Agency Metadata Requirements for Transferring Permanent Electronic Records

The following is a guest post from the Accessioning Branch Archivists of the Electronic Records Division, the custodial unit for permanent federal electronic records.

As agencies are transitioning to a fully digital government, NARA would like to share a reminder of the metadata requirements for transferring permanent electronic records. NARA may not approve proposed accessions that lack metadata.

Transfer Request Finding Aid Requirement

Agencies must transfer documentation adequate to identify, service, and interpret the permanent electronic records and provide metadata in an appropriate format when transferring permanent electronic records (NARA 2015-04 and 36 CFR 1235.48).

As outlined in 36 CFR 1232.16, finding aids are required for all Direct Offers and must be attached to the ERA 2.0 transfer request at the time of submission to NARA. For electronic records, the term "finding aid" generally equates to documentation or metadata and may also be referred to as a file list. Unlike a textual record box or folder listing, electronic record finding aids must list every file within an electronic record transfer so that NARA can ensure each and every file is received.

NARA Bulletin 2015-04 : Metadata Guidance for the Transfer of Permanent Electronic Records further defines "documentation" by specifying the minimum set of metadata elements that must accompany transfers of permanent electronic records to the National Archives. The Electronic Records Division recommends agencies utilize the above linked metadata template to ensure all required fields are provided when proposing a direct offer. Please note that some types of records, including digitized records and Capstone records, require additional metadata fields for transfer. NARA Bulletin 2015-04 provides descriptions of each field shown on the template.

GitHub: Filelister

The Electronic Records Accessioning Support Tools GitHub repository supports agencies in their preparation of metadata and permanent electronic records for transfer to NARA. Specifically, FileLister allows users to pull the file name, full file path, size in bytes, file extension, date modified, and SHA-256 Hash. This will create an easy baseline file list of every file within a selected directory that can be exported to a CSV file.

These Java tools are in JAR file format and do not require installation or administrative privileges to use. We recommend that agencies obtain IT permission prior to using the tools. Using these tools not only supports preparing required metadata, but also assists NARA when processing, preserving, and providing access to electronic records.

Please contact your electronic records accessioning archivist for an alternative if your agency cannot use Java tools.

Additional Metadata Requirements for Digitized Records

As of June 30, 2024, NARA will no longer accept transfers of permanent or temporary records in analog formats and will accept records only in an electronic format with appropriate metadata (M-23-07). Prior to transfer, analog records must first be digitized according to the standards set forth in 36 CFR 1236 Subpart E.

Agencies must provide additional metadata when transferring digitized records. 36 CFR 1236.54 specifies the administrative, descriptive, and technical metadata elements that must be captured when permanent records are digitized and provided with the digital versions at the time of transfer.

In addition to newly required technical metadata that outlines the digitization process, there are now two distinct and required date fields for digitized records. The "Date: Creation Date" field is the date or date range indicating when the source record met the definition of a Federal record. This is the date the record was created. Alternatively, the "Date Time Created" field is the date or date-and-time the digital image was created - when the physical record copy was digitized.

Additional Metadata Requirements for Capstone Records

Agencies must transfer to NARA the email and other types of electronic messages of Capstone officials captured during their tenure as Capstone officials. An agency is responsible for ensuring that email metadata listed in 36 CFR 1236.22 are preserved. Required metadata elements include the date of the email and the names and email addresses of all senders and recipients particularly if the system uses nicknames, distribution lists, or a blind copy feature.

NARA Bulletin 2014-04 contains Appendix A, which provides file format transfer guidance and specific details for transferring Email records. In addition, 36 CFR 1235.48 sets out the documentation agencies must provide to transfer permanent electronic records. This documentation should be an extension of the agency's approved form NA-1005, which documents approved permanent Capstone roles and positions. The following is an example of documentation, in the form of a list, of an agency's Capstone officials and the time period for capture of their email as permanent:

See the Accessioning Electronic Records and Frequently Asked Questions (FAQs) About Transferring Permanent Electronic Records to NARA for details. Please email [email protected] with any electronic records accessioning questions.

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