Federal Records Management: Digitizing Temporary Records, 46803-46805 [2024-11910]

Agencies

• National Archives and Records Administration

[Federal Register Volume 89, Number 105 (Thursday, May 30, 2024)]
[Rules and Regulations]
[Pages 46803-46805]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-11910]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1236

[FDMS No. NARA-24-0012; NARA-2024-037]
RIN 3095-AC18


Federal Records Management: Digitizing Temporary Records

AGENCY: National Archives and Records Administration (NARA).

ACTION: Direct final rule.

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SUMMARY: In June 2023, the National Archives and Records Administration 
(NARA) issued GRS Transmittal 34, which introduced GRS 4.5 Digitizing 
Records. NARA is updating the regulations to incorporate GRS 4.5 and 
ensure agencies use the proper authorization for disposing of temporary 
records that have been digitized. We added guidance directing agencies 
to manage temporary digital records according to the requirements. We 
also clarified language regarding when agencies may dispose of the 
scheduled source records. Additionally, we are harmonizing language in 
existing regulations with the new amendments.

DATES: This rule is effective August 28, 2024 without further action, 
unless adverse comment is received by July 1, 2024. If adverse comment 
is received, NARA will publish a timely withdrawal of the rule in the 
Federal Register.

ADDRESSES: You may submit comments on this rule, identified by RIN 
3095-AC18, by any of the following methods:
     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: [email protected]. Include RIN 3095-AC18 
in the subject line of the message.
     Mail (for paper, disk, or CD-ROM submissions): Send 
comments to Regulation Comments Desk (External Policy Program, Strategy 
& Performance Division (MP)); Suite 4100; National Archives and Records 
Administration; 8601 Adelphi Road; College Park, MD 20740-6001.
     Hand delivery or courier: Deliver comments to the front 
desk at 8601

[[Page 46804]]

Adelphi Road, College Park, MD, addressed to: Regulations Comments 
Desk, External Policy Program; Suite 4100.

FOR FURTHER INFORMATION CONTACT: Edward Germino, Strategy and 
Performance Division, by email at [email protected], or by 
telephone at 301-837-3758. Contact [email protected] with any 
questions on records management standards and policy.

SUPPLEMENTARY INFORMATION: 

Background

    In June 2023, the National Archives and Records Administration 
(NARA) released GRS Transmittal 34, which introduced a new schedule 
called GRS 4.5 Digitizing Records to specifically address the handling 
of digitized source records. Previously, these records were covered 
under GRS 5.2 Transitory and Intermediary Records. With this update, we 
have revised 36 CFR 1236.36 to provide agencies with the proper 
authority for managing digitized temporary records. We also clarified 
language in Sec.  1236.36 regarding when agencies may dispose of the 
scheduled source records.
    In subpart D, we previously used the term ``original source 
records.'' However, we removed the word ``original'' because the source 
records may or may not be the original versions. We are also making 
this change in the heading for Sec.  1236.36. The term ``source 
records'' refers to the records that underwent digitization and 
validation as part of a digitization project.
    Finally, we have added guidance to Sec.  1236.30 directing agencies 
to manage temporary digital records according to the requirements in 36 
CFR part 1236 subparts A, B, and C.

Regulatory Analysis

Executive Order 12866, Regulatory Planning and Review, and Executive 
Order 13563, Improving Regulation and Regulation Review

    The Office of Management and Budget (OMB) has reviewed this 
rulemaking and determined it is not ``significant'' under section 3(f) 
of Executive Order 12866. It is not significant because it applies only 
to Federal agencies, updates the regulations due to a statutory 
requirement, the new requirements are being added to clarify ones that 
agencies have already been required to follow, and is not establishing 
a new program. The requirements are necessary to comply with statute 
and to ensure agencies are appropriately preserving records.

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 rulemaking will not, if promulgated, have a significant 
economic impact on a substantial number of small entities (5 U.S.C. 
603). We certify, after review and analysis, that this rulemaking will 
not have a significant adverse economic impact on small entities.

Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.)

    The Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501, et seq.) 
requires that agencies consider the impact of paperwork and other 
information collection burdens imposed on the public and, under the 
provisions of PRA section 3507(d), obtain approval from OMB for each 
collection of information we conduct, sponsor, or require through 
regulations. This rulemaking does not impose additional information 
collection requirements on the public that are subject to the Paperwork 
Reduction Act.

Executive Order 13132, Federalism

    Executive Order 13132 requires agencies to ensure State and local 
officials have the opportunity for meaningful and timely input when 
developing regulatory policies that may have a substantial, direct 
effect on the States, on the relationship between the Federal 
Government and the States, or on the distribution of power and 
responsibilities among the various levels of government. If the effects 
of the rule on State and local governments are sufficiently 
substantial, the agency must prepare a Federal assessment to assist 
senior policymakers. This rulemaking will not have any effects on State 
and local governments within the meaning of the E.O. Therefore, no 
federalism assessment is required.

Unfunded Mandates Reform Act (Sec. 202, Pub. L. 104-4; 2 U.S.C. 1532)

    The Unfunded Mandates Reform Act requires that agencies determine 
whether any Federal mandate in the rulemaking may result in State, 
local, and Tribal governments, in the aggregate, or the private sector, 
expending $100 million in any one year. NARA certifies that this 
rulemaking does not contain a Federal mandate that may result in such 
an expenditure.

List of Subjects in 36 CFR Part 1236

    Archives and records, Digital records, Digitization, Records 
management.

    For the reasons discussed in the preamble, NARA amends 36 CFR part 
1236 as follows:

PART 1236--ELECTRONIC RECORDS MANAGEMENT

0
1. The authority citation for part 1236 continues to read as follows;

    Authority:  44 U.S.C. 2904, 3101, 3102, 3105, 3301, 3302, and 
3312.


0
2. Revise Sec.  1236.30 to read as follows:


Sec.  1236.30  Requirements for digitizing temporary records.

    (a) If an agency intends to digitally reproduce (digitize) 
temporary records in order to use the digitized records in place of the 
source records, the agency must:
    (1) Digitize the record to the standards in Sec.  1236.32;
    (2) Validate the digitization according to Sec.  1236.34; and
    (3) Manage the digital records according to the requirements in 
subparts A, B, and C of this part.
    (b) When an agency disposes of source records, the agency must 
follow the requirements in Sec.  1236.36.


0
3. In Sec.  1236.32, revise paragraphs (a), (b), and (c) to read as 
follows:


Sec.  1236.32  Digitization standards.

* * * * *
    (a) Capture all information contained in the source records;
    (b) Include all the pages or parts from the source records;
    (c) Ensure the agency can use the digitized records for all the 
purposes the source records serve, including the ability to attest to 
transactions and activities;
* * * * *

0
4. In Sec.  1236.34, revise paragraphs (a) and (b) to read as follows:


Sec.  1236.34  Validating digitization.

    (a) Agencies must validate that the digitized records are of 
suitable quality to replace source records.
    (b) Agencies may establish their own validation process or use 
third-party processes to validate that the digitized records comply 
with Sec.  1236.32. The process may be project-based or agency-wide 
policy.
* * * * *

0
5. Revise Sec.  1236.36 to read as follows:


Sec.  1236.36  Disposing of source records.

    (a) When an agency disposes of source records, it must have an 
approved agency records schedule or identify an applicable General 
Records Schedule.

[[Page 46805]]

    (b) When an agency has validated that the digitized versions meet 
the standards in Sec.  1236.32, the agency may destroy the source 
records according to General Records Schedule (GRS) 4.5 Digitizing 
Records.
    (c) Agencies must consider any existing legal restrictions, such as 
a litigation hold, before destroying the source records.
    (d) Agencies must manage the digitized records in the same way it 
would have managed the source records. Agencies must retain the 
digitized records for the remaining portion of any retention period 
established by the applicable records schedule.
    (e) Agencies do not need NARA approval to destroy scheduled 
temporary source records they have digitized according to this part.

Colleen J. Shogan,
Archivist of the United States.
[FR Doc. 2024-11910 Filed 5-29-24; 8:45 am]
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