Electronic Records Management
| Citation | 84 FR 14265 |
| Record Number | 2019-06916 |
| Published date | 10 April 2019 |
| Section | Rules and Regulations |
| Court | National Archives And Records Administration |
Federal Register, Volume 84 Issue 69 (Wednesday, April 10, 2019)
[Federal Register Volume 84, Number 69 (Wednesday, April 10, 2019)]
[Rules and Regulations]
[Pages 14265-14267]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-06916]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Part 1236
[FDMS No. NARA-18-0003; NARA-2019-018]
RIN 3095-AB98
Electronic Records Management
AGENCY: National Archives and Records Administration (NARA).
ACTION: Final rule.
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SUMMARY: We are revising our electronic records management regulation
to include standards for digitizing temporary Federal records so that
agencies may dispose of the original source records, where appropriate
and in accordance with the Federal Records Act amendments of 2014.
DATES: This regulation is effective on May 10, 2019.
ADDRESSES: Regulatory and External Policy Program, Strategy &
Performance Division (MP); Suite 4100; National Archives and Records
Administration; 8601 Adelphi Road; College Park, MD 20740-6001.
FOR FURTHER INFORMATION CONTACT: Kimberly Keravuori, by email at
[email protected], or by telephone at 301.837.3151. Contact
[email protected] with any questions on records management and
digitization.
SUPPLEMENTARY INFORMATION:
Background
In 2014, the Federal Records Act at 44 U.S.C. 3302 was amended by
Public Law 113-87 to require NARA to issue standards for reproducing
records digitally `with a view toward the disposal of original
records.' The amendment applies to both temporary and permanent
records. This rule sets standards for digitizing temporary records so
that agencies may establish appropriate processes. Temporary records
constitute the majority of Federal records; agencies retain them for a
specific period of time, as established by records schedules. At the
end of the scheduled retention period, agencies then destroy the
temporary records. Digitization standards for temporary records ensure
that agencies can continue to use the digital versions for the same
purposes as the original records for the duration of that time period.
In this rulemaking, in addition to issuing digitization standards
for temporary records, we are also removing 36 CFR 1236.1 because it
restates the authorities already cited in the authority line.
Proposed Rule and Public Comments
We published this rulemaking in the Federal Register as a proposed
rule on September 10, 2018 (83 FR 45587) with a 60-day public comment
period. We received 19 comments on the proposed rule. Several of them
involved questions and requests for clarification regarding digitizing
permanent Federal and Presidential records or asking about specific
technical standards. However, this regulation does not cover such
records. It covers only temporary Federal records. One comment asked
that we specifically state that the new Subpart D does not apply to
permanent records, but we feel that the title, ``Digitizing Temporary
Federal Records,'' is sufficient to make that clear.
For temporary records, the standards will be as they are stated in
this regulation. While permanent records require more rigorous quality
standards for archival reasons, most temporary records do not need to
meet those standards. Because the needs and uses for temporary records
differ vastly across the Government, it is not reasonable to set a
single baseline image quality or other similar standards; different
standards will serve to meet the business needs for different records.
As a result, this regulation focuses on the uses of the digitized
records as the benchmark for effective digitization and requires that
agencies ensure the digitized records can be used for all the purposes
of the original source records. In some cases, that may involve higher
image quality than in other cases. We will be issuing FAQs and guidance
to agencies on applying the requirements to certain categories of
records, as appropriate.
Several other comments asked us to clarify the validation
requirements and process, whether agencies may develop their own
process, and whether validation requires submitting to NARA for
approval. We have revised the validation section to clarify that
agencies must validate that the digitized versions are able to be used
for all the purposes of the original records, and may use their own
process or a third-party process to check the validity of the digitized
versions. We also clarified that agencies do not need to seek NARA
approval as part of validation. NARA may, however, review agency
documentation of the validation process.
In the course of responding to the comments, we realized there was
confusion about records schedule retention periods and disposing of
original source records. Original source records do not become non-
record copies when they have been digitized. As a result, they must
still be treated as Federal records. They become intermediary records
and may then be destroyed or retained according to the appropriate
records schedule (either General Records Schedule 5.2 for intermediary
records or an agency-specific records schedule governing the digitized
records). We have noted this in the revised regulation as well.
A commenter asked if we would be addressing Employee Medical File
System documents and setting digitization standards for these
documents, including x-rays. The Employee Medical Folder (EMF) for the
majority of agencies is under the recordkeeping authority of the Office
of Personnel Management (OPM), not NARA. The Civilian Personnel Records
Center/National Personnel Records Center (CPR/NPRC) stores and services
the EMF for the owner of the record (OPM) and responds to requests for
the documents. The EMF is currently retired to CPR/NPRC in paper form.
[[Page 14266]]
OPM created a system in approximately 2007 to support an electronic
Official Personnel Folder (OPF) but only the OPF is supported through
that system. Because NARA will no longer accept paper/analog records
for storage at a Federal records center after December 31, 2022, NARA
has reached out to OPM to identify the impact to the paper EMF and
recommend OPM consider the timeline needed to create an electronic EMF
by that deadline. The x-ray will need to be addressed as part of the
EMF. The dialogue continues with OPM concerning the electronic EMF
under their recordkeeping authority. NARA will continue to store and
service paper/analog records received by Federal records centers
through December 31, 2022, until their scheduled disposition date. As a
result, this regulation does not address EMFs or how NPRC would accept
digital records. NARA will, of course, work with OPM on updating OPM/
GOVT-10 EMFs as appropriate.
Another commenter asked that we clarify that the rule does not
authorize an agency to destroy after digitization any records with a
legal hold or that are subject to civil, criminal, or administrative
proceedings. We have added clarifying language to address this comment.
One commenter asked that we add a definition of ``information,'' and
another asked for a definition of ``digitizing.'' We feel there is no
need for a definition of ``information''; it has already been defined
in many contexts, and we do not feel an additional one would be
helpful. However, we have added a definition of ``digitizing,'' because
it is a new term within the records management arena. We have also made
editorial revisions to make the revised rule easier to read and use.
Digitizing Permanent Records and Electronic Records Rulemaking
We are currently developing standards for digitizing permanent
records, which we will publish as an upcoming rulemaking. Until these
standards are published as a rule, we recommend that agencies discuss
digitization projects with their general counsel before disposing of
any original permanent records.
While we develop the standards necessary for digitizing permanent
Federal records, agencies should continue to follow the process in the
General Records Schedule, 36 CFR 1225.24, and NARA Bulletin 2010-04,
Guidance Concerning Notifications for Previously Scheduled Permanent
Records (https://www.archives.gov/records-mgmt/bulletins/2010/2010-04.html).
We are also working on revisions to the rest of 36 CFR 1236,
regarding electronic records management, which will be reflected in
future rulemakings.
Regulatory Review Information
This rule is not a significant regulatory action for the purposes
of E.O. 12866 and a significance determination was requested from the
Office of Management and Budget (OMB). As a result, this rule is also
not subject to deregulatory requirements contained in E.O. 13771. It is
also not a major rule as defined in 5 U.S.C. Chapter 8, Congressional
Review of Agency Rulemaking. As required by the Regulatory Flexibility
Act, we certify that this rule will not have a significant impact on a
substantial number of small entities; it applies only to agency efforts
to digitize temporary records. This rule also does not have any
Federalism implications and does not contain any collections of
information under the Paperwork Reduction Act.
List of Subjects in 36 CFR Part 1236
Archives and records, Electronic records, Records management.
For the reasons stated in the preamble, NARA amends 36 CFR part
1236 as follows:
PART 1236--ELECTRONIC RECORDS MANAGEMENT
0
1. Revise the authority citation for part 1236 to read as follows:
Authority: 44 U.S.C. 2904, 3101, 3102, 3105, 3301, 3302, and
3312.
Sec. 1236.1 [Removed]
0
2. Remove Sec. 1236.1.
0
3. In Sec. 1236.2, in paragraph (b), add a definition of
``Digitizing'' in alphabetical order to read as follows:
Sec. 1236.2 What definitions apply to this part?
* * * * *
(b) * * *
Digitizing is the process of converting paper or analog records
into electronic records.
* * * * *
0
4. Add subpart D to read as follows:
Subpart D--Digitizing Temporary Federal Records
Sec.
1236.30 Requirements for digitizing temporary records.
1236.32 Digitization standards.
1236.34 Validating digitization.
1236.36 Disposing of original source records.
Sec. 1236.30 Requirements for digitizing temporary records.
(a) If an agency intends to digitally reproduce (digitize)
temporary records in order to designate the digitized version as the
recordkeeping copy and destroy the original source records, the agency
must: (1) Digitize the record to the standards in Sec. 1236.32; and
(2) validate the digitization according to Sec. 1236.34.
(b) When the agency designates the digitized version as the
recordkeeping copy, the original source record becomes an intermediary
record. Agencies may dispose of intermediary records according to Sec.
1236.36.
Sec. 1236.32 Digitization standards.
When digitizing temporary records, agencies must meet the following
standards:
(a) Capture all information contained in the original source
records;
(b) Include all the pages or parts from the original source
records;
(c) Ensure the agency can use the digitized versions for all the
purposes the original source records serve, including the ability to
attest to transactions and activities;
(d) Protect against unauthorized deletions, additions, or
alterations to the digitized versions; and
(e) Ensure the agency can locate, retrieve, access, and use the
digitized versions for the records' entire retention period.
Sec. 1236.34 Validating digitization.
(a) Agencies must validate that the digitized versions are of
suitable quality to replace original source records.
(b) Agencies may establish their own validation process or make use
of third-party processes to validate that the digitized versions comply
with Sec. 1236.32. The process may be project-based or agency-wide
policy.
(c) Agencies must document the validation process and retain that
documentation for the life of the process or the life of any records
digitized using that process, whichever is longer.
(d) NARA may review validation documentation as needed.
Sec. 1236.36 Disposing of original source records.
(a) When an agency has validated that the digitized versions meet
the standards in Sec. 1236.32, the agency may destroy the original
source records pursuant to General Records Schedule (GRS) 5.2
(intermediary records) or an agency-specific records schedule that
addresses disposition after digitization, subject to any pending legal
constraint on the agency, such as a litigation hold.
[[Page 14267]]
(b) The agency must treat the digitized versions, now the
recordkeeping versions, in the same way it would have treated the
original source records. The agency must retain the digitized versions
for the remaining portion of any retention period established by the
applicable records schedule.
(c) Agencies do not need to obtain NARA approval to destroy
scheduled temporary records they have digitized according to this part.
David S. Ferriero,
Archivist of the United States.
[FR Doc. 2019-06916 Filed 4-9-19; 8:45 am]
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