[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 [www.gpo.gov]
[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 [email protected], or by 
telephone at 301-837-3758. Contact [email protected] 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 [email protected] 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 
(https://www.iso.org/standard/79172.html), and ISO/TR 13028:2010, 
Information and documentation--Implementation guidelines for 
digitization of records (https://www.iso.org/standard/52391.html). 
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 https://www.archives.gov/records-mgmt/public and a YouTube video to explain the scheduling 
process at https://youtu.be/iClMFzmwqLc. 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 regulations.gov 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 https://www.archives.gov/files/records-mgmt/resources/big-bucket-schedule-implementation-report.pdf. 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 https://www.digitizationguidelines.gov/glossary.php. 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 https://www.archives.gov/records-mgmt.
    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 https://www.archives.gov/preservation/digital-preservation/strategy.

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 [email protected] 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 http://www.digitizationguidelines.gov/guidelines/digitize-OpenDice.html.
    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 http://www.digitizationguidelines.gov/guidelines/digitize-technical.html.
    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             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 %      <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             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 %      < 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 
[email protected] 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 [email protected] 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