Federal Records Management: Digitizing Permanent Records and Reviewing Records Schedules, 77095-77108 [2020-26239]

Agencies

• National Archives and Records Administration

[Federal Register Volume 85, Number 231 (Tuesday, December 1, 2020)]
[Proposed Rules]
[Pages 77095-77108]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-26239]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Parts 1224, 1225, and 1236

[FDMS No. NARA-20-0006; NARA-2021-001]
RIN 3095-AB99


Federal Records Management: Digitizing Permanent Records and 
Reviewing Records Schedules

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rule.

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SUMMARY: We are proposing to amend our electronic records management 
regulations to add a subpart containing standards for digitizing 
permanent Federal records so that agencies may dispose of the original 
source records, where appropriate and in accordance with the Federal 
Records Act amendments of 2014. We are also making a minor 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 the National Archives and 
Records Administration (NARA) approved the schedule.

DATES: Submit comments on or before February 1, 2021.

ADDRESSES: You may submit comments, identified by RIN 3095-AB99, by 
either of the following methods:

[[Page 77096]]

     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the site's instructions for submitting comments.
     Mail (for paper, flash drive, or CD-ROM submissions. 
Include RIN 3095-AB99 on the submission): We normally accept mail 
submissions, but due to the current COVID-19 pandemic, we do not have 
usual staff presence at the building and mail is likely to be delayed 
significantly past the comment period. If you wish to submit comments 
by cannot do so through the eRulemaking portal, please contact us at 
the number below so we can work with you to make alternate 
arrangements.
    Instructions: All submissions must include NARA's name and the 
regulatory information number for this rulemaking (RIN 3095-AB99). We 
may publish any comments we receive without changes, including any 
personal information you include.

FOR FURTHER INFORMATION CONTACT: Kimberly Keravuori, by email at 
[email protected], or by telephone at 301.837.3151. Contact 
[email protected] with any questions on records management and 
digitization.

SUPPLEMENTARY INFORMATION:

Background

    We propose to amend 36 CFR part 1224, Records Disposition Programs, 
and 36 CFR part 1225, Scheduling Records, to set a timeframe for 
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 
recurring reviews. This is based upon investigation that determined 
that many schedules have not been being kept up to date or revised when 
needed. We propose 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.
    In addition, we propose to amend 36 CFR part 1236, Electronic 
Records Management, to add a new subpart establishing standards for 
digitizing permanent paper and photographic records, including paper 
and photographs contained in mixed-media records. In 2014, the Federal 
Records Act at 44 U.S.C. 3302 was amended by Public Law 113-187 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. We previously amended 36 CFR part 1236 to add standards for 
digitizing temporary records, which constitute the majority of Federal 
records (RIN 3095-AB98, 84 FR 14265 (April 10, 2019), effective May 10, 
2019). We plan to issue additional digitizing requirements for other 
specific media types in future revisions to the rule. In the interim, 
agencies should contact [email protected] about digitizing other 
types of permanent records.
    Permanent records are approved by the Archivist of the United 
States as having sufficient historical or other value that warrants 
continuing to preserve them beyond the time agencies need the records 
for administrative, legal, or fiscal purposes. Agencies retain 
permanent records for administrative, legal, or fiscal purposes for a 
specific period of time. At the end of the scheduled retention period, 
they then transfer permanent records to the legal custody of the 
National Archives.
    These digitizing standards for permanent records ensure that 
agencies can continue to use digital versions for the same business 
purposes as the original records, and that the digital records will be 
appropriate for preserving in NARA's archival holdings. We intend the 
regulation to be neutral about who performs the digitizing activities 
for the agency, whether a parent agency, a component agency, a vendor 
or other similar entity acting on the agency's behalf.
    This proposed rulemaking defines the requirements for digitizing as 
a records management activity, drawing from principles within the 
Federal Agencies Digital Guidelines Initiatives (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/TR 13028:2010, Information and 
documentation--Implementation guidelines for digitizing records. It 
also provides agencies with guidance necessary to proceed with projects 
for digitizing and disposing of original source permanent records. 
These technical digitizing standards apply to both unclassified and 
classified national security records. However, this rulemaking does not 
address other standards specific to classified information, such as 
classified-specific metadata or acquiring secure equipment. These 
subjects do not fall under our records management authority and are 
outside the scope of this regulation.
    The standards in this proposed rulemaking apply retroactively to 
digitized permanent records that have not been transferred to the 
National Archives. If agencies determine their previously digitized 
records are not in compliance with these standards, re-digitizing may 
be necessary. Re-digitizing the records will allow agencies to use the 
GRS as the authority to destroy the original paper source records and 
transfer the new digitized records to NARA. However, if agencies' 
previously digitized records can't meet the requirements in this 
proposed regulation, they also have other options: (1) Send the paper 
versions of the permanent records for storage to NARA's Federal records 
centers by December 31, 2022; (2) work with us to develop an agency-
specific records schedule that addresses the previously digitized 
records, providing authority to transfer the electronic records to NARA 
and destroy the original source records (this option is available if 
NARA determines the previously digitized records are acceptable 
permanent records, even if the scanned versions were digitized to 
standards that differ from the ones in this regulation); or (3) request 
an exception as part of the agency's strategic response to meeting the 
OMB/NARA Memorandum M-19-21 goals (see NARA Bulletin 2020-01, Guidance 
on OMB/NARA Memorandum Transition to Electronic Records (M-19-21) at 
https://www.archives.gov/records-mgmt/bulletins/2020/2020-01 for 
details on agency strategic response requirements and exceptions). Some 
agencies might find a combination of these options will be needed to 
address any issues with previously scanned paper records.
    While this rulemaking is proposed and under development, we 
recommend that agencies discuss digitization projects with their 
general counsel and agency records officer before disposing of original 
permanent records. Agencies should also continue to follow the process 
in the General Records Schedule, 36 CFR 1225.24, and NARA Bulletin 
2010-04, Guidance Concerning Notifications for Previously Scheduled 
Permanent Records (https://www.archives.gov/records-mgmt/bulletins/2010/2010-04.html).

[[Page 77097]]

Regulatory Analysis

Review Under Executive Order 12866, Regulatory Planning and Review, 58 
FR 51735 (September 30, 1993), and Executive Order 13563, Improving 
Regulation and Regulation Review, 76 FR 23821 (January 18, 2011)

    The Office of Management and Budget (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 increased rapidity in changing technology and agency practices, and 
is not establishing a new program. Although the proposed revisions 
change and add new requirements 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.

Review Under the Regulatory Flexibility Act (5 U.S.C. 601, et seq.)

    This review requires an agency to prepare an initial regulatory 
flexibility analysis and publish it when the agency publishes 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). We certify, after review and analysis, that this rulemaking will 
not have a significant adverse economic impact on small entities.

Review Under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et 
seq.)

    This rulemaking does not impose additional information collection 
requirements subject to the Paperwork Reduction Act on the public.

Review Under Executive Order 13132, Federalism, 64 FR 43,255 (August 4, 
1999)

    Review under Executive Order 13132 requires that agencies review 
regulations for Federalism effects on the institutional interest of 
states and local governments, and, if the effects are sufficiently 
substantial, prepare a Federal assessment to assist senior policy 
makers. This rulemaking will not have any effects on state and local 
governments within the meaning of the Executive Order. Therefore, no 
Federalism assessment is required.

Review Under Executive Order 13771, Reducing Regulation and Controlling 
Regulatory Costs, 82 FR 9339 (February 3, 2017)

    Review under E.O. 13771 seeks to reduce Federal regulations that 
impose private expenditures in order to comply with them, and to 
control those costs in any such regulations. OMB has reviewed this 
rulemaking and determined that it is exempt from E.O. 13771 
requirements. This rulemaking is exempt because it applies only to 
Federal agencies, involves agency organization, management, or 
personnel, modifies an existing rule, and does not involve regulatory 
costs subject to the Executive Order.

Review Under the Unfunded Mandates Reform Act (Sec. 202, Pub. L. 104-4; 
2 U.S.C. 1532)

    Review under the Unfunded Mandates Reform Act requires that 
agencies determine whether any Federal mandate in the rulemaking may 
result in state, local, and tribal governments, in the aggregate, or 
the private sector, expending $100 million in any one year. NARA 
certifies that this rulemaking does not contain a Federal mandate that 
may result in such an expenditure, and this rulemaking is therefore not 
subject to this requirement.

List of Subjects

36 CFR Parts 1224 and 1225

    Archives and records, Recordkeeping, Records disposition, Records 
management, Records schedules, Scheduling records.

36 CFR Part 1236

    Archives and records, Digitization, Digitized records, Digitizing, 
Electronic mail, Electronic records, Metadata, Permanent records, 
Recordkeeping, Records management, Quality assurance, Quality control, 
Quality management, Temporary records.

    For the reasons discussed in the preamble, NARA proposes to amend 
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 two sentences 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. See Sec.  1225.22 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 and the introductory text; and
0
b. In paragraph (a), by removing the words ``an SF 115'' and adding in 
their place the words ``a new records schedule''.
    The revisions read as follows:


Sec.  1225.22   When must agencies reschedule or review their records 
schedules?

    Agencies should review their records schedules on a regular basis 
to determine if they remain accurate. Every five years, agencies must 
review all records schedules that are ten years old and older, based on 
the date NARA approved the schedule. Agencies must submit a new records 
schedule to NARA in the following situations:
* * * * *

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. In Sec.  1236.2, revise the section heading, and in paragraph (b) 
add definitions in alphabetical order for ``Administrative metadata'', 
``Checksum'', ``Descriptive metadata'', ``Embedded metadata'', 
``Intellectual control'', ``Media'', ``Mixed-media files'', ``Physical 
control'', ``Quality assurance (QA)'', ``Quality control (QC)'', 
``Quality management (QM)'', and ``Technical metadata'' to 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

[[Page 77098]]

schedule that identifies its retention period.
    Checksum is a function that takes an input string, which can be of 
any length, and generates an output of fixed length. The output, or 
hash, is used to authenticate information, such as whether a file has 
been corrupted or modified. The values returned by a hash function are 
called hash values, hash codes, digests, or simply hashes.
    Descriptive metadata are elements of information that describe the 
records or set of records itself. They apply to both the original 
source records and any versions produced through digitization. 
Descriptive metadata elements 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 specified 
administrative, rights, and technical metadata and can be appropriately 
managed outside of a recordkeeping system.
    Intellectual control is having the information necessary to 
identify and understand the content and context of the records. This 
includes knowing the disposition schedule under which the records fall, 
the date range when the records were created, and any access or use 
restrictions that apply to 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 include 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, such as a case file. 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 due to changes in how agencies create, 
maintain, and use records, shifts in technology, and the topic or 
activity involved.
    Physical control is having the information necessary to physically 
manage the records. This includes knowing where the records are housed, 
whether any records that fall within the project's scope are missing or 
stored separately, and the records' physical form (such as media types, 
the records' dimensions, and the smallest level of detail used to 
convey information).
    Quality assurance (QA) are the proactive quality management (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 quality control (QC) data to search 
for patterns and trends. QA activities also include controlled 
experiments, design reviews, and system tests. QA programs can improve 
quality through creating plans and policies or creating and conducting 
training.
    Quality control (QC) are activities that examine products through 
inspection or testing to determine if they meet their specifications. 
The purpose is to detect defects (deviations from predetermined 
requirements) in products or processes.
    Quality management (QM) are the overall management functions and 
underlying activities that determine quality policies, objectives, and 
responsibilities, and implement them through planning, control, 
assurance, and improvement methods within the quality system.
    Technical metadata are elements of information that describe 
processes used to create electronic files, and parameters that aid a 
system in rendering the files properly. 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 (camera name, 
scanner manufacturer, etc).
* * * * *
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 General requirements.
1236.44 Preparing records for digitization.
1236.46 Project management and documentation requirements.
1236.48 File format requirements.
1236.50 Digitization requirements for permanent paper and 
photographic print records.
1236.52 Digitization requirements for permanent mixed-media files.
1236.54 Metadata requirements.
1236.56 Quality control (QC) inspection requirements.
1236.58 Validating digitized records and disposition instructions.

Subpart E--Digitizing Permanent Federal Records


Sec.  1236.40   Scope of this subpart.

    (a) This subpart covers the standards and procedures you (an 
agency, employee, or agents acting on the agency's behalf, such as 
contractors) must apply when digitizing permanent paper records using 
reflective digitization techniques. Such records include most paper-
based documents regardless of size, such as modern office paper, maps, 
posters, manuscripts, graphic-arts prints (lithographs, intaglio, 
etc.), drawings, bound volumes, and photographic prints. This subpart 
also covers any records that may be incorporated into mixed-media 
records.
    (b) This subpart does not cover standards and procedures you 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 
records on dynamic media, such as motion picture and audio-visual 
records, videotapes, and audio cassette tapes.
    (c) For guidance on digitizing out-of-scope media types or non-
paper-based portions of mixed-media records, such as dynamic media, x-
rays, 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.
    (d) This subpart also does not cover standards and procedures for 
optical character recognition (OCR) technology. You may perform OCR 
during digitization to meet agency business needs and transfer the 
resulting files to NARA, but this subpart does not require OCR.
    (e) This subpart does not address other applicable laws and 
regulations governing documents and electronic files, including, but 
not limited to, proper handling of classified or controlled 
unclassified information and compliance with 36 CFR part 1194 (which 
establishes requirements for compliance with section 508 of the 
Rehabilitation Act). You should work with your legal counsel and other 
officials to ensure compliance with these and other applicable 
requirements.
    (f) This subpart also does not address other business needs or 
legal constraints that may make it necessary for an agency to retain 
original source records for a period of time after digitizing. You 
should work with your agency legal counsel to determine whether such

[[Page 77099]]

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.  1236.2 and 36 CFR 
part 1220, the following definitions apply to this subpart:
    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.
    Color encoding accuracy is measured in DICE by computing the color 
difference ([Delta]E2000) between the digital imaging results of the 
standard target patches and their pre-measured color values. By imaging 
the DICE target and evaluating through the DICE software, variances 
from known values can be determined, which is a good indicator of how 
accurately the system is recording color. DICE measures the average 
deviation of all color patches measured (the mean).
    Color channel misregistration measures the spread of red, green, 
and blue light in terms of pixel misregistration. This parameter is 
used to evaluate lens performance. The vernacular term for this is 
called color fringing.
    Color management is using software, hardware, and procedures to 
measure and control color in an imaging system, including capture and 
display devices.
    Digital Image Conformance Evaluation (DICE) is the measurement and 
monitoring component of the Federal Agencies Digital Guidelines 
Initiative (FADGI) Conformance Program. DICE consists of ISO-compliant 
reference targets and analysis software for testing and monitoring 
digitization programs to ensure they meet FADGI technical parameters. 
You can access DICE online at https://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 multi-year digitization process; can 
involve digitizing a single document into an electronic 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 an electronic 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 original 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 digitization technical 
parameters in this Part, which equate to the FADGI three-star level. 
You can access FADGI online at https://www.digitizationguidelines.gov/guidelines/digitize-technical.html.
    Image quality measures 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 non-uniformity measures how evenly a lens records the 
lighting of neutral reference targets from center to edge and between 
points within the image.
    Mass digitization is the large-scale scanning of source records 
using scanners capable of high-volume throughput. Mass digitization 
approaches are appropriate for paper records of uniform size and type 
that can be digitized without being damaged by the equipment, and in 
which there is no information requiring higher specifications to ensure 
accurate capture (such as fine detail or precise color accuracy).
    Modulation transfer function (MTF)/spatial frequency response 
(SFR). MTF is the modulation ratio between the output image and the 
ideal image. SFR measures the imaging system's ability to maintain 
contrast between increasingly smaller image details. Using these two 
functions, a system can make an accurate determination of resolution 
related to sampling frequency.
    Noise is an undesirable image artifact(s) in a digitized record 
that is not part of the original source material.
    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). Raster 
data differs from vector data, in which geometrical points, lines, 
curves, and shapes are based upon mathematical equations, thus creating 
an image without specific data-to-pixel mapping.
    Reference target is a chart of test patterns with known 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 an imaging system can 
resolve in an image.
    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) above.)
    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 or original source record is the record from which a 
digitized version or digitized record is created.
    Spatial resolution determines the amount (quantity, ppi, 
megapixels, etc.) 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 
spatial frequency response (SFR) of the scanner or digital camera.
    Tone response or opto-electronic 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

[[Page 77100]]

through a photographic slide or negative.
    White balance error measures the digital file's color neutrality. 
When the balance is neutral, a white patch in the reference target 
should be recorded as even values across red, green, and blue channels, 
with a value approaching the limit of the file format to define white.


Sec.  1236.42   General requirements.

    (a) Purpose and objectives. This subpart establishes processes and 
requirements to ensure that agencies:
    (1) Identify the scope of each digitization project;
    (2) Account for all records included in the scope of the 
digitization project regardless of their media type;
    (3) Produce complete and accurate digitized records that can be 
used for all the same purposes as the originals; and
    (4) Validate that the resulting digitized records meet the 
standards required in Sec.  1236.58 for replacing permanent Federal 
records.
    (b) Records management requirements. You must comply with existing 
records management requirements identified in 36 CFR part 1222 and 
other subparts of this part. You must also place digitized records in a 
system that can successfully produce and manage the records over time 
and must ensure you have intellectual and physical control over source 
records sufficient to support digitization. Having and maintaining an 
appropriate level of intellectual and physical control over source 
records is critical to a digitization project's success, regardless of 
whether the agency, or an agent acting on the agency's behalf (such as 
a contractor), performs the digitization activities.
    (1) You must establish and document all the elements of 
intellectual control. See definition at Sec.  1236.2.
    (2) You must also establish and document all the elements of 
physical control. See definition at Sec.  1236.2. For more information 
on documenting the smallest level of detail, see Sec.  1236.50(c)(2).
    (i) Understanding the physical properties of source records is 
necessary to properly identify a project's scope and acquire 
appropriate equipment.
    (ii) Non-standard media, such as post-it notes, envelopes, or 
onion-skin paper, may require special handling and equipment. Using 
improper equipment may result in damage to original records.
    (iii) You must also document any records that you cannot digitize 
according to the standards in this subpart.
    (iv) For more information about selecting equipment and about 
records that need special handling, please contact the Records 
Management Policy and Standards Team by email at [email protected],gov 
or by phone at 301.837.1948.
    (3) Before starting a digitization project, you must have 
intellectual and physical control over the original records that will 
be included in the project. In addition, you must create an inventory 
of records you will digitize, ensure that the proposed series are 
complete, document any missing records or gaps in coverage as described 
in Sec.  1236.46, document any restrictions relating to the source 
records that will also apply to digitized records, and note them as 
metadata as required in Sec.  1236.54. You will need to maintain 
intellectual and physical control over the records throughout the 
project.
    (4) You must also document the contents of any electronic or analog 
storage media, such as CDs, DVDs, or magnetic tapes, you discover when 
preparing records for digitization.
    (i) Determine whether any files on the storage media are records. 
If the files are non-records, you may dispose of them.
    (ii) If the files are records and are part of the same records 
series you are digitizing, handle them as described in Sec.  1236.52.
    (iii) If the files are records but not part of the record series 
you are digitizing, locate their disposition schedule and migrate them 
to an electronic information system that complies with the requirements 
in Sec. Sec.  1236.10 through 1236.14.
    (c) Quality management (QM) requirements. To be successful at 
digitizing permanent records, you need to minimize errors throughout 
the project, beginning as early in the digitization process as 
possible. You must therefore develop a quality management (QM) plan 
that ensures the project meets the quality assurance (QA) objectives 
and quality control (QC) inspections procedures in Sec. Sec.  1236.42 
through 1236.56. This includes defining requirements, implementing a 
testing and analysis process, performing corrective measures, and 
verifying that products conform to the requirements. The plan must 
document QC procedures and image and metadata quality inspection 
processes necessary to identify and correct deviations throughout all 
phases of the project.
    (d) Image quality requirements and QA. The project must meet the 
image quality performance parameters, such as resolution, tone, and 
color accuracy, defined in Sec.  1236.2 and specified in Sec.  1236.50.
    (1) To determine whether equipment meets the image quality 
requirements, you must scan a reference target with the device and 
measure the results with analytical software to determine how well the 
digital imaging equipment's optical resolution, sensor size, and signal 
processing perform against the performance evaluation technical 
parameters in Sec.  1236.50(c). Results that fall within the 
performance metric value's tolerance range confirm the equipment meets 
the requirements. Equipment specifications, such as scanner ppi 
settings or camera sensor megapixels, are theoretical resolution claims 
and do not ensure digital image quality.
    (2) To ensure image quality of digital files you create during the 
project, you must also monitor the digitization workflow by digitizing 
reference targets and analyzing the results against the technical 
parameters in Sec.  1236.50(c). When all the measurements fall within 
the technical parameters' performance metric value tolerance range, the 
digital files meet the image quality objectives. This image QC process 
is a major component of your project's QA program.
    (3) Your agency must use image QA processes to:
    (i) Determine whether equipment performance meets specifications 
before you select the equipment;
    (ii) Evaluate internal or external vendor imaging systems against 
image specifications;
    (iii) Monitor device performance during digitization; and
    (iv) Verify that resulting digital files meet project 
specifications.
    (e) Image QC standards. You must have an image quality testing and 
analysis process that ensures the resulting digitized records conform 
to the requirements in Sec.  1236.50. You should adopt methods 
consistent with the Federal Agencies Digital Guidelines Initiative 
(FADGI) Digital Image Conformance Evaluation (DICE) program (see Sec.  
1236.41 for a description of DICE) to ensure you meet digitization 
image quality parameters, but you do not have to use DICE to do so. Any 
method that ensures you meet the image quality parameters in Sec.  
1236.50 is acceptable.
    (1) The DICE program, or other automated QC tools you select, 
should work in concert with manual inspection practices.
    (2) If you do not adopt DICE, you must document the image quality 
measurement and monitoring procedures and reference targets you use 
instead, and how you verify quality conformance.
    (3) FADGI also describes many recommended best practices which you

[[Page 77101]]

may use to supplement, but not supersede, applicable regulations and 
NARA implementing guidance.
    (f) Image quality parameters. Section 1236.50 outlines the set of 
performance parameters you must use. These parameters equate to FADGI 
three-star aimpoints and tolerance ranges. The FADGI Guidelines 
incorporate image quality specifications, testing methodology, and 
analyses that are compliant with ISO/TS 19264-1:2017 (Photography--
Archiving systems--Image quality analysis--Part 1: Reflective 
originals) for digitizing cultural heritage materials. We are not 
incorporating the FADGI Guidelines in their entirety because they 
include general digitization practices outside the scope of this 
subpart. However, you may find it helpful when implementing this 
subpart to consider FADGI discussions, analyses, and papers related to 
the technical digitization parameters, especially if you are digitizing 
special or sensitive materials.
    (g) Inspection of digitized files. You must inspect the resulting 
digitized files to check that they meet the digital file, image 
quality, and metadata specifications. Sections 1236.48 through 1236.56 
describe digital file quality criteria your agency must inspect through 
a combination of automated and manual methods outlined in Sec.  1236.56 
to verify compliance with these digital imaging specifications.


Sec.  1236.44   Preparing records for digitization.

    (a) A successful digitization project relies on maintaining source 
records in their original order throughout the process, capturing all 
the information and characteristics of the source material, and 
performing visual and automated QC inspections at multiple stages 
during a project to ensure the resulting digital record is complete.
    (b) Image quality and QC, described in Sec.  1236.42, are only two 
of the components of digitizing as a records management activity. In 
addition, you must:
    (1) Account for all records included in the project's scope prior 
to digitization. You should note any missing records or records being 
retained in their original form in the details section of the 
Electronic Records Archives (ERA) Transfer Request (TR) instrument and 
include scans of any charge-out documentation so that skipped or 
missing records can be inter-filed if they are transferred at a later 
date;
    (2) Survey source records for items that require special handling 
and select equipment that safely digitizes the originals without 
damaging them during the scanning process;
    (3) Capture all information in records or files, regardless of the 
original media type;
    (4) Accurately capture administrative, descriptive, and technical 
metadata specified in Sec.  1236.54, including access and use 
restrictions metadata;
    (5) Determine and apply an appropriate method for associating 
digitized records with each other, when relevant (such as when 
digitizing each page of a paper document separately, or each document 
in a paper file folder separately). Acceptable methods include 
associating individual image files in a folder structure matching the 
original paper folder structure or utilizing file formats with support 
for multi-page files such as PDF or TIFF; and
    (6) Ensure that each individual file is usable and that you will be 
able to locate, retrieve, present, and interpret it over time.
    (c) You must also take steps to maintain intellectual and physical 
control of source records pursuant to 36 CFR 1222.34. In this regard, 
for each record series or file unit you plan to digitize, you must:
    (1) Document the age, media types, dimensions, required level of 
detail, and condition of source records prior to digitization; and
    (2) Institute procedures and controls that:
    (i) Ensure you can locate, access, and digitize source records with 
appropriate safeguards against loss and damage;
    (ii) Restrict and log access to records while they are being 
digitized to minimize the risk of unauthorized additions, deletions, or 
alterations; and
    (iii) Ensure that staff appropriately digitize all records or, if 
you keep some records in their original format, maintain the 
association between the digitized and original records using the 
relationship metadata elements in Sec.  1236.54(c). You should note any 
records that you do not digitize in the details section of the 
Electronic Records Archives (ERA) Transfer Request (TR) and include 
scans of any charge-out documentation so that skipped or missing 
records can be inter-filed if they are transferred at a later date.


Sec.  1236.46   Project management and documentation requirements.

    (a) You must ensure that any projects to digitize records meet the 
parameters in this subpart, and the records are complete, unaltered, 
and meet all QA criteria.
    (b) Accordingly, you must have the following documents when 
digitizing permanent records and retain them in association with the 
digitized records, as specified in Sec.  1236.58(f):
    (1) A defined project plan that identifies the:
    (i) Record series or file units you will digitize (note any missing 
records in the details section of the ERA TR and provide scans, as 
outlined in Sec.  1236.44(b)(1));
    (ii) Estimated volume and media types of the original source 
records;
    (iii) Image quality parameters you must meet to capture the 
appropriate level of detail present in the original in order to 
interpret the information in the records--including resolution,\1\ 
color, and tonal fidelity. See Sec.  1236.50(c) for the minimum 
requirements for image quality parameters. The color mode must be 
either color or grayscale; we do not accept bi-tonal mode for permanent 
records. You must digitize in color when the original source documents 
have color present;
---------------------------------------------------------------------------

    \1\ Higher spatial resolution provides more pixels, and 
generally will render finer detail of the original in the digital 
image, but not always. The actual rendition of fine detail is more 
dependent on the spatial frequency response (SFR) of the scanner or 
digital camera, the image processing applied, and the 
characteristics of the item being scanned. Adjusting resolution 
settings to capture the appropriate level of detail in the original 
source records provides appropriate resolution.
---------------------------------------------------------------------------

    (iv) Estimated date range of the source records; and
    (v) Estimated storage requirements for the records once digitized 
(which may affect project decisions, such as compression and file 
format);
    (2) Applicable NARA-approved records schedule(s);
    (3) Any related finding aids, indexes, inventories, logs, 
registers, or metadata the agency uses to manage the records;
    (4) QM plans describing QA objectives that achieve the requirements 
in Sec. Sec.  1236.48 through 1236.54;
    (5) QC procedures to identify and correct errors during 
digitization in accordance with the requirements in Sec.  1236.56;
    (6) QC reports identifying detected errors and remediation steps in 
accordance with the requirements in Sec.  1236.56.


Sec.  1236.48   File format requirements.

    (a) You must digitize, encode, retain, and transfer most paper-
based documents in one of the following file formats, either 
uncompressed or using one of the specified lossless compression codecs:

[[Page 77102]]



                        Table 1 to Paragraph (a)
------------------------------------------------------------------------
                                       Acceptable lossless compression
      Format name and version                       codecs
------------------------------------------------------------------------
TIFF 6.0...........................  Uncompressed, LZW compression.
JPEG2000 part 1....................  JPEG 2000 part 1 core coding system
                                      lossless compression.
Portable network graphics 1.2 (PNG)  DEFLATE (ZIP).
PDF/A-1............................  DEFLATE (ZIP).
PDF/A-2............................  DEFLATE, JPEG 2000 part 1 core
                                      coding system lossless
                                      compression.
------------------------------------------------------------------------

    (b) You must digitize, encode, retain, and transfer photographic 
print records in one of the following file formats, either uncompressed 
or with one of the specified lossless compression codecs:

                        Table 2 to Paragraph (b)
------------------------------------------------------------------------
      Format name and version           Acceptable compression codecs
------------------------------------------------------------------------
TIFF 6.0...........................  Uncompressed, LZW.
JPEG2000 part 1....................  JPEG 2000 part 1 core coding system
                                      lossless compression.
Portable network graphics 1.2 (PNG)  DEFLATE.
------------------------------------------------------------------------

    (c) You must transfer metadata specified in Sec.  1236.54 table 1 
to paragraph (c)(1), table 2 to paragraph (c)(2), and table 3 to 
paragraph (d) in comma separated values (CSV) format.


Sec.  1236.50   Digitization requirements for permanent paper and 
photographic print records.

    (a) Equipment requirements. The equipment you use to digitize 
Federal records must be appropriate for the media type, capable of 
achieving documented project objectives, and meet the parameters 
specified in paragraph (c) of this section for paper records in good 
physical condition that are suitable for mass digitization or paragraph 
(d) of this section for photographic print records and paper records 
that require higher resolution or color accuracy or that can't 
physically be digitized by mass digitization.
    (1) The specifications in paragraph (c) of this section are 
applicable for paper records that are suitable for mass digitization 
using high-volume scanners. To be suitable for this set of standards, 
the records must be in good physical condition, with well-defined 
printed type (such as typeset, typed, laser-printed, etc.), and have 
moderate to high contrast between the ink of the text and the paper 
background.
    (2) The specifications in paragraph (d) of this section are 
applicable for photographic prints and paper records that are old, 
brittle, or folded, or that could be damaged by high-speed equipment. 
For records in poor physical condition, agencies must use equipment 
that does not result in further damage. For records with poor 
legibility or diffuse characters (such as carbon copies, Thermofax/
Verifax, etc.), handwritten annotations or other markings, low inherent 
contrast, staining, fading, halftone illustrations, or photographs, 
digitization equipment or record staging must be capable of capturing 
record content, including all text, any embossed seals, or other 
details that can't be digitized by mass digitization.
    (3) For records where the smallest significant detail in a record 
is 1.0 mm or smaller, such as aerial photographs and topographic maps 
(which require a high degree of enlargement and precision regarding the 
dimensional accuracy of the scans when compared to textual documents or 
other types of photographs), you must use table 2 to paragraph (d) of 
this section, but you must set the resolution so that the MTF and SFR 
performance of the scanner exceeds the tolerance ranges in table 2. For 
many imaging devices, increasing the ppi settings may not increase the 
actual level of resolution or capture the desired detail. The equipment 
you select for digitizing records with fine detail must be capable of 
meeting the higher quality parameters.
    (4) For records that can't be captured to the specifications in 
paragraph (c) or (d) of this section, such as records containing a high 
degree of fine detail or need for color accuracy, you must contact 
NARA.
    (b) Implementation requirements. You must:
    (1) Implement an image quality analysis process and use device-
level 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.
    (i) You must scan a reference target containing a grayscale, color 
chart, and accurate dimensional scale at the beginning of each workday; 
and
    (ii) Perform additional tests when you detect problems;
    (4) Test equipment with the specific software/device driver 
combination(s) you use, and re-test after every software update;
    (5) Ensure that equipment operation, settings, and image processing 
actions remain consistent for the entire batch and are applied to all 
images in the batch;
    (6) Encode original image files using a compression type, and in a 
format, specified in Sec.  1236.48, and with the resolution, color 
mode, bit depth, and color space specified in table 1 to paragraph (c) 
of this section;
    (7) You must not reformat, use a lossy compression codec, or 
interpolate (upsample) files to meet the standards in this subpart; and
    (c) Digitizing requirements for mass digitization of paper records 
in good physical condition. For these records, produce image files (as 
described in table 1 to paragraph (c)) at 300 ppi sized to the original 
document.
    (1) Records suitable for the specifications in table 1 are paper 
records with well-defined printed type (such as typeset, typed, laser-
printed, etc.), and with moderate to high contrast between the ink of 
the text and the paper background.
    (i) Performance metric values for the tone response (OECF) 
(Lightness, L*)

[[Page 77103]]

conform to the FADGI category for Federal textual records; and
    (ii) These values are appropriate when original source records do 
not have visible content that is recorded in the same tone densities as 
the two darkest patches (L*20 and L*21) of the DICE target.
    (2) The specifications in table 1 are not appropriate for records 
that include fine detail, require a high degree of color accuracy, or 
have other unique characteristics that cannot be captured using the 
specifications in this table, or that cannot safely undergo high-volume 
digitization because they are fragile, would be damaged, or have other 
physical conditions that do not lend themselves to high-volume or mass 
digitization.
    (3) You must digitize in an RGB color mode when the original source 
paper records have color present. You may digitize non-photographic 
print paper records in grayscale mode if there is no color present.
    (4) At a minimum, you must digitize the paper records covered by 
this paragraph to the following parameters:

                        Table 1 to Paragraph (c)
------------------------------------------------------------------------
  Digital file specifications \1\                 Attributes
------------------------------------------------------------------------
Color mode \2\.....................  RGB color or grayscale.\3\
Bit depth..........................  8- or 16-bit.
Working color space................  gray gamma 2.2, AdobeRGB1998, sRGB,
                                      ProPhoto, ECIRGBv2.
Sampling Frequency \4\.............  >=300 ppi.
  Performance evaluation technical        Performance metric values
             parameters              Difference from aim
                                     (applies to 20<= L* <=100)
Tone response (OECF) (Lightness,     -5<= L* <=5.
 L*).
White balance error (a*b*) (applies  -4<= a*b* <=4.
 only to nominal gray patches).
Non-uniformity (Lightness, L*).....  <=3%.
Color encoding accuracy (mean        <=5.
 [Delta]E2000) \5\.
Color channel misregistration......  <=0.50 pixel.
MTF10 (10% SFR)....................  sampling efficiency >=80% and SFR
                                      response at half sampling
                                      frequency <=0.3.
MTF50 (50% SFR)....................  50% of half sampling frequency:
                                      [35%,75%].
Reproduction scale accuracy........  <+/-2% of aim.
Sharpening (maximum SFR)...........  <=1.1.
[Noise] [Delta]L* standard           <=2.
 deviation.
------------------------------------------------------------------------
\1\ Count values are expressed as 8-bit equivalents.
\2\ Must digitize in color when the original source paper records have
  color present.
\3\ We do not accept permanent records digitized in bi-tonal (black and
  white) mode.
\4\ The sampling frequency and the image dimensions determine the total
  number of pixels in the image, but do not determine the actual level
  of detail captured by an image system. The Modulation Transfer
  Function (MTF) is the scientific method to evaluate the spatial
  resolution performance of an imaging system. The MTF concept is an
  objective method to determine spatial resolution that is more
  accurate, compared to subjective methods such as dots-per-inch (dpi)
  or visual observation bar target readings. Resolution is a measure of
  how well spatial details are preserved in an imaging system by
  evaluating a range of measurements and quantifying them in a
  functional curve MTF plot.
\5\ [Delta]E2000 is the specific formula used to calculate color
  difference for this metric.

    (d) Digitizing requirements for photographic prints, and paper 
records not suitable for mass digitization. For these records, produce 
image files (as described in table 2 to paragraph (d)) at 400 ppi sized 
to the original document. You may need to apply higher resolution for 
some photographic prints to capture fine detail.
    (1) The photographic print specifications also apply to 
manuscripts, illustrations, or graphics, as well as documents with poor 
legibility or diffuse characters, such as carbon copies, Thermofax, 
etc.
    (2) You must digitize photographic prints (and items outlined in 
paragraph (d)(1) of this section), including monochrome and black and 
white originals, using RGB color mode (which captures nuances in black, 
gray, sepia, etc, as well as color contained in the original). Paper 
records may be digitized in grayscale mode if there is no color 
present; if color is present, you must digitize them using RGB color 
mode.
    (3) At a minimum, you must digitize all the records covered by this 
paragraph to the following parameters:

                        Table 2 to Paragraph (d)
------------------------------------------------------------------------
  Digital file specifications \1\                 Attributes
------------------------------------------------------------------------
Color mode \2\.....................  RGB color or grayscale.\3\
Bit depth..........................  24-bit.
Color space........................  Gray gamma 2.2, AdobeRGB1998,
                                      ProPhoto, ECIRGBv2.
Sampling frequency \4\.............  >= 400 ppi minimum.
  Performance evaluation technical        Performance metric values
             parameter
Tone response (OECF) (Lightness,     5-count levels <=4.
 L*).
White balance error (a*b*).........  4-count levels <=4.
Non-uniformity (Lightness, L*).....  <3%.
Color accuracy (mean [Delta]E2000)   <4.
 \5\.
Color channel misregistration......  <0.50 pixel.
MTF10 (10% SFR)....................  sampling efficiency >80% and SFR
                                      response at half sampling
                                      frequency <0.3.
MTF50 (50% SFR)....................  50% of half sampling frequency:
                                      [35%,75%].
Reproduction scale accuracy........  <+/-2% of aim.
Sharpening (maximum SFR)...........  <1.1.

[[Page 77104]]

 
Noise..............................  <4-count levels.
[Noise] [Delta]L* standard           <2.
 deviation.
------------------------------------------------------------------------
\1\ Count values are expressed as 8-bit equivalents.
\2\ Must digitize photographic prints, manuscripts, etc., in color, even
  when originals are in black and white or monochrome. Must digitize
  other paper documents in color when the original source paper records
  have color present; otherwise, may digitize such paper records in
  grayscale.
\3\ We do not accept permanent records digitized in bi-tonal (black and
  white) mode.
\4\ The sampling frequency and the image dimensions determine the total
  number of pixels in the image, but do not determine the actual level
  of detail captured by an image system. The Modulation Transfer
  Function (MTF) is the scientific method to evaluate the spatial
  resolution performance of an imaging system. The MTF concept is an
  objective method to determine spatial resolution that is more
  accurate, compared to subjective methods such as dots-per-inch (dpi)
  or visual observation bar target readings. Resolution is a measure of
  how well spatial details are preserved in an imaging system by
  evaluating a range of measurements and quantifying them in a
  functional curve MTF plot.
\5\ [Delta]E2000 is the specific formula used to calculate color
  difference for this metric.

Sec.  1236.52   Digitization requirements for permanent mixed-media 
files.

    (a) Related records may be managed together but stored on more than 
one media type. For example, a ``case file'' may include paper records, 
on-line electronic records, and electronic records on storage media 
such as magnetic tapes or other optical media. This reflects the way 
agencies create, maintain, and use these records; these are mixed-media 
files.
    (b) When digitizing files that fall within the scope of this 
subpart (see Sec.  1236.40) but are part of a mixed-media file, you 
must:
    (1) Assess any electronic records in the mixed-media file to 
determine if they are digitized copies of paper records.
    (i) If they are not digitized versions of paper records, ensure the 
electronic records remain associated with the rest of the records in 
the original mixed-media file.
    (ii) If they are digitized versions of paper records, determine 
whether they meet the digitization standards in this subpart. If so, 
ensure they remain associated with the rest of the records in the 
original mixed-media file. If not, re-digitize the original paper 
records to the standards of this subpart.
    (2) Digitize any paper records and photographic prints in the 
mixed-media file according to standards in Sec.  1236.50(c) and (d);
    (c) You should 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. Whether embedded into image files or captured in a 
record-keeping system, metadata provides information explaining what 
each record contains, when and why it was created, what media it was 
recorded on, original dimensions, and whether any restrictions govern 
its use. Metadata also describes the digitization process and the 
technical attributes of the resulting electronic records. It is 
important to capture this information about original source records and 
about the intervening digitization steps because we will not have the 
original source records or other project documentation to use when 
maintaining the digitized versions as archival records in the future.
    (1) You should consider business and legal needs when developing 
the project plan and how your agency will capture the metadata.
    (2) Depending on your agency's existing record-keeping practices 
and level of intellectual control, you may use information from the 
record series, file unit, or project level as the source for 
administrative and descriptive metadata fields. If the components of a 
record have not been individually indexed with unique descriptions, you 
may 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, you must apply the item Record IDs instead.
    (3) If you provide other metadata elements in addition to the 
metadata requirements in this subpart, we will accept that metadata as 
part of the transfer process.
    (4) ``Mandatory if applicable'' instructions in the tables in this 
section mean that you must provide the metadata if the agency captures 
the metadata as part of its business processes. You do not have to 
create ``mandatory if applicable'' metadata as an extra step to 
transfer records to NARA.
    (b) Overall requirements. You must:
    (1) Capture the metadata specified by paragraphs (c), (d), and (e) 
of this section at the file or item level as part of the digitization 
project;
    (2) When digitization and image processing are complete and when 
agencies determine that records are no longer in active use and no 
longer subject to changes that would alter a checksum, you must 
generate checksums and record them as technical metadata in a record-
keeping system for each image file, and use them to monitor electronic 
records for corruption or alteration;
    (3) Create file names and record IDs that are unique to each file 
(although you must capture other metadata at the file or item level, 
some might be common to multiple files or items, but not these two 
elements);
    (4) Embed the metadata specified by paragraph (c) of this section 
in each image file, capture and maintain it in a record-keeping system, 
associate it with the records it describes, and keep it consistent and 
accurate in both places;
    (5) Ensure that scanning equipment embeds the system-generated 
technical metadata specified by paragraph (e) of this section in each 
image file and that image processing does not alter or delete it;
    (6) Transfer metadata specified by paragraphs (c) and (d) of this 
section to NARA in CSV format; and
    (7) Retain documentation and information described in 36 CFR 
1222.28 and associate it with the digitized records.
    (c) Administrative metadata. (1) Capture in a record-keeping system 
and embed in each image file the following administrative metadata:

[[Page 77105]]



                                           Table 1 to Paragraph (c)(1)
----------------------------------------------------------------------------------------------------------------
             Metadata label                               Description                      Requirement level
----------------------------------------------------------------------------------------------------------------
Identifier: File Name...................  The complete name of the computer file,     Mandatory.
                                           including its extension.
Identifier: Record ID...................  The unique identifier assigned by an        Mandatory.
                                           agency or a records management system.
                                           Sec.   1236.20(b)(1) requires that
                                           agencies assign unique identifiers to
                                           each record.
Identifier: Disposition Schedule Item #.  The number assigned to the disposition      Mandatory.
                                           schedule item to which the record belongs.
Relation: Has Part......................  A related record that is either physically  Mandatory if a record
                                           or logically required in order to form a    includes multiple parts,
                                           complete record. Mixed-media files that     such as the component
                                           contain records on multiple media types     parts of a case file or
                                           should use this element to identify all     mixed-media file.
                                           components.
Relation: Is Part Of....................  A related record or file in which the       Mandatory if file is a
                                           described record is physically or           component of a multi-part
                                           logically included. Records that are        record.
                                           components of mixed media files should
                                           use this element to indicate their status.
----------------------------------------------------------------------------------------------------------------

    (2) Capture in a record-keeping system and embed in each file any 
of the following access and use restrictions metadata inherited from 
the original source records:

                                           Table 2 to Paragraph (c)(2)
----------------------------------------------------------------------------------------------------------------
          Metadata label              Required fields                Description              Requirement level
----------------------------------------------------------------------------------------------------------------
Access Restrictions..............  Access Restriction    Indicate whether or not there are   Mandatory.
                                    Status.               access restrictions on the record.
                                   Specific Access       Specific access restrictions on     Mandatory if access
                                    Restriction.          the record, based on national       restriction
                                                          security considerations (e.g.,      exists.
                                                          CNSI, CUI), donor restrictions,
                                                          court orders, and other statutory
                                                          or regulatory provisions,
                                                          including Privacy Act and Freedom
                                                          of Information Act (FOIA)
                                                          exemptions.
Use Restrictions.................  Use Restriction       Indicate whether or not there are   Mandatory.
                                    Status.               use restrictions on the record.
                                   Specific Use          The type of use restrictions on     Mandatory if use
                                    Restriction.          the record, based on copyright,     restriction
                                                          trademark, service mark, donor,     exists.
                                                          or statutory provisions,
                                                          including Privacy Act and Freedom
                                                          of Information Act (FOIA)
                                                          exemptions.
Rights: Rights Holder............  ....................  A person or organization owning or  Mandatory if there
                                                          managing intellectual property      is a rights
                                                          rights relating to the record.      holder.
----------------------------------------------------------------------------------------------------------------

    (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 your agency's existing record-keeping practices and level 
of intellectual control, you may use information from the record 
series, file unit, or project level as the source for administrative 
and descriptive metadata fields. If the components of a record have not 
been individually indexed with unique descriptions, you may 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, you must apply the item Record IDs instead. Retain the metadata 
in a record-keeping system for each image file:

                                            Table 3 to Paragraph (d)
----------------------------------------------------------------------------------------------------------------
             Metadata label                               Description                      Requirement level
----------------------------------------------------------------------------------------------------------------
Title...................................  A name given to the original 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 of   Mandatory.
                                           the record, including abstracts for
                                           document.
Creator.................................  The agent (person, agency, other            Mandatory.
                                           organization, etc) primarily responsible
                                           for creating the original record.
Date: Creation Date.....................  The date or date range indicating when the  Mandatory.
                                           original record met the definition of a
                                           Federal record.
Source Type.............................  The medium of the original source record    Mandatory.
                                           scanned to create a digital still image.
Source Dimensions.......................  The dimensions of the original source       Mandatory.
                                           record (including unit of measure).
----------------------------------------------------------------------------------------------------------------


[[Page 77106]]

    (e) Technical metadata. (1) Technical metadata is the metadata the 
scanning equipment generates during the digitization process.
    (2) Embed image files with the following technical metadata 
describing the digitization process and the resulting electronic 
records, and ensure that image processing does not delete or alter it:

                                           Table 4 to Paragraph (e)(2)
----------------------------------------------------------------------------------------------------------------
            Metadata label                                Definition                       Requirement level
----------------------------------------------------------------------------------------------------------------
File Size.............................  The size in bytes of the image file..........  Mandatory.
Format Name and Version...............  The format name or description of the file     Mandatory.
                                         format.
Image Width...........................  The width of the digital image, i.e.,          Mandatory.
                                         horizontal or X dimension, in pixels.
Image Height..........................  The height of the digital image, i.e.,         Mandatory.
                                         vertical or Y dimension, in pixels.
Color Space...........................  The well-defined name of the International     Mandatory.
                                         Color Consortium (ICC) profile used.
Date and Time Created.................  The Date or Date Time the digital image was    Mandatory.
                                         created.
Scanner Make and Model................  The manufacturer and model of the scanner      Mandatory if using a
                                         used to create the image.                      scanner.
Scanning Software Name and Version....  The name and version of the software the       Mandatory if using
                                         scanner uses to create the image.              scanning software.
Digital Camera Make and Model.........  The manufacturer and model of the digital      Mandatory if using a
                                         camera used to create the image.               digital camera.
Samples Per Pixel.....................  The number of color components per pixel.....  Mandatory.
----------------------------------------------------------------------------------------------------------------

    (3) When digitization and image processing are complete and when 
you determine that the records are no longer in active use and no 
longer subject to changes that would alter a checksum, you must 
generate checksums, record them as technical metadata in a record-
keeping system for each image file, and use them to monitor electronic 
records for corruption or alteration:

                                           Table 5 to Paragraph (e)(3)
----------------------------------------------------------------------------------------------------------------
          Fixity metadata label                           Description                      Requirement level
----------------------------------------------------------------------------------------------------------------
Message Digest Algorithm................  The specific algorithm used to construct    Mandatory.
                                           the message digest for the digital object
                                           or bitstream.
Message Digest (checksum)...............  The output of Message Digest Algorithm....  Mandatory.
----------------------------------------------------------------------------------------------------------------

    (f) Transfer metadata. (1) When you transfer digitized records to 
NARA's legal and physical custody, you must also transfer the 
associated metadata specified by paragraphs (c), (d), and (e) of this 
section.
    (2) In addition, you will need to enter the following separate 
metadata into the Electronic Records Archive (ERA) when you create the 
Transfer Request (TR) to begin transferring the records:

                                           Table 6 to Paragraph (f)(2)
----------------------------------------------------------------------------------------------------------------
          Metadata label              Required fields                Description              Requirement level
----------------------------------------------------------------------------------------------------------------
Transfer Title...................  Transfer Title......  The name assigned to the            Mandatory.
                                                          collection, set or series of
                                                          records you are transferring to
                                                          NARA.
Dates............................  Inclusive Start Date  The beginning date on which the     Mandatory.
                                                          record group, collection, series,
                                                          or set you are transferring to
                                                          NARA was created, maintained, or
                                                          accumulated by the creator.
                                   Inclusive End Date..  The last date on which the record   Mandatory.
                                                          group, collection, series, or set
                                                          you are transferring to NARA was
                                                          created, maintained, or
                                                          accumulated by the creator.
Creating Organization............  Creating              The name of the organization        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 to a     Mandatory.
                                    Number.               record group.
General Records Type.............  General Records Type  The general form of the records     Mandatory.
                                                          set, series, or collection you
                                                          are transferring, such as:
                                                          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 there are   Mandatory.
                                    Status.               access restrictions on the set,
                                                          collection, or series of records
                                                          you are transferring to NARA.

[[Page 77107]]

 
                                   Specific Access       Specific access restrictions on     Mandatory if access
                                    Restriction.          the set, collection, or series of   restriction
                                                          records, based on national          exists.
                                                          security considerations (e.g.,
                                                          CNSI, CUI), donor restrictions,
                                                          court orders, and other statutory
                                                          or regulatory provisions,
                                                          including Privacy Act and Freedom
                                                          of Information Act (FOIA)
                                                          exemptions.
Use Restrictions.................  Use Restriction       Indicate whether or not there are   Mandatory.
                                    Status.               use restrictions on the set,
                                                          collection, or series of records
                                                          you are transferring to NARA.
                                   Specific Use          The type of use restrictions on     Mandatory if access
                                    Restriction.          the set, collection, or series of   restriction
                                                          records, based on copyright,        exists.
                                                          trademark, service mark, donor,
                                                          or statutory provisions,
                                                          including Privacy Act and Freedom
                                                          of Information Act (FOIA)
                                                          exemptions.
Record Schedule Number...........  Records Schedule      The number NARA assigned to the     Mandatory.
                                    Number.               record schedule that applies to
                                                          all the records in the
                                                          collection, series, or set you
                                                          are transferring.
----------------------------------------------------------------------------------------------------------------

Sec.  1236.56   Quality control (QC) inspection requirements.

    (a) You must design a QC plan to document and correct errors due to 
malfunctioning or improperly configured digitization equipment, 
improper software application settings, incorrect metadata capture, or 
human error. You should perform QC inspections of files for compliance 
with all parameters and criteria identified for QA in parts Sec. Sec.  
1236.48 through 1236.54.
    (b) You must select equipment that meets or exceeds identified 
parameters. To determine that digitization devices are capable of 
meeting imaging parameters, you must conduct an image quality analysis 
process and use device-level reference targets.
    (c) QC procedures must verify that digital image files:
    (1) Meet file format requirements specified in Sec.  1236.48,
    (2) Comply with the file attribute and technical evaluation 
parameter tolerance ranges specified in Sec.  1236.50, and
    (3) Meet the metadata requirements specified in Sec.  1236.54.
    (d) You must inspect a random sample of either ten images or 10% of 
each batch of digital images, whichever is larger, for the following 
characteristics:
    (1) File quality: You can open and view the files; they are well-
formed according to the specified file format in Sec.  1236.48; they 
have the correct pixel dimensions; they are encoded with the correct 
color mode, bit depth, color profile, and, if compressed, they are 
compressed as specified in Sec.  1236.50. You may verify file quality 
using automated techniques.
    (2) Image quality: Ensure that digital files meet image quality 
parameters (spatial resolution, image tone, brightness, contrast, and 
color accuracy) specified in Sec.  1236.50; that the files have no 
clipping (missing detail lost in highlights or shadows), channel 
misregistration, or quantization errors; and that the informational 
content of the record is not compromised by excessive image artifacts 
(dust, Newton's rings, missing pixels, scan lines, drop-outs, flare, or 
over-sharpening).
    (i) You should inspect image quality attributes on a color-managed 
computer.
    (ii) Perform a visual review to assure images are accurate and 
consistent. Verify the files are not dimensionally distorted, have 
correct orientation (portrait/vertical, landscape/horizontal, 
horizontally or vertically flipped), and informational content is not 
cropped.
    (iii) Conduct visual evaluation of images at 100% magnification on 
a color-managed computer monitor.
    (iv) In addition to conducting visual inspections, you may also 
verify digital file specifications using automated techniques.
    (v) Conduct manual QC inspections to evaluate subjective factors, 
such as appearance or legibility.
    (3) Metadata quality: Ensure that files are named according to 
project specifications, that correct administrative, descriptive, and 
technical metadata are captured in a record-keeping system, and correct 
metadata elements are embedded in file headers.
    (i) You must conduct manual QC inspections to evaluate the accuracy 
of metadata.
    (ii) You may also evaluate the accuracy of metadata using automated 
techniques, if applicable.
    (4) If you detect errors during inspection, perform the following 
steps to ensure that the specifications and requirements in Sec. Sec.  
1236.41 through 1236.56 have been met:
    (i) If 1% or more of examined records fail to meet any of the 
criteria in this subpart, determine the source and scope of any errors, 
correct or re-digitize affected records, and conduct additional 
inspections of 10% random samples until you achieve a 100% success rate 
for the sample set;
    (ii) If less than 1% of examined records fail to meet any of the 
criteria in this subpart, determine the source and scope of any errors 
and correct or re-digitize the affected records.
    (e) You must conduct a QC inspection for completeness. You must:
    (1) Employ automated and visual inspection processes to verify 
record completeness;
    (2) Visually compare source records with their digitized versions 
to verify that 100% of the source materials have been captured and 
accounted for, and that the digitized records are in the same order as 
the original;
    (3) Verify that all records have been accounted for by referring to 
box lists, folder title lists, or other inventories;
    (4) Verify that all sources of record information have been 
digitized by examining records for related envelopes, notes, or other 
forms of media. If another form of media is present that cannot be 
digitized, associate it with the digitized records using the Relation 
metadata elements in 1236.54(c); and
    (5) Identify and document any missing pages or images (and you will 
note this information in the Details section of the ERA Transfer 
Request (TR) when transferring the records).


Sec.  1236.58   Validating digitized records and disposition 
instructions.

    (a) When you complete a digitization project, you must validate 
that the digitized versions meet the standards in Sec. Sec.  1236.41 
through 1236.56.
    (b) The validation should be conducted by separate staff, 
independent from the staff that performed the digitization QC 
inspections described in Sec.  1236.56.
    (c) To conduct the validation, you must verify that:
    (1) All records identified in the project's scope have either been

[[Page 77108]]

digitized or were originally identified in project documentation as 
missing or incomplete records (and you will note this information in 
the Details section of the ERA Transfer Request (TR) when transferring 
the records);
    (2) All required metadata is 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 the smallest level of detail 
necessary to understand and use the records has 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; and
    (6) Project documentation has been created according to Sec.  
1236.46.
    (d) After validating, you must determine whether or not the agency 
has any reasons for retaining the original source records for a period 
of time once digitized. See Sec.  1236.40(f).
    (e) After validating, you may dispose of the original source 
records pursuant to a NARA-approved records schedule that addresses 
disposition after digitization.
    (f) Agencies cannot use the GRS to dispose of original 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 to be able to transfer the records to the National 
Archives.
    (g) Agencies must retain the project documentation described in 
Sec.  1236.46 until the National Archives confirms receipt of the 
records and legal custody of the records has been transferred.
    (h) Agencies must transfer the administrative, technical, and 
descriptive metadata captured during the digitization project, as 
defined in Sec.  1236.54, with the digitized records.

David S. Ferriero,
Archivist of the United States.
[FR Doc. 2020-26239 Filed 11-30-20; 8:45 am]
BILLING CODE 7515-01-P