Rule2023-09050
Federal Records Management: Digitizing Permanent Records and Reviewing Records Schedules
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
May 4, 2023
Effective
June 5, 2023
Issuing agencies
National Archives and Records Administration
Abstract
The National Archives and Records Administration (NARA) is amending our records management regulations to add a subpart containing standards for digitizing permanent Federal records so that agencies may dispose of the source records, when appropriate and in accordance with the Federal Records Act amendments of 2014. NARA is also amending our records management regulations to add a subpart containing metadata requirements for transferring permanent digital records to the National Archives of the United States. Finally, NARA is making a revision to our records schedule review provisions to establish a requirement for agencies to review, every five years, all records schedules that are ten years old and older, based on the date NARA approved the schedule.
Full Text
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[Federal Register Volume 88, Number 86 (Thursday, May 4, 2023)]
[Rules and Regulations]
[Pages 28410-28427]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-09050]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Parts 1224, 1225 and 1236
[FDMS No. NARA-20-0006; NARA-2022-066]
RIN 3095-AB99
Federal Records Management: Digitizing Permanent Records and
Reviewing Records Schedules
AGENCY: National Archives and Records Administration (NARA).
ACTION: Final rule.
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SUMMARY: The National Archives and Records Administration (NARA) is
amending our records management regulations to add a subpart containing
standards for digitizing permanent Federal records so that agencies may
dispose of the source records, when appropriate and in accordance with
the Federal Records Act amendments of 2014. NARA is also amending our
records management regulations to add a subpart containing metadata
requirements for transferring permanent digital records to the National
Archives of the United States. Finally, NARA is making a revision to
our records schedule review provisions to establish a requirement for
agencies to review, every five years, all records schedules that are
ten years old and older, based on the date NARA approved the schedule.
DATES: This rule is effective on June 5, 2023.
ADDRESSES: Regulatory and External Policy Program (MP); Suite 4100;
National Archives and Records Administration; 8601 Adelphi Road;
College Park, MD 20740-6001.
FOR FURTHER INFORMATION CONTACT: Edward Germino, Strategy and
Performance Division, by email at <a href="/cdn-cgi/l/email-protection#fb899e9c8e979a8f929495a4989496969e958f88bb959a899ad59c948d"><span class="__cf_email__" data-cfemail="691b0c0e1c05081d000607360a0604040c071d1a2907081b08470e061f">[email protected]</span></a>, or by
telephone at 301-837-3758. Contact <a href="/cdn-cgi/l/email-protection#7406190700151a1015061007341a1506155a131b02"><span class="__cf_email__" data-cfemail="7a0817090e1b141e1b081e093a141b081b541d150c">[email protected]</span></a> with any
questions on records management and digitization.
SUPPLEMENTARY INFORMATION:
Background
NARA is amending 36 CFR chapter XII, subchapter B, part 1225,
Scheduling Records, to set a timeframe for the required review of
existing records schedules. The current regulations state that
schedules should be reviewed ``regularly.'' This rulemaking clarifies
the word ``regularly'' by establishing a timeframe for those periodic
reviews. This is based upon a determination that many schedules have
not been kept up-to-date or revised when needed. Therefore, NARA is
revising the regulations to require that every five years agencies must
review records schedules that are ten years old or older, based on the
date NARA approved the schedule. Agencies will be required to complete
their first review no later than June 5, 2028, which is five years
after this rule becomes effective. Any actions to update schedules
after the mandatory five-year review is completed will continue to be
governed by other records management regulations within 36 CFR chapter
XII, subchapter B and implementing NARA records management guidance.
In addition, NARA is amending 36 CFR part 1236, Electronic Records
Management, by adding a new subpart that establishes standards for the
digitization of permanent paper and photographic print records,
including paper and photographs contained in mixed-media records. The
standards in this rule apply retroactively to digitized permanent
records that have not been transferred to the National Archives. In
2014, Public Law 113-187 amended the Federal Records Act at 44 U.S.C.
3302 to require NARA to issue standards for reproducing records
digitally ``with a view to the disposal of the original records.'' The
amendment applies to both temporary and permanent records.
This rulemaking covers only permanent records of the kinds listed
above. NARA previously amended 36 CFR part 1236 to add standards for
the digitization of temporary records, which constitute the majority of
Federal records (RIN 3095-AB98, 84 FR 14265 (April 10, 2019), effective
May 10, 2019). NARA plans to issue additional requirements for
digitizing other specific media types in future revisions to the rule.
In the interim, agencies should contact <a href="/cdn-cgi/l/email-protection#186a756b6c79767c796a7c6b5876796a79367f776e"><span class="__cf_email__" data-cfemail="592b342a2d38373d382b3d2a1937382b38773e362f">[email protected]</span></a> for
guidance regarding digitizing other types of permanent records.
[[Page 28411]]
Digitizing and Transferring Permanent Records
These digitization standards for permanent records ensure that
agencies can use digital versions for the same business purposes as the
source records and ensure that the digital records will be appropriate
for preservation in NARA's archival holdings. NARA intends the
regulation to be neutral about who performs the digitizing activities
for each agency, meaning Federal staff or vendors can perform the
activities.
This rule defines the requirements for agencies to digitize source
records as a records management activity as required by the 2014
amendments to the Federal Records Act, drawing from principles within
the Federal Agencies Digital Guidelines Initiative (FADGI) Technical
Guidelines for Digitizing Cultural Heritage Materials Creation of
Raster Image Files (2016), and from International Organization for
Standardization (ISO) Technical Specifications (TS) and Technical
Reports (TR); specifically ISO 19264-1:2021 Photography--Archiving
systems--Imaging systems quality analysis--Part 1: Reflective originals
(<a href="https://www.iso.org/standard/79172.html">https://www.iso.org/standard/79172.html</a>), and ISO/TR 13028:2010,
Information and documentation--Implementation guidelines for
digitization of records (<a href="https://www.iso.org/standard/52391.html">https://www.iso.org/standard/52391.html</a>).
FADGI also describes many recommended best practices that agencies may
use to supplement, but not supersede, applicable regulations and NARA
implementing guidance. This rule also provides agencies with the
guidance necessary to digitize and dispose of source permanent records.
These technical standards apply to both unclassified and classified
national security records.
When managing digitized records, agencies must comply with other
records management requirements identified in 36 CFR chapter XII,
subchapter B. For example, this rule does not address how to transfer
digitized records or what methods of physical destruction apply to
source records. In addition, though this rule applies to digitizing
classified records, it does not address other standards specific to
classified information, such as classified-specific metadata or
acquiring secure equipment. These subjects are outside the scope of
this regulation.
Proposed Rule and Public Comments
NARA published this rulemaking in the Federal Register as a
proposed rule on December 1, 2020 (85 FR 77095) with a 60-day public
comment period. NARA received sets of comments from 23 different
individuals and groups with many signatories. Commenters included:
professors; universities and larger academic groups; records and access
organizations; digitizing experts, software developers, vendors, and
contractors; Federal agencies; information security organizations;
archival entities; and anonymous people.
Comments on 36 CFR Parts 1224 and 1225
NARA received some comments on the proposed revisions to 36 CFR
parts 1224 and 1225, which primarily asked questions about when the
five-year records schedule review cycle would begin, how it would be
calculated, whether it includes the review alone or also any necessary
actions flowing from the review, and suggestions for requiring advisory
boards and expert consultations as part of each review. Another comment
discussed the shift to ``big bucket and media neutral'' scheduling
approaches, which are less granular and provide only very general
descriptions of the records.
The new requirements state that every five years, agencies must
review all records schedules that are ten years old and older, based on
the date NARA approved the schedule. NARA believes that setting the
time frame for these review cycles on a regular basis will lead to
improvements to Federal records management operations. Agencies will be
required to complete their first review five years after the effective
date of this rulemaking.
NARA recognizes that there are different ways to approach the
cyclical review requirement and we are leaving that up to individual
agencies. For example, some agencies may want to annually review the
schedules that are ten years old or older on a rotational basis that
ensures they are all reviewed every five years, while others may want
to review all applicable schedules in a single, comprehensive review
every five years. An agency's approach will depend on multiple factors,
including the complexity of the schedules, the number of schedules they
have, and the frequency of organizational and mission changes, among
others. For similar reasons, NARA is also leaving it up to agencies
whether to use a fiscal or calendar year review cycle.
The reason NARA is adding a specific review cycle is to ensure
agency records schedules are current and relevant for the nature and
format of records the agency is actively creating and using. As a
result, as long as agencies implement the review cycle and conduct it
consistently, they have some options on the details of how they carry
out such reviews. The five-year cycle applies only to the review
requirement in these regulations. Requirements for submitting new
schedules or requesting changes to existing ones are governed by other
records management regulations within 36 CFR chapter XII, subchapter B
and by implementing NARA records management guidance.
NARA is not planning to request authority from Congress or the
White House to create advisory boards for the scheduling process.
However, we have been working to improve how the public can participate
in the scheduling process. NARA created a new web page to explain how
the public can engage in the process at <a href="https://www.archives.gov/records-mgmt/public">https://www.archives.gov/records-mgmt/public</a> and a YouTube video to explain the scheduling
process at <a href="https://youtu.be/iClMFzmwqLc">https://youtu.be/iClMFzmwqLc</a>. NARA also changed our public
comment processes in 2019 to increase the number of places where the
public can find and view open schedules and to provide easier ways to
comment. NARA previously published a notice in the Federal Register
from which commenters would need to reach out to us for a copy of the
schedule, start a schedule review period, and then provide any comments
back to us by email. In 2019, we also started posting the schedules in
a docket on <a href="http://regulations.gov">regulations.gov</a> and people have been able to comment on
them directly from there. NARA takes public comments very seriously and
has made changes to final schedules based on public input, and refined
the public notice and comment processes based on such feedback.
Although NARA is not planning to establish advisory boards, during the
records appraisal process our staff consults widely with subject matter
experts within agencies, including records officers and their staffs,
legal counsel, information technology officials, and the program staff
that create or maintain the records. They participate in the decision-
making that occurs during both the agency's proposal development stage
and our review and approval stage.
With the significant increase in the volume of records and
information in the Federal Government, agencies have reported that
flexible schedules ease the implementation of digital recordkeeping.
Our experience over the past decade confirms that position. In 2021, we
published an assessment report from NARA's Records Management Oversight
and Reporting program on ``big bucket schedule
[[Page 28412]]
implementation.'' The report is on NARA's website at <a href="https://www.archives.gov/files/records-mgmt/resources/big-bucket-schedule-implementation-report.pdf">https://www.archives.gov/files/records-mgmt/resources/big-bucket-schedule-implementation-report.pdf</a>. The report contains recommendations for NARA
and for agencies, and we will continue to work on improving the big
bucket scheduling guidance and agency implementation.
Comments on 36 CFR Part 1236
The comments on the new standards for digitizing permanent records
in 36 CFR part 1236 covered a wide range of broad records management
and oversight topics as well as specific technical topics:
Organization and Clarity
An overarching comment suggested that the regulation be simplified
in structure and clarified in substance. NARA revised this part to make
the requirements as straightforward as possible while still capturing
the necessary level of detail. See edits to Sec. 1236.42. For example,
we consolidated all documentation requirements found in different
sections into one comprehensive section.
Some commenters said that some technical terms were not always
clear and additional definitions were needed. Most of the definitions
can be found in the FADGI glossary <a href="https://www.digitizationguidelines.gov/glossary.php">https://www.digitizationguidelines.gov/glossary.php</a>. NARA added definitions for
several technical terms.
Oversight and Destroying Source Records
Many commenters were concerned about whether NARA would exercise
oversight of agency digitization projects, and to what degree. The
commenters stressed the importance of preserving source records for
legal, evidentiary, and other purposes. They expressed concerns about
whether there would be any check on agencies being permitted to destroy
source records after digitizing them. They expressed concern that,
without oversight, the likelihood that agencies would properly follow
the requirements for digitizing before they destroy permanent records
``is negligible'' because they already do not properly follow existing
regulations. They also expressed concern that agencies would not have
enough funds to digitize properly and thus might cut corners and
digitize in the cheapest and fastest way possible, rather than being
concerned about longer-term archival needs. Other commenters suggested
NARA include expertise from organizations such as the National Academy
of Sciences in developing the digitization standards.
NARA is issuing these regulations to meet a statutory requirement.
The 2014 amendments to the Federal Records Act required the Archivist
of the United States to promulgate regulations that contain standards
for digitizing with a view to disposing of source records.
In 2019, the Office of Management and Budget (OMB) and NARA issued
OMB Memorandum M-19-21, Transition to Electronic Records, stating,
``The Federal Government spends hundreds of millions of taxpayer
dollars and thousands of hours annually to create, use, and store
Federal records in analog (paper and other non-digital) formats.
Maintaining large volumes of analog records requires dedicated
resources, management attention, and security investments that should
be applied to more effectively managing digital records. The processes
that create analog records increase burden on citizens by requiring
them to conduct business with the Government in person or by mail,
rather than online, and trap valuable Federal data in paper records
where it can only be extracted manually and at great expense.''
Digitizing and destroying source records is part of that transformation
process.
These regulations apply to paper and photographic print records
that have not yet been transferred to NARA or stored at a Federal
Records Center. In addition to developing the regulatory standards,
NARA is also implementing oversight actions. Since 2011, we have
increased our capability to conduct records management inspections of
all agencies that fall under the Federal Records Act by expanding
NARA's records management oversight program. This program performs
inspections, assessments, and other related oversight activities.
Digital records management, including digitization efforts, is included
in these efforts. Agencies that are inspected are also required to
create ``plans of corrective action'' related to any findings and
recommendations and to submit progress reports to NARA until all
actions have been taken. Agencies are also required to provide
information about their digitization projects as part of the annual
records management self-reporting cycle. For more information about
NARA's oversight program, please see our website at <a href="https://www.archives.gov/records-mgmt">https://www.archives.gov/records-mgmt</a>.
Although NARA is implementing oversight actions as mentioned above,
we will not be conducting direct oversight of all digitization projects
in all agencies, nor will we require agencies to share project
management and quality management plans with us for approval before
beginning a digitization project. NARA will add compliance with these
regulations alongside the existing regulations to our inspections,
assessments, and other oversight activities. NARA believes that these
regulations establish requirements for agencies that will sufficiently
increase oversight and quality assurance.
These regulations are clear about the standards agencies must
follow and meet. Agencies that do not meet these standards do not have
the authority to dispose of the source records. NARA applied its
experience with conversion to microfilm when developing these
standards. As a result, we have required regular checks of the imaging
equipment, precise calibration, and diligent quality control efforts to
address many of the lessons of the microfilm era. NARA is confident the
new standards contained in this rule will protect the records as they
are transformed from analog to digital form. NARA will also communicate
clearly that ``choosing quick-and-cheap digitization processes'' could
lead to poor quality digital records that do not meet the agency's
business needs or NARA's archival needs.
Section 1236.56 of these regulations also establishes the
validation requirements agencies must fulfill. Agencies must not
dispose of the source records until they validate that they have
followed the requirements in other sections of the regulation for
digitization and quality control (among other required assessments
during a given digitization project). Once validated, the agency must
have an applicable records schedule that addresses disposing of the
source records after they have been digitized. If the agency validates
that its digitization actions meet these new standards, it will be able
to use a General Records Schedule as authority to dispose of the source
records.
NARA believes the detailed level of information and the quality
assessments and validating requirements in these regulations, as well
as implementing guidance products NARA is preparing to issue and our
other oversight and inspections, will be sufficient to allow agencies
and NARA to jointly conduct required oversight. NARA believes these
products will also help other oversight-related organizations, such as
inspectors general or chief information security officers, to review
and provide oversight to agency programs.
However, we also recognize that sometimes source records have
intrinsic value and the very paper itself is a physical object that
needs to be
[[Page 28413]]
preserved as part of our nation's history. NARA Bulletin 2020-01,
Guidance on OMB/NARA Memorandum Transition to Electronic Records (M-19-
21), provides guidance to agencies on how to request an exception to
the upcoming digital records goals and deadlines after which we will
accept only digital records. The exception process offers a way for
some paper records to continue to become part of the National Archives
in their original paper form.
NARA is a leader in archival science and the preservation of
records within the Federal Government, and has experts on staff to
advise in the creation and preservation of digitized records. NARA
regularly consults with the international records management and
archival communities as well as with other non-governmental, cultural,
and educational institutions on important topics related to records
management, including digitization.
Previously Digitized Records
We also received many questions about records that agencies
digitized before these regulations were issued but which have not yet
been transferred to the National Archives of the United States and
don't meet the standards in these new regulations.
The standards in these regulations apply to any paper and
photographic print records that will be transferred to the National
Archives after the deadlines established in OMB/NARA Memoranda. That
includes any previously digitized permanent records still in agency
control. If those digital versions do not meet the standards in these
regulations, the agencies have other options. The first option is to
send the paper versions of the previously digitized records to a NARA
Federal Records Center by the upcoming digital records deadlines if
they aren't scheduled for transfer to the National Archives before
then. With this option, agencies would pay for the storage until the
records' transfer date to the National Archives' legal custody, but
would not have to re-digitize the records to the appropriate standards.
Once the records transfer to the National Archives on the scheduled
date, we will assume responsibility for digitizing the records for
archival access.
The second option is to request an exception to the goals and
deadlines established in OMB/NARA Memoranda, and as outlined in NARA
guidance, discussed in the oversight comments section above.
The third option is to work with us to update relevant agency-
specific records schedules so they address the previously digitized
records and provide authority to transfer the digitized records to NARA
and destroy the source records. This option would not be available in
all cases and will depend in part on the quality and other aspects of
the digitized records. NARA recognizes that agencies have been scanning
permanent records for decades and that such records will, in many
cases, not meet all the standards in this regulation. However, many may
meet enough of the requirements for the digitized versions to function
effectively as archival records, depending on the kind of records they
are. The goal is for agencies, NARA, and the public to have confidence
in the previously digitized records and the processes used to digitize
them, and to develop a clear understanding of what we will be accepting
at the time of transfer. NARA is developing guidance to help agencies
update records schedules for this purpose and will work individually
with agencies that have previously digitized records. Any records
schedules revised for this purpose will be published in the Federal
Register for public review and comment.
A fourth option is that if digital records were printed and filed
according to agency records management practices and agencies can find
the source records--the digital versions--that were used to print and
file, then agencies may be able to transfer those original digital
versions instead of scanning the paper to re-create digitized versions.
A fifth option is for agencies to re-digitize their source records
according to 36 CFR part 1236.
Some agencies might find a combination of these options will be
needed to address any issues with previously scanned paper records.
Delayed Transfers, Access, and NARA Resources
Some commenters expressed a belief that our decision to accept only
digital records after the upcoming digital records deadlines will lead
to delays in agencies transferring records to the National Archives.
They were concerned that NARA's infrastructure and staffing would not
be sufficient to accession and then make available such huge volumes of
digital records, meaning these regulations could effectively shut down
access to records. Instead of delays, we believe agencies will transfer
overdue permanent paper records rather than pay to digitize them. OMB/
NARA Memo M-19-21 states that agencies can transfer permanent paper
records to NARA's Federal Records Centers Program before the upcoming
digital records deadlines, and will then not be responsible for
digitizing those records. NARA crafted several policies that encourage
agencies to transfer overdue permanent records to the National
Archives, including not accepting paper records after the deadlines,
requiring agencies to stop storing inactive records in agency-operated
records centers, and issuing regulations with digitization standards
for temporary and permanent records.
NARA agrees that resources are critical for NARA to successfully
accomplish our mission. NARA invests in our employees, and in
developing and improving our tools, automated processes, and IT
infrastructure to accession digital records. NARA's decision to pivot
to accessioning digital records is part of a strategy to better manage
all records in our holdings. NARA does not think this decision will
impede access to records, but instead will help us improve access to
born digital and digitized records.
Image Quality and Quality Management
Some commenters noted that we adjusted the DICE target values for
the L20 and 21 patches. The relaxed standards for this category are
tailored to documents with no content to be captured in those
measurement regions. NARA acknowledges that there is a distinction
between large scale in terms of size and high speed in terms of time.
Some commenters questioned whether the digitization imaging
standards are exacting enough to ensure that handwritten comments or
embossed seals will be captured when the records are digitized. The
image quality requirements in the regulation are based on FADGI and ISO
specifications and define a minimum set of requirements to be met. NARA
included instructions, based in part on suggested language from
commenters, in 36 CFR 1236.50 to evaluate the characteristics of source
records, including those with legibility issues or special
characteristics, and to select the imaging specifications that best
capture all the information.
Commenters also questioned how to determine the severity of image
defects, such as noise, streaks, or dust, and the usability of the
resulting image. The image analysis described in Sec. 1236.46 is
designed to detect most image defects using objective measurements.
That section also includes visual inspection steps to identify defects
that cannot be discovered automatically. The agency is responsible for
determining the acceptability of subjective factors. The standards in
Sec. 1236.46 call for the agency to proactively correct errors due to
malfunctioning or improperly
[[Page 28414]]
configured equipment or human error. If the agency affirms that they
attempted all appropriate measures to minimize artifacts and defects,
then they must determine whether the level of artifacts obscures
information. Testing and good communications between quality management
staff and project managers should enable the agency to address imaging
defect issues prior to digitization and throughout any digitization
project.
Some commenters questioned the accuracy of the values used for the
technical parameters in the regulation. NARA updated the parameters to
align with the most recent version of the FADGI guidelines.
NARA reorganized the Quality Management section to reflect
suggestions to clarify who performs the various steps for quality
management, assurance, control, and inspection. NARA further clarified
what was to be inspected and whether to perform visual or automated
inspection, and we also explained when to employ sampling ratios from
100% inspection requirements.
NARA revised Sec. 1236.50 in response to requests to better
explain what characteristics of records determine their suitability for
either of the two imaging specifications.
Optical Character Recognition (OCR)
Commenters asked why the regulations do not require optical
character recognition (OCR) scans of records during the digitization
process. OCR accuracy can vary widely, and the results can require
remedial actions to fix errors. Agencies are not required to OCR when
they digitize records because NARA intends to OCR permanent records so
that the results are consistent when searching NARA's catalog. However,
these regulations do not prevent agencies from performing OCR to meet
their own business needs.
File Formats
Some commenters suggested that we expand the versions of PDF/A to
include newer versions such as PDF/A-4. NARA revised Sec. 1236.48 to
allow for newer versions of PDF/A but prohibited some new features.
Some commenters asked that we allow the use of PDF/A-2 with lossy
JPEG2000 compression for use with digitized photographs. NARA
determined that our processing and description requirements are best
served by having photographs digitized using raster image formats
including TIFF, JPEG2000, and PNG. Some commenters pointed out the
discrepancy between acceptable formats listed in the appendix to NARA
Bulletin 2014-04 and those listed in this regulation. NARA will update
the format tables in 2014-04 so that they are consistent with this
regulation.
Some commenters pointed out that once saved, PDF/A does not allow
metadata to be added or edited. NARA revised language to explain that
agencies should develop workflows to produce digital images and capture
required metadata so they can be packaged as digital records. This work
should be completed before the creation of PDF/A files.
The commenters asked that JPEG, CCITT G3/G4, and other forms of
lossy compression be included and suggested that we allow ``visually
lossless,'' or lossy compression. NARA is not including CCITT G3 and G4
compression because these codecs are only appropriate for use with
bitonal (black and white) color mode, which is not permitted. With
regard to practitioners applying ``judicious'' lossy compression, we
have updated the language in the regulation to allow agencies to apply
visually lossless compression during digitization.
Color
Commenters recommended disallowing sRGB as an acceptable color
option because it will result in less accurate color representation in
the resultant digital records. NARA specifies five color spaces for
agencies to choose from depending on the need to convey all information
in the source record. sRGB is an acceptable color space for many
records such as modern textual paper documents, but not for
photographic prints. Color is not mandatory for all records, but the
regulation requires that if the original includes color, the document
must be scanned in color.
Protecting Against Loss
Some commenters asked whether there are safeguards in place to
protect against losing digital records entirely if they are compromised
or corrupted. They questioned what hash value or algorithm agencies
should use to monitor for corruption or alteration; and the frequency,
schedule, grouping, and other details of fixity checks. Under the
existing regulations at 36 CFR 1236.10, agencies are required to ensure
that records are authentic and free of corruption or alteration. While
hash values are the industry standard for monitoring digital records,
due to the number of algorithms in use, it is impractical for us to
specify a single algorithm to be used by all agencies to comply with
this regulation. NARA specifies requirements in Sec. 1236.10 for
ensuring that records created under this regulation remain authentic,
and we will provide additional information in upcoming implementing
guidance.
Agencies are already required by other records management
regulations in 36 CFR chapter XII, subchapter B to maintain digital
records, including protections against loss. See, for example, 36 CFR
1222.26, 1222.34, and 1236.14. Once agencies transfer permanent records
to the National Archives, we maintain them in the Electronic Records
Archives (ERA), which has sufficient management and preservation
controls to protect against loss of the records. NARA's digital
preservation strategy is posted on our website at <a href="https://www.archives.gov/preservation/digital-preservation/strategy">https://www.archives.gov/preservation/digital-preservation/strategy</a>.
Interfiled Photographic Prints and Paper
Another commenter explained that many agencies organize scans of
multipage documents using PDF files and that textual records might have
photo prints interfiled. The commenter stated that not including PDF/A-
2 for scanned prints requires agencies to store scanned prints
separately from textual records they were interfiled with, creating a
higher risk of loss. While we did not add PDF/A-2 as a file format for
photographic prints, we clarified language in Sec. 1236.48 to make it
clear that when there are interspersed files, specifically a mix of
photographic prints and predominately textual records, the agency must
scan the photographs according to requirements in Sec. 1236.50 and
then may convert the image files to PDF files.
Workflows
The commenters also raised concerns about workflows, stating that
prohibiting reformatting, in general, interferes with acceptable
workflows. NARA updated the language to make clear that agencies may
develop workflows in which they capture images in one format and
assemble them into another format for final output, such as saving
image files together in a PDF/A file. However, they must not transcode,
or interpolate (upsample) files anywhere in the workflow.
Metadata Concerns
Some commenters raised concerns about metadata requirements labeled
``mandatory if access restriction exists'' rather than ``mandatory if
applicable''. They also raised concerns about access and use
restrictions, such as why they are included and how they relate to
court orders.
[[Page 28415]]
For any records subject to the access and use restrictions,
agencies must populate the appropriate metadata labels so that the
National Archives can manage the records appropriately. Court orders
are one of the kinds of restrictions that might apply and would need to
be reflected in the metadata. Our regulations at 36 CFR 1226.14 have
long accounted for the possibility that a court might order that
records be expunged, destroyed, or returned. In these situations, the
existing regulations allow an agency to comply with the court order
without fear of being in violation of the Federal Records Act. NARA
expects that the court has considered all applicable laws when entering
such orders and that they are necessary for the administration of
justice. Agencies alert us to such a requirement, and other similar
ones, by using the metadata labels for access and use restrictions.
NARA revised Sec. 1236.54 to provide better instructions for embedding
metadata and how it should be structured and labeled, as well as to
clarify metadata requirements.
Another commenter was concerned that the metadata requirements did
not seem to include a way to disclose that the records are digitized
versions of physical records that may have been destroyed. This could
be important for evidentiary events, such as eDiscovery or FOIA. While
there is not a metadata element that explicitly flags records this way,
the descriptive metadata table does include the mandatory data elements
``source type'' and ``source dimensions,'' which indicate that the
source record was recorded on paper.
The commenters questioned whether the provenance of particular
records and file/office arrangement of the source records will be
preserved or recorded during digitization. Provenance and file/office
records arrangement are aspects of intellectual control and metadata
and are addressed in Sec. Sec. 1236.42 and 1236.44, as well as Sec.
1236.54.
A commenter questioned why NARA requires metadata to be transferred
as a CSV file. CSV is the metadata format required by NARA for digital
records processing.
The commenters asked for clarifications on transfer metadata
guidance. NARA added a new section to clarify that transfer metadata
requirements apply to all records--analog, digitized, and born-digital.
Archival Concerns
Some commenters expressed concern that using improper equipment
might damage source records. NARA added additional language in Sec.
1236.50(c) making clear that agencies must use equipment capable of
digitizing records without damaging them. Another commenter questioned
how to document the required level of detail. NARA revised Sec.
1236.44 to define the requirements that the Project Plan must identify
physical characteristics that may influence the level of detail that
must be captured. NARA also edited Sec. 1236.50 and included more
precise instructions in Sec. 1236.42 directing agencies to evaluate
the characteristics of source records and through testing and analysis,
select the imaging specifications that best capture the information.
In addition, we received some comments about topics that are beyond
the scope of these regulations and are addressed in other statutes,
regulations, or guidance. These included questions about the specific
equipment and processes for digitizing classified information, and
about standards for archiving and transferring ``born-digital'' records
to the National Archives. NARA included language to clarify the fact
that agencies have additional requirements outside the scope of these
regulations.
Vendor/GSA
Commenters raised concerns that FADGI-specific services do not
currently appear on GSA Schedules and asked how NARA and GSA will
manage vendors who offer these services. NARA will engage with GSA
through NARA's Federal Electronic Records Modernization Initiative
(FERMI) program to update the GSA Schedules for Document Conversion and
work with GSA to create self-certification opportunities for vendors
that offer document conversion or digitizing services.
Legal Authority
Some commenters questioned whether NARA exceeded its legal
authority by stating that records will be accepted only in digital
form. NARA has the legal authority to determine what file formats and
media types it will accept for permanent records. When there are
multiple versions of a record, it is appropriate to make choices about
which version to preserve and which version to destroy. NARA considers
digital records to be Federal records and will accept them in place of
analog versions.
Regulatory Analysis
Executive Order 12866, Regulatory Planning and Review, and Executive
Order 13563, Improving Regulation and Regulation Review
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 (to incorporate
technological developments and to account for changing technology and
agency practices), and is not establishing a new program. Although the
proposed revisions change existing requirements and add new ones for
agencies, the requirements are necessary to keep the existing
regulations up-to-date, comply with the statute, and ensure agencies
are preserving records for the United States.
Regulatory Flexibility Act (5 U.S.C. 601, et seq.)
This review requires an agency to prepare an initial regulatory
flexibility analysis and to publish alongside 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). NARA certifies,
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 they 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 (E.O.) 13132 requires agencies to ensure that state
and local officials have the opportunity for meaningful and timely
input when those agencies are 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
[[Page 28416]]
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 cause state, local,
and tribal governments, in the aggregate, or cause the private sector
to expend $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
36 CFR Parts 1224 and 1225
Archives and records, Records management, Records schedules,
Scheduling records.
36 CFR Part 1236
Archives and records, Digitization, Digitized records, Digitizing,
Digital records, Metadata, Permanent records, Records management,
Quality assurance, Quality control, Quality management, Transfers.
For the reasons discussed in the preamble, NARA amends 36 CFR parts
1224, 1225, and 1236 as follows:
PART 1224--RECORDS DISPOSITION PROGRAMS
0
1. The authority citation for part 1224 continues to read as follows:
Authority: 44 U.S.C. 2111, 2904, 3102, and 3301.
0
2. In Sec. 1224.10, in paragraph (c), add a sentence at the end to
read as follows:
Sec. 1224.10 What must agencies do to implement an effective records
disposition program?
* * * * *
(c) * * * Every five years, agencies must review all records
schedules that are ten years old and older, based on the date NARA
approved the schedule, and in accordance with Sec. 1225.22(a) of this
subchapter.
* * * * *
PART 1225--SCHEDULING RECORDS
0
3. The authority citation for part 1225 continues to read as follows:
Authority: 44 U.S.C. 2111, 2904, 2905, 3102, and Chapter 33.
0
4. Amend Sec. 1225.22 by:
0
a. Revising the section heading;
0
b. Removing the introductory text;
0
c. Redesignating paragraphs (a) through (h) as paragraphs (b)(1)
through (8);
0
d. Further redesignating newly redesignated paragraphs (b)(8)(1)
through (4) as paragraphs (b)(8)(i) through (iv);
0
e. Adding new paragraph (a);
0
f. Adding paragraph (b) introductory text; and
0
g. Revising newly redesignated paragraph (b)(1).
The revisions and additions read as follows:
Sec. 1225.22 When must agencies reschedule or review their records
schedules?
(a) Every five years, agencies must review all records schedules
that are ten years old and older, based on the date that NARA approved
the schedule. Agencies may also review their agency records schedules
on a more frequent regular basis to determine if they remain accurate.
(b) Agencies must submit a new records schedule to NARA in the
following situations:
(1) If an interagency reorganization reassigns functions to an
existing department or agency, the gaining organization must submit a
new records schedule to NARA within one year of the reorganization.
Schedules approved for one department or independent agency do not
apply to the records of other departments or agencies.
* * * * *
PART 1236--ELECTRONIC RECORDS MANAGEMENT
0
5. 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
6. Amend Sec. 1236.2 by:
0
a. Revising the section heading;
0
b. Adding in alphabetical order to paragraph (b) definitions for
``Administrative metadata'', ``Checksum'', ``Descriptive metadata'',
``Embedded metadata'', ``Intellectual control,'' ``Media'', ``Mixed-
media files,'' ``Physical characteristics'', ``Physical control'',
``Project plan'', ``Quality assurance (QA)'', ``Quality control (QC)'',
``Quality management (QM)'', ``Technical metadata'', and
``Validating''.
The revision and additions read as follows:
Sec. 1236.2 Definitions that apply to this part.
* * * * *
(b) * * *
Administrative metadata are elements of information used to manage
records and relate them to one another. Administrative metadata
elements describe how a record was created, any access and use
restrictions that apply to it, information about the record series to
which it belongs, and the disposition schedule that identifies its
retention period.
Checksum is a value that is computed on data and is used to
authenticate information by indicating when a file has been corrupted
or modified. This value is also called a ``hash value,'' ``hash code,''
``digest,'' or simply ``hash.''
Descriptive metadata are elements of information that describe the
records or set of records itself. They apply to both the source records
and any versions produced through digitization. Descriptive metadata
for individual source records include such elements as the title of a
record, a description of its contents, its creator, and the date it was
created. These elements support searching for and discovering records.
* * * * *
Embedded metadata are textual components that exist alongside the
content (usually binary data) within the file. Embedded metadata may be
used to make self-describing digital files that contain administrative
rights, and technical metadata and can be appropriately managed outside
of a recordkeeping system.
Intellectual control is the information necessary to identify and
understand the content and context of the records.
Media are the physical forms on which records are stored, such as
paper, photographs, compact discs, DVDs, analog tapes, flash drives,
local hard drives, or servers.
* * * * *
Mixed-media files are records in different forms of media. A file,
when used in the phrase ``mixed-media file,'' is a group of records--
regardless of location and type of media--that belong together or
relate to a topic. For example, a mixed-media case file could be a box
with paper notes, audio recordings of interviews, and a CD of
photographs, along with physical evidence stored separately in an
evidence locker. Records in a file may be in more than one media type
because of how agencies create, maintain, and use records, shifts in
technology, and the topic or activity involved.
Physical characteristics of source records include the media, the
method that information is recorded, the physical condition of the
material, and the smallest level of detail present. The
[[Page 28417]]
physical characteristics of records printed on paper include: the type
of paper (office paper, Thermofax, photographic print); the type of
printing (laser printed, fax printed, typewritten, half-toned,
handwritten); appearance (color, inks, continuous tone or monochrome
images); size, and other methods of conveying information (embossed
seals, stamps). These traits determine the methods and equipment used
to digitize records.
Physical control is having the information necessary to physically
manage records. This includes knowing where the records are housed,
whether any records are missing or stored separately, and the records'
physical form (media types, the records' dimensions, and the physical
characteristics).
Project plan is a document that identifies the records that are to
be digitized, an estimate of their volume and of the media types that
are present, the image quality parameters selected to capture necessary
information, the date range of the records, a copy of the applicable
agency records schedule(s); any indexes used to maintain intellectual
and physical control; and a quality management (QM) section that
describes quality assurance (QA) objectives, quality control (QC)
procedures to identify and correct errors during digitization, and the
QC reports that will be used to identify and remediate errors when
detected.
Quality assurance (QA) refers to proactive QM activities focused on
preventing defects by ensuring that a particular product or service
achieves certain requirements or specifications. A QA program is
heavily dependent on QC data to search for patterns and trends. QA
activities also include controlled experiments, design reviews of
digitization workflows, and system tests. QA programs can improve
quality by creating plans and policies or by creating and conducting
training.
Quality control (QC) refers to QM activities that examine products
through inspection or testing to determine if they meet predetermined
specifications. The purpose is to detect defects (deviations from
predetermined requirements) in products or processes.
Quality management (QM) refers to the overall management functions
and underlying activities that determine quality policies, objectives,
and responsibilities, and that implement them through planning,
control, assurance, and improvement methods within the quality system.
Technical metadata are elements of information that describe the
properties of computer files, the hardware used to create them, and the
parameters used by systems to render them. Technical metadata may
include elements such as a file's byte size, file format and version,
color encoding, and the type of equipment used to make the file (for
example, camera name or scanner manufacturer).
* * * * *
Validating is the process of ensuring that the records meet the
requirements of this part.
0
7. Add subpart E to read as follows:
Subpart E--Digitizing Permanent Federal Records
Sec.
1236.40 Scope of this subpart.
1236.41 Definitions for this subpart.
1236.42 Records management requirements.
1236.44 Documenting digitization projects.
1236.46 Quality management requirements.
1236.48 File format requirements.
1236.50 Requirements for digitizing permanent paper and photographic
print records.
1236.52 Requirements for digitizing permanent mixed-media records.
1236.54 Metadata requirements.
1236.56 Validating digitized records and disposition authorities.
Subpart E--Digitizing Permanent Federal Records
Sec. 1236.40 Scope of this subpart.
(a) This subpart establishes processes and requirements to ensure
that agencies:
(1) Identify the records the agency will digitize in each project;
(2) Account for all records covered by the project, regardless of
media type;
(3) Implement quality management techniques to verify equipment
performance and monitor processes to detect and correct errors;
(4) Produce complete and accurate digitized records that the agency
can use for all the same purposes as the source records; and
(5) Validate that the resulting digitized records meet the
standards in this subpart.
(b) This subpart covers the standards and procedures agencies must
apply when digitizing permanent paper records using reflective
digitization techniques. Such records include most paper-based
documents, regardless of size, such as modern textual documents, maps,
posters, manuscripts, graphic arts prints (for example, lithographs or
intaglio), drawings, bound volumes, and photographic prints. This
subpart also covers any records that may be incorporated into mixed-
media records.
(c) This subpart does not cover standards and procedures agencies
must apply when digitizing permanent records using transmissive
digitization techniques. Such records include photographic negatives,
transparencies, aerial film, roll film, and micrographic and
radiographic materials. In addition, this subpart does not cover
digitizing records on dynamic media. Such records include motion
picture film, video, and audio tapes.
(d) For guidance on digitizing out-of-scope media types or non-
paper-based portions of mixed-media records, such as dynamic media,
radiographic, negative or positive film, or other special media types,
please contact the Records Management Policy and Standards Team by
email at <a href="/cdn-cgi/l/email-protection#addfc0ded9ccc3c9ccdfc9deedc3ccdfcc83cac2db"><span class="__cf_email__" data-cfemail="50223d2324313e3431223423103e3122317e373f26">[email protected]</span></a> or by phone at 301-837-1948.
(e) This subpart does not require that optical character
recognition (OCR) be performed during digitization. However, these
regulations do not prevent agencies from performing OCR to meet their
business needs.
(f) This subpart does not address other applicable laws and
regulations governing documents and digital files, including, but not
limited to, proper handling of classified or controlled unclassified
information (CUI) and compliance with 36 CFR part 1194 (section 508).
Agencies should work with their legal counsel and other officials to
ensure compliance with these and other applicable requirements.
(g) This subpart also does not address other business needs or
legal constraints that may make it necessary for an agency to retain
source records for a period of time after digitizing. Agencies should
work with their legal counsel and other officials to determine whether
such retention might be necessary because it relates to rights and
interests, appeal rights, benefits, national security, litigation
holds, or other similar reasons.
Sec. 1236.41 Definitions for this subpart.
In addition to the definitions contained in Sec. 1220.18 of this
subchapter and Sec. 1236.2, the following definitions apply to this
subpart:
Accuracy is the degree to which the information correctly describes
the object or process being measured. It can be thought of in terms of
how close a reading or average of readings is to a true or target
value. Accuracy is a different measure than precision.
Adobe RGB is a red, green, blue color space developed to display on
computer monitors most of the colors that CMYK color printers produce.
The Adobe RGB color space is significantly larger than the sRGB color
space, particularly in the cyan and green regions.
[[Page 28418]]
Aimpoint is a specific value assigned to a given metric to assess
performance achievement.
Artifact (defect) is a general term to describe a broad range of
undesirable flaws or distortions in digital reproductions produced
during image capture or data processing. Some common forms of image
artifacts include noise, chromatic aberration, blooming, interpolation,
and imperfections created by compression.
Batch is a group of files that are created under the same
conditions or are related intellectually or physically. During
digitization, batches represent groups of records that are digitized
and undergo QC inspection processes together.
Bit depth is the number of bits used to represent each pixel in an
image. The term is sometimes used to represent bits per pixel and at
other times, the total number of bits used multiplied by the number of
total channels. For example, a typical color image using 8 bits per
channel is often referred to as a 24-bit color image (8 bits x 3
channels). Color scanners and digital cameras typically produce 24-bit
(8 bits x 3 channels) images or 36-bit (12 bits x 3 channels) capture,
and high-end devices can produce 48-bit (16-bit x 3 channels) images.
Bit depth is also referred to as ``color depth.''
Clipping is the abrupt truncation of a signal when the signal
exceeds a system's ability to differentiate signal values above or
below a particular level. In the case of images, the result is that
there is no differentiation of light tones when the clipping is at the
high end of signal amplitude, and no differentiation of dark tones when
clipping occurs at the low end of signal amplitude.
CMYK is a subtractive color model used in printing that is based on
cyan (C), magenta (M), yellow (Y), and black (K). These are typically
referred to as ``process colors.'' Cyan absorbs the red component of
white light, magenta absorbs green, and yellow absorbs blue. In theory,
the mix of the three colors will produce black, but black ink is also
used to increase the density of black in a print.
Color accuracy is measured by computing the color difference
([Delta]E2000) between the digital imaging results of the standard
target patches and their premeasured color values. By imaging an
appropriate target and evaluating through the software, variances from
known values can be determined, which is a good indicator of how
accurately the system is recording color. Analytical software measures
the average deviation of all color patches measured (the mean).
Color channel misregistration is the measurement of color-to-color
spatial dislocation of otherwise spatially coincident color features of
a digitized object.
Color management is using software, hardware, and procedures to
measure and control color in an imaging system, including capture and
display devices.
Color space is a specific organization of colors that supports
reproducible representations of color in combination with color
profiling supported by various devices. A color space can be a helpful
conceptual tool for describing or understanding the color capabilities
of a particular device or digital file. Examples of color spaces
include Adobe RGB 1998, sRGB, ECIRGB_v2, and ProPhoto RGB.
Compression, lossless is a technique for data compression that will
allow the decompressed data to be exactly the same as the original data
before compression, bit-for-bit. The compression of data is achieved by
coding redundant data in a more efficient manner than in the
uncompressed format.
Compression, visually lossless is a form or manner of lossy
compression where the data that is lost after the file is compressed
and decompressed is not detectable to the human eye; the compressed
data appearing identical to the uncompressed data.
Digital Image Conformance Evaluation (DICE) is the measurement and
monitoring component of the Federal Agencies Digital Guidelines
Initiative (FADGI) Conformance Program. The program consists of
measuring ISO-compliant reference targets and using analysis software
such as OpenDICE for testing and monitoring digitization programs to
ensure they meet FADGI technical parameters. Agencies can access FADGI-
compliant tools and resources online at <a href="http://www.digitizationguidelines.gov/guidelines/digitize-OpenDice.html">http://www.digitizationguidelines.gov/guidelines/digitize-OpenDice.html</a>.
Digitization project is any action an agency (including an agent
acting on the agency's behalf, such as a contractor) takes to digitize
permanent records. For example, a digitization project can range from a
one-time digitization effort to a multiyear digitization process; can
involve digitizing a single document into a digital records management
system or digitizing boxes of records from storage facilities; or can
include digitizing active records as part of an ongoing business
process or digitizing inactive records for better access.
Digitized record is a digital record created by converting paper or
other media formats to a digital form that is of sufficient
authenticity, reliability, usability, and integrity to serve in place
of the source record.
Dynamic range is the ratio between the smallest and largest
possible values of a changeable quantity, frequently encountered in
imaging or recorded sound. Dynamic range is another way of stating the
maximum signal-to-noise ratio.
Federal Agencies Digital Guidelines Initiative (FADGI) is a
collaborative effort by Federal agencies to articulate Technical
Guidelines that form the basis for many of the technical parameters in
this part, which equate to the FADGI three-star level. Agencies can
access FADGI online at <a href="http://www.digitizationguidelines.gov/guidelines/digitize-technical.html">http://www.digitizationguidelines.gov/guidelines/digitize-technical.html</a>.
Grayscale is an image type lacking any chromatic data, consisting
of shades of gray ranging from white to black. Most commonly seen as
having 8 bits per pixel, allowing for 256 shades or levels of
intensity.
Image quality is the degree of perceived or objective measurement
of a digital image's overall accuracy in faithfully reproducing an
original. A digital image created to a high degree of accuracy meets or
exceeds objective performance attributes (such as level of detail,
tonal and color fidelity, and correct exposure), and has minimal
defects (such as noise, compression artifacts, or distortion).
Lightness uniformity measures how evenly a lens records the
lighting of neutral reference targets from center to edge and between
points within the image.
Modulation transfer function (MTF)/spatial frequency response (SFR)
is the modulation ratio between the output image and the ideal image.
SFR measures the imaging system's ability to maintain contrast between
progressively smaller image details. Using these two functions, a
system can make an accurate determination of resolution related to the
sampling frequency.
Newton's Rings are interference patterns that appear as a series of
concentric, alternating light and dark rings of colored light (when
imaged in a color mode). This type of interference is caused when
smooth transparent surfaces come into contact with small gaps of air
between the surfaces. The light waves reflect from the top and bottom
surfaces of the air film formed between the surfaces, causing light
rays to constructively or destructively interfere with each other. The
areas where there is constructive interference will appear as light
bands and the areas where there is destructive interference will appear
as dark bands.
[[Page 28419]]
Noise is one or more undesirable image artifact(s) in a digitized
record that is not part of the source material.
Pixels per inch (ppi), describes the resolution capabilities of an
imaging device, such as a scanner, or the resolution of a digital
image. PPI is different from dots per inch (dpi).
Posterization is an effect produced by reducing the number of tones
(colors) in an image so that there is a noticeable distinction between
one tone and another instead of a gradual shift between them.
Precision is the characteristic of measurement that relates to the
consistency between multiple measurements, under uniform conditions, of
the same item or process. As opposed to accuracy, precision does not
indicate how close a measurement is to a true value.
Quantization is a lossy compression technique that involves
compressing a range of values to a single quantum value, usually to
reduce file size. This may result in flaws in an image, such as
posterization, caused by reducing the data available in an image file
to represent aspects like colors.
Raster image is a digitally encoded representation of a subject's
tonal and brightness information into a bitmap. Data from digital
cameras and scanning devices record light characteristics as numerical
values into a grid, or raster, of picture elements (pixels).
Reference target is a chart of test patterns and patches with known
standard values used to evaluate the performance of an imaging system.
Reflective digitization is a process in which an imaging system
captures reflected light off of scanned objects such as bound volumes,
loose pages, cartographic materials, illustrations, posters,
photographic prints, or newsprint.
Reproduction scale accuracy measures the relationship between the
physical size of the original object and the size in pixels per inch
(PPI) of that object in the digital image.
Resolution is the level of spatial detail rendered by an imaging
system as measured by MTF/SFR.
Sampling frequency measures the imaging spatial resolution and is
computed as the physical pixel count or pixels per unit of measurement,
such as pixels per inch (PPI). This parameter provides information
about the size of the original and the data needed to determine the
level of detail recorded in the file. (See also modulation transfer
function (MTF)/spatial frequency response (SFR).)
Sharpening artificially enhances details to create the illusion of
greater definition. Image quality testing using the SFR quantifies the
level of sharpening introduced by imaging systems or applied by users
in post-processing actions.
Source record is the record from which a digitized version or
digitized record is created. The source record should be the record
copy that was used in the course of agency business.
Spatial resolution determines the amount (for example, quantity,
PPI, megapixels) of data in a raster image file in terms of the number
of picture elements or pixels per unit of measurement, but it does not
define or guarantee the quality of the information. Spatial resolution
defines how finely or widely spaced the individual pixels are from each
other. The actual rendition of fine detail is more dependent on the SFR
of the scanner or digital camera.
sRGB is a standard RGB color space created by HP and Microsoft for
use on monitors, printers, and the internet. sRGB uses the ITU-R
BT.709-5 primaries that are also used in studio monitors and HDTV, and
a transfer function (gamma correction) typical of CRTs (cathode ray
tube TVs and computer monitors), all of which permits sRGB to be
directly displayed on typical monitors. The sRGB gamma is not
represented by a single numerical value. The overall gamma is
approximately 2.2, consisting of a linear (gamma 1.0) section near
black, and a non-linear section elsewhere involving a 2.4 exponent and
a gamma changing from 1.0 through about 2.3.
Tolerance is the allowable deviation from a specified value.
Tone response or optoelectronic conversion function (OECF) is a
measure of how accurately the digital imaging system converts light
levels into digital pixels.
Transmissive digitization is a process in which the system
transmits light through a photographic slide or negative.
White balance error is a measurement of the digital file's color
neutrality. The definition of ``neutral'' is not universal: RGB
workflows that use digital count values encode neutral as defined by
the International Color Consortium (ICC) color space chosen. L*a*b*
workflows define neutral as 0 on the a* axis and b* axis, with the
lightness recorded from 0-100 on the L* axis.
Sec. 1236.42 Records management requirements.
(a) Before starting a digitization project, agencies must establish
intellectual control of the records that will be digitized.
Intellectual control means having the information necessary to identify
and understand the content and context of the records. One traditional
records management technique to establish intellectual control is the
creation of an inventory. The inventory must identify whether the
records are complete, if there are any gaps in coverage or missing
records, the presence of any mixed-media records, the disposition
schedule under which the records fall, the date range when the records
were created, any access or use restrictions that apply to the records,
and the records' storage location.
(b) Agencies must identify any relationships between the source
records in order to retain these relationships between the digitized
versions. For example, are there case files that are associated by case
number? Does a folder contain multiple documents that are stapled
together? Are there digital components of a mixed-media file stored on
removable media (DVD or USB drives)? What is the relationship of the
folder to other folders in a box? Any relationships must be captured as
part of the digitization process:
(1) Through metadata (See Sec. 1236.54 for metadata requirements);
(2) By organizing the folder structure of a file system;
(3) By using file formats that allow for multi-page files, such as
PDF or TIFF; or
(4) Through a combination of these approaches.
(c) In addition, the inventory can be used to identify all the
elements of physical control needed for the records to be digitized.
Physical control includes understanding the physical characteristics of
source records. Physical characteristics determine a project's scope,
and the image capture techniques and equipment to be used. For example,
the type of paper, the type of printing, or the size of the records can
impact what methods and equipment are used to digitize records.
(d) There are additional considerations for managing the source
records during the digitization process:
(1) Ensure there are appropriate safeguards for the source records
to prevent their loss or damage.
(2) Restrict access to source records while they are being
digitized to minimize the risk of unauthorized additions, deletions, or
alterations.
(3) Ensure there is a process to identify and document gaps in
coverage or missing records.
(e) Agencies must ensure that records are free from unauthorized
alteration, destruction, or deletion by complying with the mechanisms
and controls specified in Sec. Sec. 1236.10 and 1236.20:
[[Page 28420]]
(1) The agency may generate checksums using the SHA-256 hash
algorithm and record them as technical metadata in a recordkeeping
system for each image file when digitization is complete and the agency
determines that the records are no longer in active use and the
metadata are no longer subject to any changes that may result from
ongoing business use. Use the checksums to monitor the digitized
records for corruption or alteration and capture them as metadata as
required in Sec. 1236.54; or
(2) The agency may perform file integrity monitoring or file
comparison audits.
(f) If there are born-digital records that are part of the record
series within the project, follow the instructions for managing mixed-
media records in Sec. 1236.52.
Sec. 1236.44 Documenting digitization projects.
Agencies must create digital documentation when digitizing
permanent source records. The agency must retain this documentation
alongside the digitized records until the digitized records have been
transferred to NARA and NARA has notified the agency that the
accessioning process is complete. The agency must dispose of the
documentation in accordance with an appropriate General Records
Schedule (GRS) or agency records schedule. The required documentation
will help the agency populate the Transfer Request instrument (TR) in
NARA's Electronic Records Archives (ERA). The following documents are
required:
(a) A defined project plan that identifies:
(1) Record series or file units to be digitized;
(2) Method that will be used to name digitized records;
(3) Estimated date range of the source records;
(4) Missing pages;
(5) Gaps or missing records in the series. Depending on the type of
gap or missing records, indicate if there will be charge-out cards for
skipped or missing records that will be inter-filed if they are
transferred at a later date;
(6) Estimated volume, media types, dimensions, physical
characteristics, and condition of the source records;
(7) Equipment and software used to digitize records;
(8) Estimated file storage requirements for the digitized records.
The file storage needs may affect project decisions, such as
compression and file format;
(9) Any access or use restrictions that apply to the records;
(10) Method used to capture the relationships that exist between
source records once they are digitized; and
(11) Any metadata element labels that differ from those specified
in Sec. 1236.54.
(b) Any information needed to associate the digitized records to
the source records' agency records schedule(s) including the item
numbers;
(c) Any related finding aids, indexes, inventories, logs,
registers, or metadata schemas the agency uses to manage the records
that can serve as sources for the metadata required in Sec. 1236.54.
(d) A quality management (QM) plan that ensures the project meets
the quality assurance (QA) objectives and quality control (QC)
inspection procedures.
(1) The quality management plan must include the policies,
functions, roles, responsibilities, requirements, and objectives for
the project.
(2) The quality assurance component of the QM plan must include
documentation of:
(i) Image quality performance parameters selected to capture the
information present in the source records;
(ii) Equipment and device acceptance testing methods and results;
(iii) Design reviews to evaluate if digitization workflows meet the
requirements; and
(iv) Training conducted.
(3) The quality control component of the QM plan must document:
(i) The procedures used to inspect image quality;
(ii) The procedures used to inspect metadata quality;
(iii) The corrective actions taken to mitigate deviations
throughout all phases of the project; and
(iv) The procedures used to verify that digitized records conform
to the requirements.
Sec. 1236.46 Quality management requirements.
(a) Quality assurance (QA) requirements. The agency must meet the
image quality performance parameters specified in Sec. 1236.50 by
verifying how well the equipment meets the aim points and tolerances of
the parameters. The agency cannot rely solely on equipment
specifications, such as scanner ppi settings or camera sensor
megapixels, to ensure digital image quality.
(1) The agency must use QA processes to:
(i) Quantify scanner or camera performance before selecting the
equipment by scanning a reference target and measuring the results with
analytical software to determine if the equipment meets the technical
parameters.
(ii) Evaluate internal or external vendor imaging systems against
image quality performance parameters;
(iii) Monitor equipment performance by quantifying scanner or
camera performance during digitization; and
(iv) Verify that resulting digital files meet project
specifications.
(b) Quality Control (QC) requirements. The agency must implement QC
inspection and monitoring processes to ensure that images meet the
digitization image quality parameters in Sec. 1236.50.
(1) The Federal Agencies Digital Guidelines Initiative (FADGI)
Digital Image Conformance Evaluation program (DICE) is a QC inspection
and monitoring process that uses image targets and analysis software to
verify compliance. Applied properly, this methodology will ensure
agencies meet the requirements in Sec. 1236.50.
(2) If the agency does not adopt the FADGI Conformance Evaluation
program, it must document both the procedures used and how it verified
conformance to the quality parameters.
(c) Quality Control (QC) testing and analysis. During the
digitization process, the agency must perform QC testing and analysis
to identify malfunctioning or improperly configured digitization
equipment, improper software application settings, incorrect metadata
capture, or human error, and take corrective actions. It must:
(1) Implement an image quality analysis process and use reference
targets to verify that digitization devices conform to imaging
parameters in this subpart;
(2) Replace reference targets as they fade or accumulate dirt,
scratches, and other surface marks that reduce their usability;
(3) Regularly test equipment to ensure scanners and digital
cameras/copy systems are performing optimally. It must:
(i) Scan a reference target containing a grayscale, color chart,
and accurate dimensional scale at the beginning of each workday;
(ii) Use image quality analysis software to verify that the
performance evaluation specifications are being met; and
(iii) Perform additional tests when problems are detected.
(4) Test equipment with the specific software/device driver
combination(s), and re-test after any changes to the workflow; and
(5) Ensure that equipment operation, settings, and image processing
actions are the same as those used to evaluate
[[Page 28421]]
the test target. Turn off auto correction settings in the capture
equipment such as ``auto exposure'' that may cause non-conformance of
the target evaluation or the resulting image files.
(d) Quality control inspection. (1) The agency must perform QC
inspections of the digital records for compliance with the technical
parameters and criteria specified in this subpart. The inspection must
ensure 100% of the image files:
(i) Can open and be displayed;
(ii) Are encoded with a compression type and in a format specified
in Sec. 1236.48; and
(iii) Have the resolution, color mode, bit depth, and color profile
specified in Sec. 1236.50.
(2) The agency must perform a visual inspection using a
statistically valid technique:
(i) The agency may visually inspect a random sample of a minimum of
ten digital records or 10% of each batch of digital records, whichever
is larger; or
(ii) The agency may employ a statistically valid sampling plan to
verify that the image quality, file quality, metadata quality, and
completeness requirements have been met. Agencies that employ their own
sampling technique must include documentation of the method used, as
specified in Sec. 1236.44(d)(3)(i).
(3) Visual inspection must be conducted using a calibrated graphics
workstation and using a monitor set to 100% magnification to check the
following image quality characteristics:
(i) Image tone, brightness, contrast, and color accuracy match the
specifications in Sec. 1236.50;
(ii) Images are free from clipping (missing detail lost in
highlights or shadows);
(iii) Images are free from color channel misregistration, or
quantization errors;
(iv) Images are free of any image artifacts that compromise the
informational content of the record, such as dust, Newton's rings,
missing pixels, scan lines, drop-outs, flare, or over-sharpening; and
(v) Images are not improperly cropped, have the expected dimensions
and orientation (landscape/horizontal or portrait/vertical), and images
are not flipped, inverted, or skewed.
(e) Corrective measures. If the inspection reveals errors, perform
the following steps until there is a 100% success rate for the sample
set:
(1) If 1% or more of examined records fail to meet any of the
criteria in Sec. 1236.50, determine the source and scope of any
errors, correct or re-digitize affected records, and reinspect the
images by following the requirements in paragraph (d) of this section;
(2) If less than 1% of examined records fail to meet any of the
criteria in Sec. 1236.50, determine the source and scope of any errors
and correct or re-digitize the affected records.
(f) Inspection for other quality aspects. The agency must inspect
the resulting files to verify that they meet the metadata and records
completeness requirements:
(1) Metadata quality. The agency must evaluate the accuracy of
metadata. This may be done using automated techniques if appropriate.
Otherwise, the QC inspections must be done manually. These inspections
must ensure that:
(i) Files are named according to project specifications; and
(ii) Correct administrative, descriptive, and technical metadata
are captured in a recordkeeping system and in image files.
(2) Records completeness. The agency must employ automated and
visual inspection processes to verify the completeness and accuracy of
digitization:
(i) Verify that all records have been accounted for by referring to
box lists, folder title lists, or other inventories;
(ii) Compare source records with their digitized versions to verify
that 100% of the informational content has been captured;
(iii) Compare source records with their digitized versions to
verify the digitized records are in the same order;
(iv) Examine records for related envelopes, notes, or other forms
of media to verify that all sources of record information have been
digitized;
(v) Verify that any mixed-media records that cannot be digitized
are associated with the digitized records using the ``Relation''
metadata elements in Sec. 1236.54(c); and
(vi) Confirm that missing pages or images have been noted in the
project documentation.
Sec. 1236.48 File format requirements.
(a) The agency must encode, retain, and transfer digitized records
in one of the following file formats, either uncompressed or using one
of the specified compression codecs in tables 1 and 2 to this section.
(1) Agencies that combine multiple uncompressed TIFF images into
PDF/A files using JPEG2000 compression must perform the quality
inspection step specified in 1236.46(d) against the resulting PDF/A
files.
(2) When using JPEG 2000 visually lossless compression, agencies
must determine the amount of compression to apply, not to exceed 20:1,
by performing tests and visually evaluating for compression artifacts
that obscure or alter the information content.
(b) The agency must encode, retain, and transfer digitized
permanent paper records in one of the following file formats, either
uncompressed or with one of the compression codecs specified in table 1
to this paragraph (b).
Table 1 to Paragraph (b)--File Format Requirements for Digitized
Permanent Paper Records Table
------------------------------------------------------------------------
Format name and version Acceptable compression codecs
------------------------------------------------------------------------
TIFF 6.0............................... Uncompressed, Deflate (ZIP).
JPEG2000 part 1 (ISO/IEC 15444-1:2019). JPEG 2000 part 1 core coding
system lossless compression.
Agencies may use up to 20:1
visually lossless compression.
Portable network graphics 1.2 (PNG).... Deflate (ZIP).
PDF/A (Select any version of PDF/A that Deflate (ZIP), JPEG 2000 part 1
meets project requirements. However, core coding system lossless
do not use the attachments feature in compression. Agencies may use
PDF/A-3 or PDF/A-4. up to 20:1 visually lossless
compression.
------------------------------------------------------------------------
(c) The agency must encode, retain, and transfer digitized
photographic print records in one of the following file formats, either
uncompressed or with one of the compression codecs specified in the
table 2 to this paragraph (c).
(1) For a series of predominantly textual records with interspersed
photographic prints, use the formats in table 1 to paragraph (b) of
this section for paper records. All photographic prints must be
digitized according to the standards in Sec. 1236.50.
(2) For a series of predominantly printed photographs, including
those with paper records interspersed, use the
[[Page 28422]]
file formats in table 2 to this paragraph (c) for photographic print
records.
(3) However, the agency must not transcode, or interpolate
(upsample) files anywhere in the workflow.
Table 2 to Paragraph (c)--File Format Requirements for Digitized
Permanent Photographic Print Records Table
------------------------------------------------------------------------
Format name and version Acceptable compression codecs
------------------------------------------------------------------------
TIFF 6.0............................... Uncompressed, Deflate (ZIP).
JPEG2000 part 1 (ISO/IEC 15444-1:2019). JPEG 2000 part 1 core coding
system lossless compression.
Agencies may use up to 20:1
visually lossless compression.
Portable network graphics 1.2 (PNG).... Deflate (ZIP).
------------------------------------------------------------------------
Sec. 1236.50 Requirements for digitizing permanent paper and
photographic print records.
(a) Overview. This section describes the minimum requirements
appropriate for digitizing paper records. Depending on the physical
characteristics of the source records, the agency must select the
applicable specifications described in either table 1 to paragraph (d)
of this section for modern textual paper records or the table 2 to
paragraph (e) of this section for photographic prints and paper records
with fine details. Agencies must implement appropriate equipment,
lighting, special handling, or imaging methods to ensure the capture of
all information. Agencies may exceed these requirements, if necessary,
to capture fine detail or to meet their own business needs.
(b) Image quality parameters. The performance parameters are based
on FADGI three-star aim points and tolerance ranges.
(c) Equipment requirements. The equipment used to digitize Federal
records must be appropriate for the media type, and capable of
achieving documented project objectives without damaging the source
records.
(d) Requirements for digitizing modern textual paper records. For
these records, produce image files at a minimum of 300 ppi sized to the
source document.
(1) Records suitable for the specifications in table 1 to this
paragraph (d) for modern textual paper records are modern textual
documents with a well-defined printed type (such as typeset, typed,
laser-printed), and with moderate to high contrast between the ink of
the text and the paper background. Performance metric values in table 1
for modern textual paper records conform to the FADGI ``Documents
(Unbound): Modern Textual Records'' category, and are appropriate when
source records do not have visible content with L* values darker than
20. Neutral reference patches on the evaluation test target with L*
less than 20 are not used for analysis.
(2) For other paper records such as manuscripts, illustrations,
graphics, and documents with poor legibility or diffuse characters
(such as carbon copies or Thermofax) that have visible content with L*
values darker than 20, agencies must evaluate neutral reference patches
on the evaluation test target with L* greater than 20. (These values
equate to FADGI three-star for ``Documents (Unbound): General
Collections'').
(3) The agency must digitize in an acceptable RGB color mode if
records contain color or other characteristics that are necessary to
interpret the information of the source record, or that would be lost
when digitizing using grayscale gamma 2.2.
(4) At a minimum, the agency must digitize the paper records
covered by this paragraph to the following parameters:
Table 1 to Paragraph (d)--Requirements for Digitizing Permanent, Modern
Textual Paper Records Table
------------------------------------------------------------------------
------------------------------------------------------------------------
Digital file specifications Attributes
------------------------------------------------------------------------
Color mode.............................. color or grayscale.
Bit depth............................... 8 or 16.
Color space............................. gray gamma 2.2, AdobeRGB1998,
sRGB, ProPhoto RGB, ECIRGBv2.
Resolution (Sampling Frequency) (Units >=294 ppi (300 ppi--2%).
are Pixels Per Inch/ppi minus
Reproduction Scale Accuracy).
------------------------------------------------------------------------
Measurement parameters Performance metric values
Difference from aim (applies
to 20 <= L* <= 100).
------------------------------------------------------------------------
Tone Response (OECF) L* (Units <plus-minus> 5.
Colorimetric [Delta]L*) gray patches
that meet the measurement parameters.
White Balance (Units Colorimetric <=4%.
[Delta]E(a*b*)) gray patches that meet
the measurement parameters.
Lightness Uniformity (Units <=3%.
Colorimetric--Standard Deviation
Divided by Mean L*).
Average Color Accuracy (Units <= 3.5.
Colorimetric--Mean [Delta]E 2000--for
patches meeting the measurement
parameters).
Color Accuracy 90th Percentile (Units <= 8.75.
Colorimetric--2.5 times average
deviation for patches meeting the
measurement parameters).
Color Channel Misregistration (Units < 0.5 pixel.
Pixels).
SFR 10 (Sampling Efficiency) >80%.
(Measurement is a Ratio %).
MTF50 (50% SFR) (Percentage of Half Percentage of half sampling
Sampling Frequency) [Lower, Upper]. frequency: [>40%, <75%].
Reproduction Scale Accuracy (Units % <<plus-minus>2%.
Difference from Header PPI).
Sharpening (Units Max Modulation)....... < 1.1.
Noise (Upper Limit) (Units Std Dev of <= 2.
L*).
[[Page 28423]]
Noise (Warning Limit) (Units Std Dev of >=.25.
L*).
------------------------------------------------------------------------
(e) Requirements for digitizing photographic prints and paper
records that have fine details. Records that have fine detail, require
a high degree of color accuracy, or have other unique characteristics,
must be captured using the specifications in table 2 to this paragraph
(e) for photographic prints and paper records with fine details. For
these records, produce image files (as described table 2) at a minimum
of 400 ppi sized to the source document (these performance values
equate to FADGI three-star category ``Prints and Photographs''). It may
be necessary to apply a higher resolution than the minimum for some
records that have fine detail.
(1) These specifications apply to records such as photographic
prints, graphic-arts prints (for example, lithographs or intaglio),
drawings, embossed seals, and records that have information that cannot
be captured by the parameters in table 1 to paragraph (d) of this
section for modern textual paper records.
(i) For records in which the smallest significant detail is 1.0 mm
or smaller, such as aerial photographs and topographic maps (which
require a high degree of enlargement and precision to ensure the
dimensional accuracy of the scans), the agency must increase the
resolution to capture all the information in the source record.
(ii) For many imaging devices, increasing the ppi settings may not
increase the actual resolution level or capture the desired detail. The
equipment for digitizing records with fine detail must be capable of
meeting the higher quality parameters. It may be necessary to exceed
the parameters in table 2 to this paragraph (e) to capture all the
information inherent in the records.
(2) The agency must digitize photographic prints, including
monochrome and black and white, using a color mode.
(3) The agency must digitize in an acceptable color mode if records
contain color or other characteristics that are necessary to interpret
the information of the source record, or that would be lost when
digitizing using grayscale gamma 2.2.
(4) At a minimum, agencies must digitize all records covered by
this paragraph to the following parameters:
Table 2 to Paragraph (e)--Requirements for Digitizing Permanent,
Photographic Print Records and Paper Records That Have Fine Details
------------------------------------------------------------------------
------------------------------------------------------------------------
Digital file specifications Attributes
------------------------------------------------------------------------
Color mode.............................. color or grayscale.
Bit depth............................... 8 or 16.
Color space............................. Gray gamma 2.2, AdobeRGB1998,
ProPhoto RGB, ECIRGBv2.
Resolution (Sampling Frequency) (Units >=392 ppi (400 ppi--2%).
are Pixels Per Inch/ppi minus
Reproduction Scale Accuracy).
------------------------------------------------------------------------
Measurement parameters Performance metric values
------------------------------------------------------------------------
Tone Response (OECF) L* (Units <plus-minus> 4.
Colorimetric [Delta]L2000*) for any
given gray patch.
White Balance (Units Colorimetric <=4.
[Delta]E(a*b*)) for any given gray
patch.
Lightness Uniformity (Units Colorimetric <3%.
- Standard Deviation Divided by Mean).
Average Color Accuracy(Units <3.5.
Colorimetric--Mean [Delta]E 2000--
average deviation of all patches).
Color Accuracy 90th Percentile (Units <8.75.
Colorimetric--2.5 times average
deviation of all patches).
Color Channel Misregistration (Units <0.5 pixel.
Pixels).
SFR10 (Sampling Efficiency) (Measurement 80%.
is a Ratio %).
SFR50 (50% SFR) (Units Percentage of Percentage of half sampling
Half Sampling Frequency) [Lower, Upper]. frequency: [>40%, <75%].
Reproduction Scale Accuracy (Units % <<plus-minus> 2%.
Difference from Header PPI).
Sharpening (Units Max Modulation)....... <1.1.
Noise (Upper Limit) (Units Std Dev of <2.
L*).
Noise (Lower Limit) (Units Std Dev of >=.25.
L*)--A warning should be raised if the
image doesn't meet this criteria.
------------------------------------------------------------------------
Sec. 1236.52 Requirements for digitizing permanent mixed-media
records.
Mixed-media files are records that belong together or relate to a
common topic and are stored on more than one media type. Mixed-media
files result from the processes agencies use to create, maintain, and
use records. For example, a case file may include paper records, online
digital records, and digital records on storage media.
(a) For any non-paper media, agencies must analyze the contents to
determine whether any files are records.
(1) If the media contains records that are temporary, manage them
according to their appropriate GRS or agency-specific records
authority.
(2) If the media contains records that are permanent, but not part
of the digitized record series, locate their disposition schedule and
capture them in a digital information system that complies with the
requirements in
[[Page 28424]]
Sec. 1222.26 of this subchapter and Sec. Sec. 1236.10 through
1236.14.
(3) If the media contains born-digital components of mixed-media
files that are related to the digitized records series, capture the
born-digital records in a recordkeeping system in accordance with Sec.
1222.26 of this subchapter and associate the born-digital records with
any related records once they are digitized using the ``Relation''
metadata elements in Sec. 1236.54.
(4) If they are permanent records stored on a media type that is
out of scope for this subpart, document this information according to
the instructions in Sec. 1236.44. Agencies must maintain the
association between records using the ``Relation'' metadata elements
specified in Sec. 1236.54.
(b) Contact the Records Management Policy and Standards Team at
<a href="/cdn-cgi/l/email-protection#23514e5057424d4742514750634d4251420d444c55"><span class="__cf_email__" data-cfemail="36445b454257585257445245765857445718515940">[email protected]</span></a> for guidance on what to do with types of media in
a mixed-media file that are outside the scope of this subpart, such as
dynamic media, x-rays, negative or positive film, or other special
media types.
Sec. 1236.54 Metadata requirements.
(a) General. To ensure that intellectual and physical control of
the digital records can be maintained, this regulation specifies
metadata elements that must be captured in a recordkeeping system, or
embedded in each file, or both captured in a recordkeeping system and
embedded in each file. Ensure that the metadata remains accurate and
consistent regardless of where it is stored.
(1) If using metadata to capture relationships between source
records as required in Sec. 1236.42(b), agencies must use the
``Relation'' metadata elements in table 1 to paragraph (c)(1) of this
section for basic administrative metadata.
(2) If using different metadata labels from the ones required in
this section, agencies must document the labels that the agency uses
and note this in the Details section of the ERA (Electronic Records
Archive) Transfer Request (TR).
(3) Determine the appropriate level to be used as the source of
descriptive metadata. Depending on the agency's existing recordkeeping
practices and level of intellectual control, use information from the
project, record series, file unit, or item level as the source for
administrative, technical, and descriptive metadata fields. If the
components of a record have not been individually indexed with unique
descriptions, apply the series or file unit-level descriptions to all
of the image files within that grouping. If the components of the
record do not have individual titles, the agency must apply the item
Record IDs instead.
(4) Include additional metadata if it is captured. If other
metadata elements are provided in addition to the metadata requirements
in this subpart, NARA will accept that metadata as part of the transfer
process.
(b) Metadata capture requirements. Agencies must:
(1) Capture the metadata specified by paragraphs (c) through (e) of
this section at the file or item level as part of the digitization
project;
(2) Create file names and record IDs that are unique to each image
file;
(3) Embed the metadata specified by paragraph (c) of this section
in each image file, capture and maintain it in a recordkeeping system,
associate it with the records it describes, and keep it consistent and
accurate in both places;
(4) Ensure that scanning equipment embeds the system-generated
technical metadata specified by table 4 to paragraph (e)(1) of this
section for format technical metadata and table 5 to paragraph (e)(2)
of this section for processing technical metadata in each image file,
and ensure that image processing does not alter or delete it; and
(5) Transfer metadata to NARA in CSV format.
(c) Administrative metadata. (1) Capture in a recordkeeping system
and embed in each image file the following administrative metadata:
Table 1 to Paragraph (c)(1)--Basic Administrative Metadata
------------------------------------------------------------------------
Metadata label Description Requirement level
------------------------------------------------------------------------
Identifier: File Name....... The complete name of Mandatory (file
the computer file, names are an
including its inherent attribute
extension. of each file so
there is no need to
embed them as an
element of
metadata).
Identifier: Record ID....... The unique Mandatory.
identifier assigned
by an agency or a
records management
system. 36 CFR
1236.20(b)(1)
requires that
agencies assign
unique identifiers
to each record.
Identifier: Records Schedule The number assigned Mandatory.
Item #. to the agency
records schedule or
GRS item to which
the record belongs.
Relation: Has Part.......... A related record Mandatory if a
that is either record includes
physically or multiple parts,
logically required such as the
in order to form a component parts of
complete record. a case file or
Mixed-media files mixed-media file.
that contain
records on multiple
media types must
use this element to
identify all
components.
Relation: Is Part Of........ A related record or Mandatory if file is
file in which the a component of a
described record is multi-part record.
physically or
logically included.
Use this element to
indicate that a
record is a
component of a
mixed-media file.
------------------------------------------------------------------------
(2) Capture in a recordkeeping system and embed in each file any of
the following access and use restrictions the metadata inherited from
the source records:
[[Page 28425]]
Table 2 to Paragraph (c)(2)--Access and Use Restrictions Administrative Metadata
----------------------------------------------------------------------------------------------------------------
Metadata label Required fields Description Requirement level
----------------------------------------------------------------------------------------------------------------
Access Restrictions................ Access Restriction Indicate whether or not Mandatory.
Status. there are access
restrictions on the record.
Specific Access Specific access Mandatory if access
Restriction. restrictions on the restriction exists
record, based on national
security considerations,
donor restrictions, court
orders, and other
statutory or regulatory
provisions, including
Privacy Act and Freedom of
Information Act (FOIA)
exemptions.
Use Restrictions................... Use Restriction Status Indicate whether or not Mandatory.
there are use restrictions
on the record.
Specific Use The type of use Mandatory if use
Restriction. restrictions on the restriction exists.
record, based on
copyright, trademark,
service mark, donor, or
statutory provisions.
Rights: Rights Holder.............. ...................... A person or organization Mandatory if there is
owning or managing a rights holder.
intellectual property
rights relating to the
record.
----------------------------------------------------------------------------------------------------------------
(d) Descriptive metadata. Capture the following descriptive
metadata from source records at the lowest level needed to support
access and preservation and to maintain contextual information.
Depending on the agency's existing recordkeeping practices and level of
intellectual control, it may use information from the project level,
record series, file unit, or item, as the source for descriptive
metadata. If the components of a record have not been individually
indexed with unique descriptions, apply the series or file unit-level
descriptions to all of the image files within that grouping. If source
records share a common material type or dimensions, auto-populate the
source type and source dimension metadata. If the components of the
record do not have individual titles, the agency must apply the item
Record IDs instead. Capture the metadata in a recordkeeping system for
each image file:
Table 3 to Paragraph (d)--Descriptive Metadata Table
----------------------------------------------------------------------------------------------------------------
Metadata label Description Requirement level
----------------------------------------------------------------------------------------------------------------
Title................................ A name given to the source record. If a Mandatory.
name does not exist, the mandatory
metadata element Identifier: Record ID
serves as the title for the record.
Description.......................... A narrative description of the content Mandatory.
of the record, including abstracts of
documents.
Creator.............................. The agent (person, agency, other Mandatory.
organization, etc.) primarily
responsible for creating the source
record.
Date: Creation Date.................. The date or date range indicating when Mandatory.
the source record met the definition
of a Federal record.
Source Type.......................... The medium of the source record that Mandatory.
was scanned to create a digital still
image.
Source Dimensions.................... The dimensions of the source record Mandatory.
(including unit of measure).
----------------------------------------------------------------------------------------------------------------
(e) Technical metadata. (1) Ensure that the following values are
embedded in each image file and that image processing does not delete
or alter them:
Table 4 to Paragraph (e)(1)--Technical Metadata--Image Table
------------------------------------------------------------------------
Metadata label Definition Requirement level
------------------------------------------------------------------------
Date Time Created............... The date or date- Mandatory.
and-time the
digital image was
created.
Image Width..................... The width of the Mandatory.
digital image,
i.e., horizontal
or X dimension,
in pixels.
Image Height.................... The height of the Mandatory.
digital image,
i.e., vertical or
Y dimension, in
pixels.
Color Space..................... The name of the Mandatory.
International
Color Consortium
(ICC) profile
used.
Bits Per Sample................. Number of bits per Mandatory.
component.
Samples Per Pixel............... The number of Mandatory.
components per
pixel. Usually, 1
for grayscale
images and 3 for
RGB images.
------------------------------------------------------------------------
(2) Ensure that the following process metadata elements are
recorded for each image file:
[[Page 28426]]
Table 5 to Paragraph (e)(2)--Technical Metadata--Process Table
------------------------------------------------------------------------
Requirement
Metadata label Definition level
------------------------------------------------------------------------
Scanner Make and Model........ The manufacturer and Mandatory if
model of the scanner using a
used to create the scanner.
image.
Digital Camera Make and Model. The manufacturer and Mandatory if
model of the digital using a digital
camera used to create camera.
the image.
Software Name and Version..... The name and version Mandatory if
of the software used using scanning
to capture the image. software.
------------------------------------------------------------------------
(3) Capture the following technical metadata in a recordkeeping
system for each image file, and use them to monitor digital records for
corruption or alteration:
Table 6 to Paragraph (e)(3)--Technical Metadata--Checksum Table
------------------------------------------------------------------------
Requirement
Fixity metadata label Description level
------------------------------------------------------------------------
Message Digest Algorithm...... The specific algorithm Mandatory if
used to construct the using checksums
message digest for as described in
the digital object or Sec.
bitstream. 1236.42(e)(1).
Message Digest (checksum)..... The output of Message Mandatory if
Digest Algorithm. using checksums
as described in
Sec.
1236.42(e)(1).
------------------------------------------------------------------------
Sec. 1236.56 Validating digitized records and disposition
authorities.
(a) When a digitization project is complete, the agency must
validate that the digitized versions meet the standards in this
subpart.
(b) Separate staff must conduct the validation, independent from
the staff that performed the digitization QC inspections described in
Sec. 1236.46.
(c) Agencies must verify that:
(1) All records identified in the project's scope have either been
digitized or have been identified in project documentation as missing
or incomplete records (and the agency must note this information in the
Details section of the ERA TR when transferring the records);
(2) All required metadata are accurate, complete, and correctly
labeled;
(3) All image technical attributes specified in Sec. 1236.50 have
been met;
(4) All image files are legible and all physical characteristics
necessary to understand and use the records have been captured;
(5) Mixed-media files are digitized appropriately for the material
type, or if mixed-media components are retained in their original
format, they are associated with digitized components through metadata,
per the requirements specified in Sec. 1236.54(c); and
(6) Project documentation has been created according to Sec.
1236.44.
(d) Once validated, the digitized records are permanent records.
(e) After validating, the agency must determine whether the agency
has any reasons for retaining the source records for a period of time
once digitized, in keeping with Sec. 1236.40(g).
(f) Unless source records will be retained for reasons identified
in Sec. 1236.40(g), the agency must dispose of the source records in
accordance with an agency records schedule or GRS that addresses
disposition after digitization.
(g) Agencies cannot use the GRS to dispose of source records if the
digitized records do not meet the requirements in this subpart. In such
cases, agencies should contact the Records Management Policy and
Standards Team at <a href="/cdn-cgi/l/email-protection#31435c4245505f5550435542715f5043501f565e47"><span class="__cf_email__" data-cfemail="a1d3ccd2d5c0cfc5c0d3c5d2e1cfc0d3c08fc6ced7">[email protected]</span></a> to determine what steps they
must take.
(h) Agencies must transfer the digitized records to NARA according
to the approved disposition authority and include the transfer metadata
as described in Sec. 1236.58.
(i) Agencies must retain the project documentation described in
Sec. 1236.44 until the National Archives confirms receipt of the
records and legal custody of the records has been transferred.
(j) Agencies must transfer the administrative, technical, and
descriptive metadata captured during the digitization project as CSV
files, as described in Sec. 1236.54(b)(6), with the resulting
digitized records.
0
8. Add subpart F, consisting of Sec. 1236.58, to read as follows:
Subpart F--Transfer Metadata
Sec. 1236.58 Transfer metadata.
When agencies transfer permanent records to the National Archives'
legal and physical custody, the agency must provide transfer metadata
to NARA. The transfer metadata must be entered into the Electronic
Records Archives (ERA) when the Transfer Request (TR) is created to
begin transferring the records. Each transfer of digital records must
include the following metadata that applies to the transfer as a whole:
Table 1 to Sec. 1236.58--Transfer Metadata Table
----------------------------------------------------------------------------------------------------------------
Metadata label Required fields Description Requirement level
----------------------------------------------------------------------------------------------------------------
Transfer Request Number............ Transfer Request The number automatically Mandatory.
Number. generated when a Transfer
Request is created.
Transfer Title..................... Transfer Title........ The name assigned to the Mandatory.
collection, set or series
of records the agency is
transferring to NARA.
Dates.............................. Inclusive Start Date.. The beginning date on which Mandatory.
the record group,
collection, series, or set
the agency is transferring
to NARA was created,
maintained, or accumulated
by the creator.
[[Page 28427]]
Inclusive End Date.... The last date on which the Mandatory.
record group, collection,
series, or set the agency
is transferring to NARA
was created, maintained,
or accumulated by the
creator.
Creating Organization.............. Creating Organization. The name of the Mandatory.
organization responsible
for creating,
accumulating, or
maintaining the
collection, series, or set
when in working (primary)
use.
Record Group Number................ Parent Record Group The unique number assigned Mandatory.
Number. to a record group.
General Records Type............... General Records Type.. The general form of the Mandatory.
records set, series, or
collection the agency is
transferring, including
but not limited to:
architectural and
engineering drawings,
artifacts, data files,
maps and charts, moving
images, photographs, and
other graphic materials,
sound recordings, textual
records, or web pages.
Access Restrictions................ Access Restriction Indicate whether or not Mandatory.
Status. there are access
restrictions on the set,
collection, or series of
records the agency is
transferring to NARA.
Specific Access Specific access Mandatory if access
Restriction. restrictions on the set, restriction exists.
collection, or series of
records, including but not
limited to: restrictions
based on national security
considerations, donor
restrictions, court
orders, and other
statutory or regulatory
provisions, including
Privacy Act and Freedom of
Information Act (FOIA)
exemptions.
Use Restrictions................... Use Restriction Status Indicate whether or not Mandatory.
there are use restrictions
on the set, collection, or
series of records
transferring to NARA.
Specific Use The type of use Mandatory if use
Restriction. restrictions on the set, restriction exists.
collection, or series of
records, including but not
limited to restrictions
based on: copyright,
trademark, service mark,
donor, or statutory
provisions, including
Privacy Act and Freedom of
Information Act (FOIA)
exemptions.
Records Schedule Number............ Records Schedule The number NARA assigned to Mandatory.
Number. the agency records
schedule that applies to
all the records in the
collection, series, or set
transferring.
----------------------------------------------------------------------------------------------------------------
Debra Steidel Wall,
Acting Archivist of the United States.
[FR Doc. 2023-09050 Filed 5-3-23; 8:45 am]
BILLING CODE 7515-01-P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.