Frequently Asked Questions (FAQ) about Non-Compliant Permanent Digitized Records
Issued: November 30, 2023
The Office of Management and Budget (OMB) and the National Archives and Records Administration (NARA) joint memorandums M-19-21 and M-23-07 provide significant new direction in the way federal agencies manage permanent records. To the greatest extent possible, agencies must transfer digital versions of permanent records to the holdings of the National Archives of the United States. In May 2023, NARA issued regulations with digitization standards for permanent records to help agencies meet this goal. The regulations are found in 36 CFR Part 1236 Subpart E -- Digitizing Permanent Federal Records. The regulations are mandatory for all permanent paper records and photographic prints digitized and not yet transferred to the holdings of the National Archives. This means that the regulations apply regardless of whether the permanent paper records were digitized before or after the effective date of June 5, 2023.
This FAQ answers questions about non-compliant digitized records that were created before the regulations were issued. It is reasonable to assume that most records digitized before the regulations were issued will not be compliant with all the digitization standards.
- What are non-compliant digitized permanent records?
- What is the record status of source records and digitized records?
- Can the agency records schedule for the source records be applied to the digitized records?
- What if digitized records do not meet the standards in NARA’s regulations?
- What about sending the source records to NARA instead of the digitized records?
- One of the options for managing previously digitized records is to submit a new records schedule. How will NARA determine whether or not to accept the previously digitized records in the new records schedule?
- Why can’t agencies use media-neutral records schedules to transfer previously digitized records to NARA?
- What if agencies submitted a NA 13171 form?
- What if agencies destroyed the source records and only have the digitized versions?
- Is there anything agencies can do to make previously digitized records comply with the standards?
- Should agencies update the metadata on previously digitized records to comply with the standards?
- Should agencies convert bitonal (black and white) images to grayscale to comply with the standards?
- What do agencies do with previously digitized film records or records on other media not yet covered by the digitization standards?
- What other guidance or resources related to digitized records are available?
1. What are non-compliant digitized permanent records?
Non-compliant digitized records are those that do not meet the standards in the regulations. Agencies may have ongoing digitization projects that continue to generate non-compliant digitized records. NARA recognizes that it will take agencies time to implement the digitization standards for permanent records. This document provides answers to questions that apply to any digitization work that does not comply with the digitization standards.
2. What is the record status of source records and digitized records?
When digitizing records, agencies end up with two versions: the source records in paper or analog form and the digital records. Both versions are federal records as defined in the regulations:
- Source records are the records from which a digitized version or digitized record is created. The source records should be the record copy that was used in the course of agency business.
- Digitized records are the records created by converting paper or other media formats to digital forms that are of sufficient authenticity, reliability, usability, and integrity to replace the source records.
Because both versions are federal records, each version must be covered by a disposition authority, either an agency records schedule or a General Records Schedule (GRS).
3. Can the agency records schedule for the source records be applied to the digitized records?
If agencies validate that they have digitized permanent records according to NARA’s digitization standards, then agencies can:
- transfer the digitized records to NARA under the existing permanent records schedule, and
- destroy the source records under GRS 4.5, item 010, provided the records do not fall under any of the exclusions
GRS 4.5, Digitizing Records, covers the disposition of source records that have been digitized and documentation related to digitization projects and processes.
4. What if digitized records do not meet the standards in NARA’s regulations?
In cases where agencies have non-compliant previously digitized records, they may:
- Submit a new records schedule to supersede the disposition instructions in the existing records schedule.
Submit a new schedule with a specific disposition instruction that allows the agency to transfer the previously digitized records to NARA and destroy the source records. Although the records that were digitized earlier may not meet the current standards, NARA, upon review, may determine that the digitized records could effectively serve as archival records.
The purpose of submitting a new schedule is to determine if NARA can accept the previously digitized records as permanent records and to determine if the source records should be scheduled as temporary. The scheduling process enables agencies, NARA, and the public to have confidence in the processes used to digitize the permanent records and to clearly understand what records NARA will accept at the time of transfer. The public has an opportunity to review the proposed records schedule via the Federal Register process.
- Re-digitize and validate the source records according to the standards.
This option acknowledges past digitization efforts were made with different goals and assumptions about the status of the records. Digitizing records for easier access or to manage business processes is different from digitizing records to preserve them as part of the nation's history in the National Archives.
Agencies may decide to re-digitize records for several reasons, such as meeting litigation or access requirements, or to obtain higher quality images that meet agency business purposes. This may be necessary because the same quality management and intellectual control requirements needed for archival preservation could also be needed for these purposes.
By choosing this option, agencies can destroy the source records according to GRS 4.5 and transfer the newly digitized records to NARA as permanent records. The previously digitized records would likely be considered temporary records based on an applicable GRS or other agency records schedule.
- Transfer the born-digital records.
Most records printed in the past three decades were created on computers. It is rare today to have paper records that were handwritten or created on a typewriter. Usually, the digital records were printed as part of an agency’s business processes, such as obtaining a handwritten signature.
The agency may be able to access the born-digital records that were printed to create the paper records. In this case, if the born-digital records can be used for all of the same purposes as the paper records, then the agency should consider transferring those born-digital records to the National Archives holdings. However, agencies must ensure the digital records are equivalent to the paper records and provide the context, content, and structure needed to understand the records. In addition, the transfer of born-digital permanent records must meet NARA guidance on transferring permanent records, including file formats, metadata, and file lists.
In this option, if the born-digital records can be used for the same business purposes as the paper, then the born-digital records would be the permanent records. Both the printed records and previously digitized records would likely be considered temporary records and could be disposed of according to an applicable GRS or other agency records schedule.
If agencies cannot validate that the digitized permanent records meet the standards, they cannot use GRS 4.5 to dispose of the source records. They also cannot use existing media-neutral records schedules to transfer the digitized records (See question 9). NARA will work with agencies to appraise the records and determine the best course of action for managing both sets of records.
5. What about sending the source records to NARA instead of the digitized records?
Agencies may send the source records to NARA before the M-23-07 deadline of June 30, 2024. This strategy would allow agencies to transfer the source records to NARA as the permanent records. The digitized records could be destroyed as temporary records under an applicable GRS or agency records schedule. Sending source records to NARA includes:
- Sending the source records to a NARA Federal Records Center before the deadline of June 30, 2024.
In this option, agencies would pay only the costs for storage and services. Once the permanent records have been transferred to the National Archives through the annual move process, NARA will assume responsibility for providing access to these records.
- Transferring the source records as a direct offer to the National Archives’ holdings before the deadline of June 30, 2024.
If your agency cannot send source records to NARA before the deadline, you may request an exception. If approved by NARA, agencies may continue sending source records to the Federal Records Centers or to continue transferring source records as direct offers.
Information about the exception process is outlined in NARA Bulletin 2020-01. However, the goal remains for the federal government to transition to digital records. Exceptions are typically limited and should be part of an overall business case or agency strategy to transition to digital records.
If your agency cannot send source records to NARA before the deadline and an exception is not approved, then the options in question 4 remain as your agency's options to manage non-compliant scanned records.
6. One of the options for managing previously digitized records is to submit a new records schedule. How will NARA determine whether or not to accept the previously digitized records in the new records schedule?
The agency's records officer needs to submit a new records schedule to supersede the existing disposition authority. The schedule should contain new disposition instructions for the previously digitized records and the source records.
NARA will review the new schedule and will request specific data from the agency regarding the processes, validation methods, technical specifications, and metadata standards the agency used to digitize the records. NARA will follow up with the agency for clarification or with further questions if needed. NARA will assess the agency’s digitization processes to inform the appraisal, review, and approval of the records schedule.
If NARA determines the digitized records are acceptable for permanent preservation, NARA will recommend approval of the schedule. If NARA determines the digitized records are not acceptable, NARA will return the schedule without action. If NARA cannot accept the previously digitized records, the other options in questions 4 and 5 remain available. The agency will need to take additional action to appropriately manage and transfer the permanent records.
7. Why can’t agencies use media-neutral records schedules to transfer previously digitized records to NARA?
Before 2007, agency records schedules did not always contain descriptions or disposition instructions that indicated if the series of records was paper or electronic. If the agency records schedule did not clearly state the permanent records were electronic, NARA assumed the schedule only applied to paper records. Therefore, NARA would not accept a transfer request for electronic records covered by a pre-2007 schedule unless the schedule was media-specific for electronic records. In 2007, NARA published regulations 36 CFR 1225.12(e) that established a media-neutral approach to federal records management and records scheduling.
Going forward from 2007, agency record schedules included the term “media neutral” to indicate that the disposition could apply to any media type -- paper or electronic. The media-neutral approach covered paper/analog records, digitized records, and born-digital records. The media-neutral schedule provided flexibility for NARA and agencies to determine how to accession permanent records.
In November 2014, the amendments to the Federal Records Act (FRA) impacted NARA’s media neutrality stance. The FRA required NARA to issue standards for the reproduction of records by digital processes with a view to the disposal of the original records (44 U.S.C. Chapter 3302). Any media-neutral agency records schedule should not have been applied to digitized records until the standards were issued. Now that the regulations have been issued, agencies can transfer the digitized records under a media-neutral schedule -- if the records meet the digitization standards.
8. What if agencies submitted a NA 13171 form?
In addition to publishing 36 CFR 1225.12(e), NARA also published regulations in 36 CFR 1225.24 allowing agencies to apply a previously-approved agency record schedule, presumed to only apply to paper/analog records, to electronic records. The regulations required agencies to notify NARA if they applied this scheduling approach to permanent records.
In 2010, NARA issued NARA Bulletin 2010-04 to refine the notification requirement. The bulletin was accompanied by a new NARA form, NA 13171: Notifications for Previously Scheduled Permanent Records. Agencies would submit the form certifying they had transitioned from a paper-based system to an electronic records system. For scanned textual records, the form required additional certification forms (Appendix A, Scanned Images of Textual Records).
When NARA finished a review of the notification form, agencies could then transfer the permanent electronic records instead of the paper records. This practice updated the agency records schedule without having to conduct the formal scheduling process. Therefore, if an agency has a completed NA 13171 form, it may continue transferring the previously digitized records to NARA. Agencies do not have to reschedule or re-digitize these records. However, they must implement the new standards going forward.
NARA has revoked the bulletin and the NA 13171 form and is revising the regulations. Agencies may no longer submit this form. If an agency has questions about previously submitted NA 13171 forms, they should contact their appraisal archivist.
9. What if agencies destroyed the source records and only have the digitized versions?
If an agency destroyed source records without applying an agency record schedule or General Record Schedule, then they should report it as an unauthorized disposition of records. For more information or to report a case of unauthorized disposition, please contact UnauthorizedDisposition@nara.gov.
10. Is there anything agencies can do to make previously digitized records comply with the standards?
The standards encompass numerous requirements covering records management, digitization, metadata, quality management, and validation. These requirements work together to ensure that digital copies can fulfill all the same functions as the source records. Retroactively applying these processes to records digitized using different standards and processes is generally not feasible.
11. Should agencies update the metadata on previously digitized records to comply with the standards?
There are several categories of metadata in the NARA standards including administrative, descriptive, and technical. Depending on the metadata type, it may or may not be possible to retroactively add or update metadata. If retroactively updating metadata is not possible, agencies should look at the other options available in questions 4 and 5.
In situations where agencies determine they have a business need to add or update required metadata, they should be mindful that they do not unintentionally delete or alter other metadata resulting in records whose authenticity might be challenged.
12. Should agencies convert bitonal (black and white) images to grayscale to comply with the standards?
Agencies should not use imaging software to alter non-conforming technical parameters of images such as their color mode, compression type, or resolution as a means of complying with the regulation. See question 4 above for agency options for non-compliant digitized records.
13. What do agencies do with previously digitized film records or records on other media not yet covered by the digitization standards?
The regulations in 36 CFR 1236 do not currently cover standards and procedures for digitizing permanent film records or dynamic media records.
For questions about digitization standards for these record types, please contact the Records Management Policy and Standards Team at rmstandards@nara.gov.
14. What other guidance or resources related to digitized records are available?
The following guidance and resources on digitized records are available on NARA's Digitization of Federal Records webpage: