www.archives.gov/records-mgmt/policy/transfer-guidance.html.
(c) Still pictures.
(1) For analog black-and-white photographs: An original negative
and a captioned print. The agency may maintain captioning information
in hard copy or electronic form, such as a database or spreadsheet, if
the agency ensures the caption-image number correlation is clear. If
the original negative is on nitrate, or unstable acetate film base, the
agency should also transfer a duplicate negative on a polyester base or
a digital copy that meets, at minimum, the photographic scanning
standards in NARA's Digital Photographic Transfer Guidance referenced
in paragraph (d) of this section. NARA prefers that whenever possible,
the digital copy meet the highest-level NARA Lab Services standards set
forth at: https://www.archives.gov/preservation/products/definitions/photo-def.html.
(2) For analog color photographs: The original color negative,
color transparency, or color slide; a captioned print of the original
color negative; a duplicate negative, slide, or transparency, if it
exists; and, where the caption does not appear directly with the image,
captioning information maintained in another file presenting a clear
caption-image number correlation.
(3) For slide sets: The original and a reference set, and the
related audio recording (in accordance with paragraph (e) of this
section) and script.
(4) For other pictorial records, such as posters, original art
work, and filmstrips: The original and a reference copy. Please note
the National Archives of the United States is not the appropriate
repository for original physical artwork (e.g., paintings and
sculptures). Agencies may, however, transfer to the National Archives
of the United States analog or digital photographic reproductions of
the artwork meeting the requirements for analog photographs, listed
above, or digital photographs, listed below.
(d) Digital photographic records. See NARA's transfer guidance for
digital photographic records at: https://www.archives.gov/records-mgmt/policy/transfer-guidance.html. See also Sec. 1237.14 (for transfer
timing) and Sec. 1237.28 (for making imagery transferable).
(e) Sound recordings.
(1) For digital recordings: The origination recording regardless of
form and a subsequent generation copy for reference.
(2) For analog disc recordings: The master tape and two disc
pressings of each recording (typically a vinyl copy for playback at
33\1/3\ revolutions per minute (rpm)).
(3) For analog audio recordings on magnetic tape (open reel,
cassette, or cartridge): The original tape, or the earliest available
generation of the recording, and a subsequent generation copy for
reference.
(f) Finding aids and production documentation. Agencies must
transfer the following records to the National Archives of the United
States with the audiovisual records to which they pertain:
(1) Existing finding aids such as data sheets, shot lists,
continuities, review sheets, catalogs, indexes, assignment logs, lists
of captions, and other documentation needed or useful to identify or
retrieve still images, graphic materials (posters), or audiovisual
(moving and sound) records. Contact NARA by mail at National Archives
and Records Administration; Special Media Records Division (RDS); 8601
Adelphi Road; College Park, MD 20740-6001, or by email at
mopixaccessions@nara.gov (for audiovisual records) and
stillpix.accessions@nara.gov (for digital still photographs) for
information on transferring finding aids that do not meet the
requirements of this part; and
(2) Production case files or similar files that include copies of
production contracts, scripts, transcripts, and appropriate
documentation bearing on the origin, acquisition, release, and
ownership of the production (including, among other examples, licensing
agreements and use permission forms).
(g) Maps and charts. This includes:
(1) Manuscript maps; printed and processed maps on which manuscript
changes, additions, or annotations have been made for record purposes
or which bear manuscript signatures to indicate official approval; and
single printed or processed maps that have been attached to or
interfiled with other documents of a record character or in any way
made an integral part of the record;
(2) Master sets of printed or processed maps issued by the agency.
A master set must include each edition of a printed or processed map
issued;
(3) Paper versions of computer-related and computer-plotted maps
that can no longer be reproduced electronically;
(4) Index maps, card indexes, lists, catalogs, or other finding
aids that may be helpful in using the transferred maps; and
(5) Records related to preparing, compiling, editing, or printing
maps, such as manuscript field notebooks of surveys, triangulation and
other geodetic computations, and project folders containing agency
specifications for creating the maps.
(h) Aerial photography and remote sensing imagery. This includes:
(1) Vertical and oblique negative aerial film;
(2) Annotated copy negatives, internegatives, rectified negatives,
and glass plate negatives from vertical and oblique aerial film;
(3) Annotated prints from aerial film;
(4) Infrared, ultraviolet, multispectral (multiband), video,
imagery radar, and related tapes, converted to a film base; and
(5) Indexes and other finding aids in the form of photo mosaics,
flight line indexes, coded grids, and coordinate grids. (Note that,
with respect to aerial imagery on nitrate or unstable acetate-based
film, the same agency copying requirements apply as those cited above
under still pictures, paragraph (c)(1) of this section).
(i) Architectural and related engineering drawings. This includes:
(1) Design drawings, preliminary and presentation drawings, and
models that document the evolution of the design of a building or
structure;
(2) Master sets of drawings that document both the initial design
and construction and subsequent alterations of a building or structure.
This category includes final working drawings, ``as-built'' drawings,
shop drawings, and repair and alteration drawings;
[[Page 45260]]
(3) Drawings of repetitive or standard details of one or more
buildings or structures;
(4) ``Measured'' drawings of existing buildings and originals or
photocopies of drawings reviewed for approval; and
(5) Related finding aids and specifications to be followed.
(j) Digital geospatial formats and Computer Aided Design (CAD). See
NARA's transfer guidance for digital geospatial formats and CAD at:
https://www.archives.gov/records-mgmt/policy/transfer-guidance.html.
Sec. 1237.14 What are the additional scheduling requirements for
audiovisual, cartographic, and related records?
For better preservation and access, schedule audiovisual records
for as short a retention period as possible to meet agency business
needs. Agencies should schedule permanent audiovisual records for
transfer to the National Archives of the United States:
(a) Within 5-10 years after creation, in the case of unrestricted
analog records or within 3-5 years after creation, in the case of
unrestricted digital records (see 36 CFR part 1235 of this subchapter);
and
(b) In the case of restricted analog or digital records, agencies
should consult with NARA regarding transfers at etransfer@nara.gov.
Sec. 1237.16 How do agencies store audiovisual records?
Agencies must maintain appropriate storage conditions for
permanent, long-term temporary, or unscheduled audiovisual records:
(a) Ensure that audiovisual records storage facilities comply with
part 1234 of this subchapter;
(b) Use audiovisual storage containers or enclosures made of non-
corroding metal, inert plastics, paper products, and other safe
materials recommended in ISO 18902 and ISO 18911 (incorporated by
reference; see Sec. 1237.3) to store permanent, long-term temporary,
or unscheduled records;
(c) Store originals and copies for use (e.g., negatives and prints)
separately whenever practicable. Store distinct audiovisual record
series separately from textual series (e.g., store poster series
separately from other kinds of agency publications, or photographic
series separately from general reference files). Retain intellectual
control through finding aids, annotations, or other descriptive
mechanisms;
(d) Store series of permanent and unscheduled x-ray films (i.e., x-
rays that are not interspersed among paper records (case files)) in
accordance with Sec. 1238.20 of this subchapter. Store series of
temporary x-ray films under conditions that ensure they are preserved
for their full scheduled retention period, in accordance with ISO 18911
(incorporated by reference; see Sec. 1237.3);
(e) Store posters and similar oversized graphic works in map cases,
hanging files, or other enclosures that are sufficiently large or
flexible to accommodate the records without rolling, folding, bending,
or other treatment that compromises image integrity and stability; and
(f) Store optical discs in individual containers and use felt-tip,
water-based markers to label the discs.
Sec. 1237.18 What are the environmental standards for audiovisual
records storage?
(a) Photographic film and prints. The requirements in this
paragraph apply to permanent, long-term temporary, and unscheduled
audiovisual records:
(1) Store polyester-base black-and-white film, and black-and-white
photographic prints, in a climate-controlled environment at a constant
temperature and humidity; as a best practice, at maximum 65 degrees
Fahrenheit and between 30 and 40 percent relative humidity; and
(2) Keep all non-polyester black-and-white film, color film on any
base, and color photographic prints in climate-controlled cold storage,
in order to retard fading of color images and deterioration of acetate-
base film. Maintain cold storage area at a constant temperature and
humidity; as a best practice, at maximum 35 to 40 degrees Fahrenheit
with 30 to 40 percent relative humidity. For more detailed, format- and
process-specific requirements, see ISO 18911 and ISO 18920
(incorporated by reference; see Sec. 1237.3). See also NARA Directive
1571, Archival Storage Standards, at: www.archives.gov/foia/directives/nara/1571.pdf.
(b) Analog, digital records on magnetic tape. For analog audio and
video recordings and digital images stored on magnetic tape, keep in an
area maintained at a constant temperature range of 62 to 68 degrees
Fahrenheit, with constant relative humidity from 35 to 45 percent. See
also the requirements for electronic records storage in Sec. 1236.28
of this subchapter.
(c) Digital images on optical media. For permanent, long-term
temporary, or unscheduled digital images maintained on optical media
(e.g., CDs, DVDs), use the storage temperature and humidity levels
stated in ISO 18925 (incorporated by reference; see Sec. 1237.3).
Sec. 1237.20 How must agencies handle and maintain audiovisual
records?
Agencies must:
(a) Protect audiovisual records, including those recorded on
digital media or magnetic sound or video media, from being accidentally
or deliberately altered or erased;
(b) If different versions of audiovisual productions (e.g., short
and long versions or foreign-language versions) are prepared, keep an
unaltered copy of each version for record purposes;
(c) Link audiovisual records with their finding aids, including
captions and published and unpublished catalogs, inventories,
assignment logs, indexes, production files, and similar documentation
created in the course of audiovisual production. Establish and
communicate agency-wide, clear-captioning standards, procedures, and
responsibilities;
(d) Maintain current documentation identifying creators of
audiovisual products, their precise relationship to the agency, and the
nature and status of copyright or other rights affecting the present
and future use of items acquired from sources outside the agency (see
Sec. 1222.32 of this subchapter for requirements to ensure agency
ownership of contractor-produced records);
(e) For each audiovisual record, create unique identifiers that
clarify connections and correlations between related elements (e.g.,
photographic prints and corresponding negatives, original analog
photographs and corresponding digital versions, original edited masters
and corresponding dubbing for video and audio recordings). Unique
identifiers must also associate records with the relevant creating,
sponsoring, or requesting offices. The caption-image numbering
correlation must be clear and facilitate precise and efficient access
(i.e., for digital files, use file naming conventions that ensure non-
repetition across directory structures);
(f) Maintain temporary and permanent audiovisual records
separately; and
(g) Require that personnel wear white, lint-free cotton gloves (or
other approved gloves, such as un-powdered nitrile) when handling film
and photographic prints.
(h) For more technical information on preservation strategies and
options, consult with NARA at National Archives and Records
Administration; Preservation Programs Division (RX) or Special Media
Records Division (RDS); 8601 Adelphi Road; College Park, MD 20740-6001.
[[Page 45261]]
Sec. 1237.22 How must agencies handle and maintain cartographic and
related records?
Agencies must:
(a) Maintain permanent and unscheduled cartographic, architectural,
and engineering records in environments appropriate for the type of
materials they are made of. Optimum environment for paper-based
materials does not exceed 65 to 70 degrees Fahrenheit, with relative
humidity under 50 percent. For film-based materials, see the targets in
Sec. 1237.24(e), below. See also NARA Directive 1571, Archival Storage
Standards, at: www.archives.gov/foia/directives/nara/1571.pdf.
(b) Create an identification scheme for each series and assign
unique identification designations to each item within a series;
(c) Maintain lists or indexes for each series with cross-references
to related textual records;
(d) Avoid interfiling separate series of maps, charts, or drawings;
(e) File permanent cartographic and architectural records
separately from temporary series, except that the agency may
systematically file hand-corrected versions with other published maps
in a central or master file;
(f) Avoid rolling and folding maps and drawings. Store permanent
maps and drawings flat in shallow-drawer map cases in acid-free folders
compliant with ISO 18902 (incorporated by reference; see Sec. 1237.3);
and
(g) Not laminate original oversized records. Consult NARA by mail
at National Archives and Records Administration; Preservation Programs
Division (RX); 8601 Adelphi Road; College Park, MD 20740-6001, for
preservation, storage, and treatment options.
Sec. 1237.24 How must agencies handle and maintain aerial
photographic records?
Agencies must:
(a) Mark each aerial film container with a unique identification
code to facilitate identification and filing;
(b) Mark aerial film indexes with the unique aerial film
identification codes or container codes for the aerial film that they
index. Also, file and mark the aerial indexes in such a way that the
agency can easily retrieve them by area covered;
(c) Store aerial film negative rolls in inert plastic containers
upright on shelves, and assign identification codes to each roll of
film;
(d) Wear white, lint-free cotton gloves (or other approved gloves,
such as unpowdered nitrile) to handle film; and
(e) Store film in a climate-controlled environment at a constant
temperature and humidity, ideally:
(1) Maximum 65 degrees Fahrenheit and between 30 and 40 percent
relative humidity for polyester-base black-and-white film; and
(2) Maximum 35 to 40 degrees Fahrenheit and between 30 and 40
percent relative humidity for acetate-base film and color film on any
base. For more detailed, format- and process-specific requirements, see
ISO 18911 (incorporated by reference; see Sec. 1237.3). See also NARA
Directive 1571, Archival Storage Standards, at: www.archives.gov/foia/directives/nara/1571.pdf.
Sec. 1237.26 What materials and processes must agencies use to create
audiovisual records?
(a) For still picture and motion picture preprints (e.g.,
negatives, masters, and all other copies) of permanent, long-term
temporary, or unscheduled records, use polyester-base media, and
process in accordance with the industry standards in ISO 18906
(incorporated by reference; see Sec. 1237.3).
(b) When reproducing excerpts or stock footage, avoid using motion
pictures in a final ``A & B'' format (i.e., two precisely matched reels
designed to be printed together).
(c) Use only industrial- or professional-grade photographic cameras
and equipment, video and audio recording equipment, new and previously
unrecorded magnetic tape stock, blank optical media (e.g., DVD and CD),
or magnetic media (hard drives) for the record copy of all permanent,
long-term temporary, or unscheduled imagery and recordings. Limit the
use of consumer formats to distribution or reference copies or to
subjects scheduled for destruction. Avoid using videocassettes in the
VHS format as originals for permanent or unscheduled records.
(d) Record permanent, long-term temporary, temporary, or
unscheduled audio recordings on optical media from major manufacturers.
Avoid using cassettes as originals for permanent records or unscheduled
records (although agencies may use them for reference copies).
(e) For born-digital or scanned digital images that are scheduled
as permanent or unscheduled, a record (or master) version of each image
must be comparable in quality to a 35mm film negative or better. The
Tagged Image File Format (TIFF) and the JPEG File Interchange Format
(JFIF, JPEG) are well-established examples of formats appropriate for
saving permanent and unscheduled digital photographs.
(f) As a general rule, create such images at a resolution reaching
or approximating at least 3000 pixels on the longest dimension.
(g) For temporary digital photographs, agencies select formats they
deem most suitable to fulfill business needs.
(h) For further information about preferred and acceptable formats
and versions, see NARA's transfer guidance at: https://www.archives.gov/records-mgmt/policy/transfer-guidance.html.
Sec. 1237.28 How must agencies handle and maintain digital
photographs?
Digital photographs, either originating in digital form (``born-
digital'') or scanned from photographic prints, slides, and negatives,
are subject to the provisions of this part and the requirements of part
1236 of this subchapter. Agencies must:
(a) Schedule digital photographs and related databases as soon as
possible for the minimum retention period the agency requires to meet
its business needs, and transfer records promptly according to the
disposition instructions on the records schedule;
(b) Select image management and related database management
software and hardware that meet long-term archival requirements,
National Archives and Records Administration's transfer standards, and
business needs. Agencies must be able to export images and related data
in formats compatible with NARA systems. For additional information and
assistance, contact NARA by mail at National Archives and Records
Administration; Special Media Records Division (RDS); 8601 Adelphi
Road; College Park, MD 20740-6001, or by email at
stillpix.accessions@nara.gov;
(c) Build redundancy into storage systems (i.e., back up image
files through on-line, off-line, or combination approaches) when
developing digital image storage strategies (see electronic storage
requirements in Sec. 1236.28 of this subchapter);
(d) Document the quality control inspection process the agency
employs when scanning digital images of photographic prints, slides,
and negatives that are scheduled as permanent or are unscheduled. As
part of the process:
(1) Visually inspect a sample of the images for defects, evaluate
finding aid accuracy, verify file header information and file name
integrity; and
(2) Conduct the sample using a volume sufficiently large to yield
statistically valid results, in accordance with one of the quality
sampling methods presented in ANSI/AIIM TR34 and ISO 2859-1
(incorporated by reference; see Sec. 1237.3);
[[Page 45262]]
(e) Periodically inspect born-digital images scheduled as
permanent, long-term temporary, or unscheduled, using sampling methods
or more comprehensive verification systems (e.g., checksum programs),
to evaluate image file stability, documentation quality, and finding
aid reliability. Agencies must also establish procedures to refresh
digital data (recopying) and to migrate files, especially for images
and databases retained for five years or longer;
(f) Designate a record set of images to maintain separately from
other versions. Do not subject record sets of permanent or unscheduled
images that have already been compressed once (e.g., compressed TIFF or
first-generation JPEG) to further changes in image size;
(g) Organize record images in logical series. Group permanent
digital images separately from temporary digital images or designate
images as permanent or temporary in a metadata field designed for that
purpose;
(h) Document information about digital photographic images as the
agency produces them. Embed descriptive elements in each permanent or
unscheduled image's file header or capture descriptive elements in a
separate database accompanying the image series. Descriptive elements
must include:
(1) A unique identification number;
(2) Information about image content (i.e., basic ``who,'' ``what,''
``where,'' ``when,'' ``why'' captioning data);
(3) Photographer's identity and organizational affiliation;
(4) Existence of any copyright or other potential restrictions on
image use; and
(5) Technical data, including file format and version, bit depth,
image size, camera make and model, compression method and level, and
custom or generic color profiles (ICC/ICM profile), among other
elements. In this regard, verify the extent of the Exchangeable Image
File Format (EXIF) information embedded automatically by digital
cameras and scanners;
(i) Provide a unique file name to identify the digital image; and
(j) Develop finding aids sufficiently detailed to ensure the agency
can efficiently and accurately retrieve images. Ensure that the agency
can use indexes, caption lists, and assignment logs to identify and
chronologically cut off blocks of images for transfer to the National
Archives of the United States.
Sec. 1237.30 How must agencies handle and manage records on
nitrocellulose-base and cellulose-acetate-base film?
(a) The nitrocellulose base, a substance akin to gun cotton, is
chemically unstable and highly flammable. Agencies must handle
nitrocellulose-base film (used in the manufacture of sheet film, 35mm
motion pictures, aerial and still photographs into the 1950s) as
specified below:
(1) Segregate nitrocellulose film materials (e.g., 35mm motion
picture film and large series of still pictures) from other records in
storage areas;
(2) Immediately notify NARA by mail at National Archives and
Records Administration; Special Media Records Division (RDS); 8601
Adelphi Road; College Park, MD 20740-6001, or by email at
stillpix.accessions@nara.gov (for still photographs) or
mopix.accessions@nara.gov (for motion picture film). If NARA appraises
nitrate film materials as disposable and the agency wishes to retain
them, the agency must follow the standard NFPA 40-2011 (incorporated by
reference; see Sec. 1237.3); and
(3) Follow the packing and shipping standards for nitrate film as
specified in Department of Transportation regulations (49 CFR 172.101,
Hazardous materials table; 172.504, Transportation; 173.24, Standard
requirements for all packages; and 173.177, Motion picture film and X-
ray film--nitrocellulose base). Carry out nitrate film disposal in
accordance with the relevant hazardous waste disposal regulations in 40
CFR, parts 260 through 282.
(b) Inspect cellulose-acetate film periodically (at least once
every five years) for acetic odor, wrinkling, or crystalline deposits
on the edge or surface of the film, which indicate deterioration.
Agencies must notify NARA about deteriorating permanent or unscheduled
audiovisual records composed of cellulose acetate immediately after
inspection, so the agency can copy the records prior to transferring
the original and duplicate film to the National Archives of the United
States. Notify NARA by mail at National Archives and Records
Administration; Special Media Records Division (RDS); 8601 Adelphi
Road; College Park, MD 20740-6001, or by email at
stillpix.accessions@nara.gov (for still photographs) or
mopix.accessions@nara.gov (for motion picture film).
Dated: June 28, 2016.
David S. Ferriero,
Archivist of the United States.
[FR Doc. 2016-15848 Filed 7-12-16; 8:45 am]
BILLING CODE 7515-01-P
