67692 Federal Register / Vol. 69, No. 223 / Friday, November 19, 2004 / Proposed Rules 

MSHA could regulate, it must focus its 

resources on risks that are significant, 

that the Agency has deemed to be the 

highest priorities, and that the Secretary 

has found to be appropriate. If data or 

information provides evidence of a 

significant risk that MSHA has not 

addressed, the Agency will evaluate 

whether rulemaking should be initiated 

for the individual substance or agent. 

This document does not preclude any 

Agency action that the Secretary may 

find appropriate in the future. 

For the reasons stated herein, with the 

exception of provisions published at 59 

FR 8318 (February 18, 1994), the 

proposed rule is withdrawn.

Signed at Arlington, Virginia, this 15th day 

of November, 2004. 

David D. Lauriski, 

Assistant Secretary for Mine Safety and 

Health.

[FR Doc. 04–25678 Filed 11–18–04; 8:45 am] 

BILLING CODE 4510–43–P

NATIONAL ARCHIVES AND RECORDS 

ADMINISTRATION 

36 CFR Part 1228 

RIN 3095–AB43 

Federal Records Management; Media 

Neutral Records Schedules

AGENCY: National Archives and Records 

Administration (NARA).

ACTION: Proposed rule.

SUMMARY: NARA proposes to amend its 

regulations relating to scheduling 

Federal records to make existing 

approved records schedules and future 

records schedules applicable to bodies 

of records regardless of the medium in 

which the records are created and 

maintained. Both the agency (in 

submitting the schedule) and NARA (in 

approving the schedule) would be able 

to specify that certain disposition 

authorities are valid only for the current 

media/format of the records. Although 

agencies currently are permitted to 

submit ‘‘media-neutral’’ records 

schedules, most existing records 

schedules were developed for hard-copy 

(usually paper) recordkeeping systems 

and do not state that they apply to 

records in other formats. Therefore, 

agencies have been required to submit 

new schedules when they convert from 

a hard-copy system of records to an 

automated (electronic) system, 

including special media records (such 

as still pictures, aerial photography, 

maps, charts, drawings, motion picture 

film, analog videotape, and analog 

sound recordings). This proposed rule 

would reduce the workload for both 

agencies and NARA, allowing both to 

focus resources on critical records 

management needs.

DATES: Comments are due by January 

18, 2005.

ADDRESSES: NARA invites interested 

persons to submit comments on this 

proposed rule. Please include ‘‘Attn: 

RIN 3095–AB43’’ and your name and 

mailing address in your comments. 

Comments may be submitted by any of 

the following methods: 

• Federal eRulemaking Portal: http://

www.regulations.gov. Follow the 

instructions for submitting comments. 

• E-mail: Send comments to 

comments@nara.gov. If you do not 

receive a confirmation that we have 

received your e-mail message, contact 

Nancy Allard at 301–837–1477. 

• Fax: Submit comments by facsimile 

transmission to 301–837–0319. 

• Mail: Send comments to 

Regulations Comments Desk (NPOL), 

Room 4100, Policy and 

Communications Staff, National 

Archives and Records Administration, 

8601 Adelphi Road, College Park, MD 

20740–6001. 

• Hand Delivery or Courier: Deliver 

comments to 8601 Adelphi Road, 

College Park, MD.

FOR FURTHER INFORMATION CONTACT:

Nancy Allard at 301–837–1477 or fax 

301–837–0319.

SUPPLEMENTARY INFORMATION: 

Background 

Increasingly, agencies are automating 

their business processes in order to 

better meet their business needs. In 

many instances, the hard-copy records 

that new electronic systems replace are 

covered by a NARA-approved records 

schedule. Agencies currently are 

required to submit a Standard Form (SF) 

115, Request for Records Disposition 

Authority, to obtain a new disposition 

authority when previously scheduled 

hard-copy records are now being created 

and maintained electronically. The only 

exceptions to this policy have been 

when the agency’s approved schedule is 

media neutral or the records are covered 

by the General Records Schedules or by 

an agency-specific schedule that relates 

to administrative or housekeeping 

matters. 

Proposed Regulatory Changes 

As part of our Records Management 

Initiatives, we have re-examined this 

policy and determined that changes 

should be made to the regulations. This 

proposed rule would: 

(1) Establish NARA policy that new 

records schedules submitted to NARA 

for approval on or after the effective 

date of the final rule will be considered 

media neutral (i.e., the dispositions will 

apply to the recordkeeping copies of the 

described files in all media) unless the 

schedule identifies a specific medium 

for a specific series. This policy is 

reflected in the proposed change to 36 

CFR 1228.24(b). NARA also proposes to 

modify 36 CFR 1228.24(b) and 

1228.28(b) to make it clear that agencies 

still must identify special media records 

(e.g., still pictures, motion pictures and 

videos, maps, aerial photography, etc.) 

when they submit schedules. 

(2) Require agencies to notify NARA 

within 45 days when converting records 

systems containing permanent records 

from hard-copy format to electronic 

medium, including special media 

records. As part of the notification, 

agencies would provide information 

about the format(s) and volume of 

records in the electronic system, 

(3) Authorize agencies to apply 

existing previously approved agency 

records schedules that cover hard-copy 

temporary records to those records 

when they are created electronically, if 

all of the following conditions are met: 

• The content and function of the 

records has not changed (i.e., the 

electronic records do not contain 

information that is substantially 

different from the information included 

in the hard-copy series, the electronic 

records are used for the same purpose 

as the hard-copy records, the underlying 

business processes and the regulations 

or other authorities from which records 

stem remain the same, etc.) 

• The records relate to program 

matters and are scheduled for disposal 

less than 20 years after cut-off, or relate 

to administrative (housekeeping) 

matters, and 

• The records are not covered by one 

or more exclusions in the proposed 

§ 1228.31(a)(3). 

This authorization will apply to the 

vast majority of agencies’ records series. 

NARA estimates that more than 90 

percent of agency series have retention 

periods of less than 20 years. 

(4) Require agencies to submit a new 

SF 115 to obtain disposition authority 

for electronic versions of previously 

scheduled hard-copy temporary records 

with a retention period of 20 years or 

longer after cut-off. We estimate that 

less than ten percent of an agency’s 

record series would be subject to this 

requirement. (If such records are already 

covered by a media neutral schedule 

item or conversion to electronic form 

was approved in the current schedule, 

this requirement does not apply.) As 

described later in this SUPPLEMENTARY

INFORMATION, NARA expects that the 

Federal Register / Vol. 69, No. 223 / Friday, November 19, 2004 / Proposed Rules 67693

agency and NARA will be able to use an 

expedited process for review and 

approval of such schedules. 

Explanation of New Policy 

NARA’s long experience with 

scheduling electronic records has 

shown that it is the basic content and 

function of records that determines their 

value in almost all cases. It is very rare 

that conversion of a series of records 

from hard-copy to electronic form 

changes its underlying value. That said, 

with the enhancements electronic 

recordkeeping brings (compactness, 

manipulability, and enhanced search 

capabilities), it is important to provide 

a safety net to further ensure that we are 

able to capture the rare series that is 

temporary in hard copy form but 

permanent in an electronic format. 

There are two situations where this 

safety net is being applied: temporary 

records with lengthy (20 years or more) 

retention periods, and certain types of 

temporary records with retention 

periods of less than 20 years. 

Most temporary records that are 

scheduled for a retention period of 20 

years or more in hard copy will also be 

temporary if converted to an electronic 

format. However, such records typically 

have significant legal rights implications 

or are needed for a lengthy period to 

ensure government accountability. 

Consequently, proposed § 1228.31 

requires that agencies submit a SF 115 

when they convert a temporary hardcopy series with a retention period of 20 

years or more after cut-off. This will 

enable NARA to appraise the electronic 

records and, if warranted, designate 

them as permanent. If records with a 

retention period of 20 years or more are 

covered by a previously approved media 

neutral schedule item or by a previously 

approved schedule item for hard-copy 

records that authorizes the disposal of 

those records after they have been 

converted to an electronic format, 

NARA has already determined that the 

conversion of the records to an 

electronic format will not render them 

more valuable. 

NARA also has determined that 

certain types of existing temporary 

records with a retention period of less 

than 20 years after cut-off (cut-off is 

when the file or transaction is complete) 

are not eligible for automatic 

application of the existing hard-copy 

disposition authority to the records 

when they are created on an electronic 

system. These exclusions are temporary 

program records that:

• Are covered by approved schedule 

items that explicitly exclude electronic 

records; 

• Cover Web versions of hard-copy 

records; 

• Document observations of natural 

events or the natural environment (e.g., 

weather, water levels, topographic 

features, air quality, etc.); or 

• Consist of raw, unsummarized 

demographic or economic data collected 

for input into studies and statistical 

reports (e.g., data on wages and prices, 

education levels, health care, etc.). 

The first exclusion (where the 

schedule approved for hard copy 

records explicitly excludes electronic 

versions) covers situations where NARA 

reserved the right to re-evaluate the 

temporary nature of records when 

NARA approved the media neutral 

schedule. The exclusion for Web 

records reflects NARA’s belief that the 

approved retention period for a series of 

records in hard-copy (e.g., press releases 

or publications) may be longer than 

what is needed for Web versions. The 

third and fourth exclusions address the 

potential for such records, when 

automated, to be more valuable to the 

creating agency for additional purposes 

or to other researchers. 

For permanent records, we propose 

that agencies must notify NARA within 

45 days of the conversion to an 

electronic system. As part of the 

notification, an agency must provide the 

series identification (schedule item), 

and information on the format(s) of the 

electronic records and their expected 

volume. Since schedules developed for 

permanent hard copy records typically 

provide for the transfer of records to the 

National Archives after a longer period 

of time has elapsed than is advisable in 

the case of electronic records, after the 

review, NARA will contact the agency 

concerning when the agency can 

transfer the electronic records to us. 

NARA and the agency may decide to 

establish revised transfer instructions 

for the electronic records by making 

‘‘pen-and-ink’’ changes to the 

previously approved transfer 

instructions. We specifically invite 

agency comments on whether the 

proposed notification process outlined 

here would be less work for the agency 

than submission of a new SF 115. 

In cases where the proposed rule 

requires submission of a new SF 115 

(temporary records with retention 

periods of 20 years or more after cut-off 

and certain other temporary records), 

NARA encourages agencies to use a 

streamlined review and sign-off process. 

For its part, NARA will process these SF 

115s on an expedited basis also. 

NARA will remind agencies that this 

proposed rule does not change NARA’s 

longstanding policy that a new schedule 

must be submitted for approval if the 

nature of a previously scheduled series 

changes in a substantial way, i.e., the 

electronic versions of a previously 

scheduled hard-copy series contain 

significantly more information than the 

hard-copy records or are used in 

significantly different ways. NARA will 

also suggest to agencies that they may, 

as part of re-engineering agency 

processes, determine that the records 

should be scheduled in larger 

aggregations or ‘‘big buckets’’ to 

facilitate disposition through automated 

systems. 

In a related action to this proposed 

rule, NARA will modify the General 

Records Schedules (GRS) to authorize 

agencies to apply previously approved 

agency records schedules to the 

electronic versions of temporary records 

if the NARA-approved retention period 

is less than 20 years (except for 

electronic records that are derived from 

or replace hard-copy records excluded 

by proposed § 1228.31(a)(2)). Agencies 

already have authority under GRS 20, 

Item 3, to apply the GRS disposal 

authority when the agencies move from 

hard copy to electronic systems for 

records covered by an agency-specific 

schedule for administrative/

housekeeping records or by the GRS, 

except for those few series where the 

GRS specifically requires submission of 

a SF 115 when the records are 

maintained in electronic form. 

This proposed rule is not a significant 

regulatory action for the purposes of 

Executive Order 12866 and has not been 

reviewed by the Office of Management 

and Budget. As required by the 

Regulatory Flexibility Act, I certify that 

this rule will not have a significant 

impact on a substantial number of small 

entities because it applies only to 

Federal agencies. This regulation does 

not have any federalism implications.

List of Subjects in 36 CFR Part 1228 

Archives and records.

For the reasons set forth in the 

preamble, NARA proposes to amend 

part 1228 of title 36, Code of Federal 

Regulations, as follows:

PART 1228—DISPOSITION OF 

FEDERAL RECORDS 

1. The authority citation for part 1228 

continues to read as follows:

Authority: 44 U.S.C. chs. 21, 29, and 33.

2. Amend § 1228.24 by redesignating 

paragraphs (b)(3) and (b)(4) as 

paragraphs (b)(4) and (b)(5) respectively, 

and adding new paragraph (b)(3) to read 

as follows:

67694 Federal Register / Vol. 69, No. 223 / Friday, November 19, 2004 / Proposed Rules 

§ 1228.24 Formulation of agency records 

schedules.

* * * * *

(b) * * * 

(3) Records schedules submitted to 

NARA for approval on or after [the 

effective date of the final rule] are 

media-neutral, i.e., the disposition 

instruction applies to the described 

records in all media, unless the 

schedule identifies a specific medium 

for a specific series.

* * * * *

3. Add § 1228.31 to read as follows:

§ 1228.31 Authority to apply previously 

approved schedules to electronic records. 

(a) Temporary program records with 

retention periods of less than 20 years 

after cut-off. Agencies may apply 

disposition authorities for temporary 

program records in previously approved 

schedules to the electronic versions of 

those records if: 

(1) The content and function of the 

records has not changed significantly 

(i.e., the electronic records do not 

contain information that is substantially 

different from the information included 

in the hard-copy series, the electronic 

records are used for the same purpose 

as the hard-copy records, the underlying 

business processes and the regulations 

or other authorities from which records 

stem remain the same, etc.); 

(2) The records are scheduled for 

disposal less than 20 years after cut-off; 

and 

(3) The records are not derived from 

or replace hard-copy records that are 

covered by schedule items that 

explicitly exclude electronic records; 

are not web versions of hard-copy 

records; do not document observations 

of natural events or the natural 

environment (e.g., weather, water levels, 

topographic features, air quality, etc.); or 

do not consist of raw, unsummarized 

demographic or economic data collected 

for input into studies and statistical 

reports (e.g., data on wages and prices, 

education levels, health care, etc.). 

(b) Temporary program records with 

retention periods of 20 years or more 

after cut-off. Agencies must submit an 

SF 115 when they convert temporary 

program records with approved 

retention periods of 20 years or more 

after cut-off to electronic media, unless 

the records are covered by a previously 

approved media neutral schedule item 

or by a previously approved schedule 

item that authorizes the disposal of hard 

copy records after they have been 

converted to an electronic format. 

(c) Temporary administrative or 

housekeeping records. Agencies may 

apply previously approved agency 

schedules or the General Records 

Schedules to the electronic versions of 

temporary records that relate to 

administrative (housekeeping) matters if 

the approved agency schedule or the 

GRS does not specifically require 

submission of a SF 115 when the 

records are maintained in electronic 

form. 

(d) Permanent records. (1) Agencies 

must notify NARA (NWML) within 45 

days of implementation of an electronic 

system that will maintain permanent 

records that have been scheduled as 

permanent in hard-copy form, including 

special media records as described in 36 

CFR 1228.266 and 1228.268. 

(2) The notification must contain the: 

(i) Name of the electronic system; 

(ii) Name of the agency and 

organizational unit that has the records; 

(iii) Current disposition authority 

reference; 

(iv) Annual volume of records 

created; and 

(v) Format of the records. 

(3) NARA and agencies will change 

the previously approved transfer 

instructions for the series if necessary to 

incorporate the requirements for 

electronic records in 36 CFR 

1228.28(b)(8)(i).

Dated: November 15, 2004. 

John W. Carlin, 

Archivist of the United States.

[FR Doc. 04–25691 Filed 11–18–04; 8:45 am] 

BILLING CODE 7515–01–P

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[CA–295–0470b; FRL–7834–1] 

Revisions to the California State 

Implementation Plan, Great Basin and 

Ventura County Air Pollution Control 

Districts

AGENCY: Environmental Protection 

Agency (EPA).

ACTION: Proposed rule.

SUMMARY: EPA is proposing to approve 

revisions to the Great Basin Air 

Pollution Control District (GBAPCD) 

and Ventura County Air Pollution 

Control District (VCAPCD) portions of 

the California State Implementation 

Plan (SIP). We are proposing to approve 

local rules concerning definitions under 

the Clean Air Act as amended in 1990 

(CAA or the Act).

DATES: Any comments on this proposal 

must arrive by December 20, 2004.

ADDRESSES: Send comments to Andy 

Steckel, Rulemaking Office Chief (AIR–

4), U.S. Environmental Protection 

Agency, Region IX, 75 Hawthorne 

Street, San Francisco, CA 94105–3901, 

or e-mail to steckel.andrew@epa.gov, or 

submit comments at http://

www.regulations.gov.

You can inspect copies of the 

submitted SIP revisions, EPA’s technical 

support documents (TSDs), and public 

comments at our Region IX office during 

normal business hours by appointment. 

You may also see copies of the 

submitted SIP revisions by appointment 

at the following locations: 

California Air Resources Board, 

Stationary Source Division, Rule 

Evaluation Section, 1001 ‘‘I’’ Street, 

Sacramento, CA 95814. 

Great Basin Unified Air Pollution 

Control District, 157 Short Street, Suite 

6, Bishop, CA 93514–3537. 

Ventura County Air Pollution Control 

District, 669 County Square Drive, 2nd 

Fl., Ventura, CA 93003–5417. 

A copy of the rule may also be 

available via the Internet at http://

www.arb.ca.gov/drdb/drdbltxt.htm.

Please be advised that this is not an EPA 

Web site and may not contain the same 

version of the rule that was submitted 

to EPA.

FOR FURTHER INFORMATION CONTACT:

Cynthia G. Allen, EPA Region IX, (415) 

947–4120, allen.cynthia@epa.gov.

SUPPLEMENTARY INFORMATION: This 

proposal addresses the following local 

rules: GBAPCD 101 and VCAPCD 2. In 

the Rules and Regulations section of this 

Federal Register, we are approving 

these local rules in a direct final action 

without prior proposal because we 

believe these SIP revisions are not 

controversial. If we receive adverse 

comments, however, we will publish a 

timely withdrawal of the direct final 

rule and address the comments in 

subsequent action based on this 

proposed rule. Please note that if we 

receive adverse comment on an 

amendment, paragraph, or section of 

this rule and if that provision may be 

severed from the remainder of the rule, 

we may adopt as final those provisions 

of the rule that are not the subject of an 

adverse comment. 

We do not plan to open a second 

comment period, so anyone interested 

in commenting should do so at this 

time. If we do not receive adverse 

comments, no further activity is 

planned. For further information, please 

see the direct final action.

Dated: October 5, 2004. 

Laura Yoshii, 

Acting Regional Administrator, Region IX.

[FR Doc. 04–25626 Filed 11–18–04; 8:45 am] 

BILLING CODE 6560–50–P