Federal Register/Vol. 67, No. 250/Monday, December
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Federal Register / Vol. 67, No. 250 / Monday, December 30, 2002 / Rules and Regulations 79517 § 51.317 [Corrected] NARA received seven responses to files using FTP can be accomplished in 2. On page 69666, third column, the proposed rule, six from Federal a variety of ways. The most common paragraph (g)(3), the words ‘‘paragraphs agencies and one from a private sector methods are dial-up modems and high- (1)’’ are corrected to read ‘‘paragraphs commenter. speed or broadband Internet connections. NARA works closely with (g)(1)’’. File Transfer Protocol each individual agency in arranging its § 51.318 [Corrected] FTP is a media-less transfer method specific FTP transfers to ensure that the 3. On page 69667, second column, that can be used to transfer electronic agency has an appropriate secure means paragraph (i)(e), the words ‘‘paragraphs records. FTP operates by using special of transferring the records by FTP. (1)’’ are corrected to read ‘‘paragraphs software located at the sending and DLTtape IV (i)(1)’’. receiving sites. This software, in combination with a telecommunications DLTtape IV cartridge tape is a high- Dated: December 20, 2002. network, provides the means for density magnetic cartridge tape that can A.J. Yates, transferring electronic records. The store up to 40 gigabytes of information Administrator, Agricultural Marketing agency may send any documentation in on each cartridge. DLTtape IV tapes are Service. electronic format to NARA via FTP as used by selected tape drive units [FR Doc. 02–32805 Filed 12–27–02; 8:45 am] part of the transfer of the electronic produced by several companies. BILLING CODE 3410–02–M records or through any other acceptable DLTtape IV tape preparation will follow method of transfer as specified in 36 existing cartridge tape specifications. CFR 1228.270. One agency commented that requiring NATIONAL ARCHIVES AND RECORDS Three comments raised questions the format to be uncompressed reduces ADMINISTRATION concerning the security of FTP for some of the viability of DLT media for transferring records. One agency asked file transfer and asked NARA to 36 CFR Part 1228 whether files transferred by FTP would reconsider this requirement. NARA did be sent encrypted because there is no not adopt this comment because RIN 3095–AB03 mention of this in the proposed rule. compression can risk losing record Another agency and the non-Federal information. Expanding Transfer Options for commenter expressed similar concern One agency asked whether NARA will Electronic Records about FTP as an insecure method of provide further guidance on using these AGENCY: National Archives and Records transferring sensitive files and asked transfer methods. Yes, agencies seeking Administration (NARA). whether provisions have been made to further guidance for specific transfers of secure the transfer and receipt of files by records should contact NARA’s ACTION: Final rule. FTP. NARA is only accepting Electronic and Special Media Records SUMMARY: NARA is amending the unclassified, uncompressed, Services Division (NWME) as cited in regulations for the transfer of permanent unrestricted, and unencrypted files via §§ 1228.270(c)(1)(iii) and records to NARA by permitting two FTP. We have made provisions to secure 1228.270(c)(3)(iii). additional electronic records transfer the transfer and receipt of electronic Other Transfer Methods and Media methods, File Transfer Protocol (FTP) files transferred by FTP. and Digital Linear Tape IV (DLTtape IV). One agency asked whether there are NARA has only used media-based NARA is introducing these transfer risks to data integrity when transferring transfer methods in the past, but has methods to reduce the media and electronic records via FTP. The non- been testing other methods as well as shipping costs of electronic records Federal commenter claimed that FTP is additional media. Three agencies transferred from Government agencies, deficient for logging, or tracking and commented that NARA should continue improve record and file integrity, and recording, transfers, for authenticating to consider other methods, media, and expand the options for transfer methods. senders and receivers, and for formats for the transfer of permanent This rule will affect Government reliability. During NARA’s pilot testing electronic records. One of these agencies agencies transferring permanent of alternatives to media-based transfer mentioned that DLT tapes are evolving electronic records to the National methods, NARA has continued to to SDLT tapes that have 100/200GB Archives of the United States. evaluate various secure file transfer densities. This agency expressed applications to ensure that we have a concern that although some SDLT tape EFFECTIVE DATE: January 29, 2003. The reliable system that maintains data drives claim to be backward compatible incorporation by reference of certain with the ability to read from DLT tapes publications listed in this rule is integrity, authenticity, usability, traceability, and reliability. Any transfer of lesser densities, it is unknown approved by the Director of the Federal whether that will hold as the SDLT Register as of January 29, 2003. application NARA uses at any time will also enforce security during the transfer technology matures. One agency FOR FURTHER INFORMATION CONTACT: of permanent scheduled electronic commented that the new emerging Jennifer Davis Heaps at telephone records. standard for software and data storage is number 301–837–1801, or fax number One agency asked how data DVD and asked NARA to consider 301–837–0319. transferred by FTP will be verified for adding DVD to the approved media SUPPLEMENTARY INFORMATION: The accuracy. All electronic files, not just cited at § 1228.270(c)(2). NARA did not proposed rule was published in the June those sent via FTP, go through an adopt this comment. While DVD may 26, 2002, Federal Register (67 FR evaluation and validation review prove to be an emerging standard, it 43069) for a 60-day public comment process before the accessioning process does not currently have significant period. NARA notified Federal records is completed. presence in the industry for data officers and historical, archival, and One agency asked what specific storage. DVD lacks widespread records management organizations of telecommunication network, for standardization, market placement, and the availability of the proposed rule. A example web site or dial-up modem, is compatibility with various drive types. copy of the proposed rule was also required to transfer data via FTP. By comparison, DLT has established posted on the NARA web site. NARA’s response is that the transfer of standardization, market placement, and VerDate Dec<13>2002 15:47 Dec 27, 2002 Jkt 200001 PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 E:\FR\FM\30DER1.SGM 30DER1 79518 Federal Register / Vol. 67, No. 250 / Monday, December 30, 2002 / Rules and Regulations multi-drive compatibility. In addition, extensive experience with using physical media to the National Archives DLT has greater storage capacity. A DLT multiple TAR utilities on DLT for of the United States. For records tape has up to a 40 GB capacity; DVD various file sizes and types. transferred by a media-less method, has less than 5GB capacity. We intend In addition, NARA is making an NARA works with the agency to ensure to periodically review additional editorial clarification in § 1228.224(a) integrity of the records during the methods for the transfer of permanent concerning publications incorporated by transfer process. To ensure that electronic records and will add them to reference for subpart K of part 1228. permanent electronic records are the CFR where appropriate. This final rule is a significant preserved, each Federal agency must Although this final rule does not regulatory action for the purposes of transfer electronic records to NARA address the format of electronic records Executive Order 12866 and has been promptly in accordance with the described in paragraph (d), NARA is reviewed by the Office of Management agency’s records disposition schedule. exploring the acceptance of formats and Budget. As required by the Furthermore, if the agency cannot other than ASCII and EBCDIC as part of Regulatory Flexibility Act, I certify that provide proper care and handling of the its E-Government initiative. Any this rule will not have a significant media (see part 1234 of this chapter), or proposed changes in this area will be impact on a substantial number of small if the media are becoming obsolete and addressed in a separate rulemaking. entities because it applies only to the agency cannot migrate the records to Federal agencies. This regulation does Documentation newer media, the agency must contact not have any federalism or tribalism NARA to arrange for timely transfer of One agency asked whether NARA will implications. This rule is not a major permanent electronic records, even require agencies to submit hardcopy rule as defined in 5 U.S.C. Chapter 8, when sooner than provided in the documentation, such as codebooks, Congressional Review of Agency records schedule. record layouts, and data dictionaries, Rulemaking. (b) Temporary retention of copy. Each with each FTP or DLT transfer. agency must retain a second copy of any Paragraph (e) of § 1228.270, which was List of Subjects in 36 CFR Part 1228 permanent electronic records that it not modified in this rulemaking, states Archives and records, Incorporation transfers to the National Archives of the a preference for submission of required by reference.