Inquiries Regarding the Process of Moving Permanent Digital Documents to the National Archives and Records Administration (NARA)
In order to transfer permanent electronic records to the National Archives and Records Administration (NARA), agencies must adhere to specific processes involving approved file formats, methods of transfer, and documentation requirements.
Acceptable File Formats and Electronic Management
Agencies are required to manage all permanent electronic records electronically for eventual transfer to NARA in an electronic format. While NARA does not provide a comprehensive list of acceptable file formats, they generally prefer open, standards-based formats that ensure long-term preservation and accessibility. Common acceptable formats include XML, PDF/A, TIFF for images, and widely supported audio/video formats. Agencies should refer to NARA’s electronic records guidelines for detailed format specifications.
Methods of Transfer
Transfers of permanent records are typically done electronically via NARA’s Electronic Records Archives (ERA) system, which agencies use to submit schedules and prepare information about the records. Physical media transfers may also be possible, but electronic transfer via ERA is the primary method for permanent electronic records. Agencies must document the transfer correctly and ensure records are accessible, retrievable, and managed throughout their lifecycle.
Documentation Requirements
Agencies must provide detailed information including a description of the records series or system to be transferred, inclusive dates, disposition authority, evidence of government interest, certification of no restricted information, and compliance with relevant checklists for early or late transfer.
Additional Points
- Agencies submit records schedules and transfer proposals via NARA’s ERA and use tools like the ERA 2.0 Schedule Data Entry Tool to ensure completeness and consistency.
- The Archivist of the United States must approve records retention schedules before transfer.
- Agencies have until the government-mandated deadlines to comply with full electronic management.
- Records must be maintained in formats ensuring long-term integrity, accessibility, and compliance with government recordkeeping policies.
Limitations and Further Information
- The SFTP method has limitations, such as a 30 GB file limit per upload link, a 14-day active period for each link, and the inability to handle classified records.
- Documentation requirements for transferring electronic records, including Capstone email, are defined in 36 CFR 1235.48, NARA Bulletin 2015-04, and Frequently Asked Questions (FAQs) about GRS 6.1: Email Managed under a Capstone Approach.
- NARA can support cloud-based transfers from agencies on a limited, ad hoc basis. Updates regarding operationalizing cloud-based transfers will be shared via the Records Express blog and AC memos.
- If mailing records on media, NARA recommends using a mail service which offers package tracking.
- There is no requirement that emails be grouped into an aggregate format like PST for transfer, but agencies may find economies and efficiencies in managing emails as a single email aggregation.
Science and technology play crucial roles in managing and transferring electronic records effectively. Agencies should use open, standards-based file formats like XML, PDF/A, TIFF, and widely supported audio/video formats for long-term preservation and accessibility (science, technology). Agencies also need to document the transfer process meticulously, providing details such as records series descriptions, disposition authority, and evidence of government interest, ensuring compliance with relevant checklists for early or late transfer (medical-conditions).
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