[Federal Register Volume 67, Number 90 (Thursday, May 9, 2002)]
[Rules and Regulations]
[Pages 31692-31697]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-10588]



[[Page 31691]]

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Part III





National Archives and Records Administration





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36 CFR Part 1230



Micrographic Records Management; Rule

  Federal Register / Vol. 67, No. 90 / Thursday, May 9, 2002 / Rules 
and Regulations  

[[Page 31692]]


    EDITOR'S NOTE: The Office of the Federal Register is publishing 
the following document in a special format to illustrate proposed 
changes to the appearance of the printed and PDF pages of the daily 
Federal Register. This experimental format uses a two-column layout, 
sans serif fonts, larger and bolder headings in the preamble and 
tables, bullets in the Summary, more space between lines of 
regulatory text, and makes other changes to the appearance of text 
and tables. The format changes are intended to improve the 
readability and public understanding of Federal regulations and 
notices without increasing white space that would affect printing 
costs charged to agencies. The proposed format would result in no 
change or a slight decrease in the number of pages printed. The 
format changes shown below do not affect the legal status of the 
final rule issued by the National Archives and Records 
Administration.
    We invite agencies and members of the public to comment on the 
proposed format by email at: [email protected], or by U.S. mail 
at: National Archives and Records Administration, Office of the 
Federal Register (NF), Federal Register Format Changes, 700 
Pennsylvania Ave., NW, Washington, DC 20408-0001. For more 
information the proposed format, go to the Federal Register web site 
at: http://www.nara.gov/fedreg/plainlan.html#top.
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1230

RIN 3095-AB06


Micrographic Records Management

AGENCY: National Archives and Records Administration (NARA).

ACTION: Final rule.

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SUMMARY: NARA is revising its Micrographic Records Management 
regulations to:
     Update the editions of standards incorporated by reference 
to the most current edition; and
     Rewrite the regulations in plain language format.
This final rule will affect Federal agencies.

DATES: This rule is effective June 10, 2002. The incorporation by 
reference of certain publications listed in this rule is approved by 
the Director of the Federal Register as of June 10, 2002.

FOR FURTHER INFORMATION CONTACT: Kim Richardson at telephone number 
301-713-7360, ext. 240, or fax number 301-713-7270.

SUPPLEMENTARY INFORMATION: NARA published a proposed rule on September 
11, 2001, at 66 FR 47125, for a 60-day public comment period. We 
received comments from 2 Federal agencies, 1 records management 
professional organization, and 2 members from the public. Following is 
a summary of the comments and a discussion of the changes that we made 
to the proposed rule.

Terminology (Secs. 1230.4 and 1230.7(f))

    ARMA International (ARMA) recommended replacing the term ``records 
schedule'' with ``records retention schedule'' in Sec. 1230.7(f) and 
defining the suggested term in Sec. 1230.4, Definitions. We did not 
adopt this comment because ``records schedule'' is a standard records 
management term that is used throughout NARA regulations. The term does 
not need to be included in Part 1230 because it is already defined in 
36 CFR 1220.14, which applies to the entire Subchapter B.

Discontinuing Filming Temporary Records (Sec. 1230.10)

    A Federal agency asked if NARA would require agencies to request 
approval before discontinuing filming temporary records when the 
records, regardless of format, would be kept for the same period of 
time. Agencies are not required to request approval to film temporary 
records (Sec. 1230.10(b)) and the same is true for discontinuing 
microfilming temporary records. The principle, which has been in place 
for many years now, is that the nature and use of temporary records is 
not changed when the original paper is copied to microform.

Filming Requirements (Sec. 1230.14)

    A Federal agency pointed out that Sec. 1230.14 no longer includes 
the phrase ``when the original paper records will be destroyed or 
otherwise disposed of,'' though Sec. 1230.22 still makes that 
distinction. We did not intend to change Sec. 1230.14(a) when we 
reformatted the paragraph in plain language, and have added the phrase 
in this final rule. We also modified Sec. 1230.14(a)(2) for clarity.

Using Dry Silver Film for Permanent Records (Sec. 1230.14)

    A member from the public recommended that we consider revising the 
section to permit the use of dry silver film for filming permanent 
records. We did not adopt this change because for long-term retention, 
the dry-silver film is much riskier than the traditional silver-gelatin 
film.
     Dry silver film that meets the ISO standard has a life 
expectancy rating of only 100 years, while wet-processed silver-gelatin 
film with a polyester base has a higher life expectancy rating of 500 
years.
     Dry silver film is never ``fixed'' meaning, it will remain 
potentially developable for an indefinite period of time. Fixing is the 
process of removing the light sensitive silver salts. This means if the 
film is ever exposed to high temperatures (e. g., 120 degrees 
Fahrenheit to 130 degrees Fahrenheit) such as with an air conditioner 
failure, the film will ``develop'' and turn completely black, causing a 
catastrophic loss of all the information on the film.

Quality Standards (Sec. 1230.14(d))

    ARMA and a member from the public suggested adding a clause to the 
second sentence so that it will read as follows: ``Perform resolution 
tests using a ISO 3334-1991 Resolution Test Chart or a commercially 
available certifiable target manufactured to comply with this standard, 
and read the patterns following the instructions of ISO 3334-1991.'' We 
accept this comment and have incorporated the suggested clause.

Film and Image Requirements for Temporary Records (Sec. 1230.16(a))

    ARMA recommended use of the ARMA glossary to define temporary 
records in this section. We did not adopt this comment. Section 
1230.16(a) does not define ``temporary records'' but pertains to film 
and image requirements. We require that temporary records retained for 
100 years or longer meet the same image requirements as permanent 
records. This is not a new requirement. It already exists in the 
current regulation.

Inspection Period (Sec. 1230.22(b))

    ARMA suggested changing the inspection period from every 2 years to 
every 5 years because they believe the longer inspection period is 
sufficient under appropriate storage conditions and would be less 
costly. No Federal agency has objected to the 2-year inspection 
requirement that NARA selected.
    We partially accept this comment. We believe that it is important 
to conduct an initial inspection when the microfilm is 2 years old to 
identify any problems that did not appear when the film was processed 
and to ensure that it is stored in the proper environment. Acetate-
based microfilm stock, which was used prior to 1990, is more 
susceptible to deterioration than the polyester-based

[[Page 31693]]

microfilm used today. Therefore, we are retaining the requirement for 
inspection every 2 years for microfilms produced before 1990. Unless 
there is a catastrophic event (e.g., extended failure of environmental 
controls), microfilms produced during or after 1990 must be inspected 
on a 5-year cycle after the initial 2-year inspection.

Percentage of Inspection Sampling (Sec. 1230.22(a))

    ARMA commented that Sec. 1230.22(a) does not indicate the 
percentage of inspection sampling that is required. They questioned 
whether inspection is to cover 100 percent of all rolls of film or a 
lesser sampling. They recommended a sampling of approximately 10 
percent because it would provide a reliable inspection and help reduce 
costs incurred with the inspection process. They also recommended 
adding a separate section to address microfilm inspection procedures. 
We did not adopt these comments. There is no need for a change in 
language, since we believe that what ARMA is concerned about is 
adequately covered in ANSI/AIIM MS45-1990. That standard addresses both 
the proper sampling procedures (1/1000th of the group or 100 
microforms, whichever is greater, or the whole group if less than 100 
microforms) and the proper inspection procedures. No additional 
language is, therefore, required.
    This final rule is not a significant regulatory action for the 
purposes of Executive Order 12866 and has not been reviewed by the 
Office of Management and Budget. As required by the Regulatory 
Flexibility Act, I certify that this rule will not have a significant 
impact on a substantial number of small entities. This rule does not 
have any federalism implications.

List of Subjects in 36 CFR Part 1230

    Archives and records, Incorporation by reference.

    For the reasons set forth in the preamble, NARA revises part 1230 
of title 36, Code of Federal Regulations, to read as follows:

PART 1230--MICROGRAPHIC RECORDS MANAGEMENT

Subpart A--General
Sec.
1230.1   What does this part cover?
1230.2   What is the authority for this part?
1230.3   Publications incorporated by reference.
1230.4   Definitions.
Subpart B--Program Requirements
1230.7   What must agencies do to manage microform records?
Subpart C--Microfilming Standards
1230.10   Do agencies need to request NARA approval for the 
disposition of all microform and source records?
1230.12   What are the steps to be followed in filming records?
1230.14   What are the filming requirements for permanent and 
unscheduled records?
1230.16   What are the film and image requirements for temporary 
records, duplicates, and user copies?
Subpart D--Storage, Use and Disposition Standards of Microform Records
1230.20   How should microform records be stored?
1230.22   What are NARA inspection requirements for permanent and 
unscheduled microform records?
1230.24   What are NARA inspection requirements for temporary 
microform records?
1230.26   What are the use restrictions for permanent and 
unscheduled microform records?
1230.28   What must agencies do to send permanent microform records 
to a records storage facility?
1230.30   How do agencies transfer permanent microform records to 
the legal custody of the National Archives?
Subpart E--Centralized Micrographic Services
1230.50   What micrographic services are available from NARA?

    Authority: 44 U.S.C. 2907, 3302 and 3312.

Subpart A--General


Sec. 1230.1  What does this part cover?

    This part covers the standards and procedures for using 
micrographic technology to create, use, store, inspect, retrieve, 
preserve, and dispose of Federal records.Sec. 1230.2 What is the 
authority for this part?
    44 U.S.C. chapters 29 and 33, authorize the Archivist of the United 
States to:
    (a) Establish standards for copying records by photographic and 
microphotographic means;
    (b) Establish standards for the creation, storage, use, and 
disposition of microform records in Federal agencies; and
    (c) Provide centralized microfilming services for Federal agencies.


Sec. 1230.3  Publications incorporated by reference.

    (a) General. The following publications are hereby incorporated by 
reference into Part 1230. They are available from the issuing 
organizations at the addresses listed in this section. They may also be 
examined at the Office of the Federal Register, 800 North Capitol 
Street NW, suite 700, Washington, DC. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR Part 51. These materials are incorporated as 
they exist on the date of approval, and a notice of any change in these 
materials will be published in the Federal Register.
    (b) American National Standards Institute (ANSI) and International 
(ISO) standards. ANSI standards cited in this part are available from 
the American National Standards Institute, 25 West 43rd St., 4th Floor, 
New York, NY 10036. The standards can be ordered on line at http://webstore.ansi.org/ansidocstore/default.asp.
    ISO 10602:1995(E), February 1, 1995, Second edition, Photography-
Processed silver-gelatin type black-and-white film-Specifications for 
stability.
    ANSI/PIMA IT9.2-1998, April 15, 1998, American National Standard 
for Imaging Materials--Photographic Processed Films, Plates, and 
Papers--Filing Enclosures and Storage Containers.
    ANSI/ISO 5.2-1991, ANSI/NAPM IT2.19-1994, February 20, 1995, 
American National Standard for Photography--Density Measurements--Part 
2: Geometric Conditions for Transmission Density.
    ANSI/ISO 5-3-1995, ANSI/NAPM IT2.18-1996, March 8, 1996, American 
National Standard for Photography--Density Measurements--Part 3: 
Spectral Conditions.
    ISO 18911: 2000(E), First edition, November 1, 2000, Imaging 
materials-Processed safety photographic films--Storage practices.
    (c) Association of Information and Image Management (AIIM) 
Standards. You may obtain the following standards from the Association 
of Information and Image Management, 1100 Wayne Avenue, suite 1100, 
Silver Spring, MD 20910. The standards can be ordered on line at http://www.aiim.org/.
    ANSI/AIIM MS1-1996, August 8, 1996, Standard Recommended Practice 
for Alphanumeric Computer-Output Microforms--Operational Practices for 
Inspection and Quality Control.
    ANSI/AIIM MS5-1992, December 21, 1992, Standard for Information and 
Image Management-Microfiche.
    ANSI/AIIM MS14-1996, August 8, 1996, Standard Recommended Practice-
Specifications for 16mm and 35mm Roll Microfilm.
    ANSI/AIIM MS19-1993, August 18, 1993, Standard Recommended 
Practice-Identification of Microforms.
    ANSI/AIIM MS23-1998, June 2, 1998, Standard Recommended Practice-

[[Page 31694]]

Production, Inspection, and Quality Assurance of First-Generation, 
Silver Microforms of Documents.
    ANSI/AIIM MS32-1996, February 16, 1996, Standard Recommended 
Practice-Microrecording of Engineering Source Documents on 35mm 
Microfilm.
    ANSI/AIIM MS41-1996, July 16, 1996, Dimensions of Unitized 
Microfilm Carriers and Apertures (Aperture, Camera, Copy and Image 
Cards).
    ANSI/AIIM MS43-1998, June 2, 1998, Standard Recommended Practice-
Operational Procedures-Inspection and Quality Control of Duplicate 
Microforms of Documents and From COM.
    ANSI/AIIM MS45-1990, January 22, 1990, Recommended Practice for 
Inspection of Stored Silver-Gelatin Microforms for Evidence of 
Deterioration.
    ANSI/ISO 3334-1991, ANSI/AIIM MS51-1991, May 10, 1991, 
Micrographics--ISO Resolution Test Chart No. 2--Description and Use.


Sec. 1230.4  Definitions.

    The following definitions apply to this part:
    Archival microfilm. A photographic film that meets the standards 
described in Sec. 1230.14 and that is suitable for the preservation of 
permanent records when stored in accordance with Sec. 1230.20(a). Such 
film must conform to film designated as LE 500 in ANSI/NAPM IT9.1-1996.
    Background density. The opacity of the area of the microform not 
containing information.
    Computer-assisted retrieval (CAR) system. A records storage and 
retrieval system, normally microfilm-based, that uses a computer for 
indexing, automatic markings such as blips or bar codes for 
identification, and automatic devices for reading those markings and, 
in some applications, for transporting the film for viewing.
    Computer Output Microfilm (COM). Microfilm containing data 
converted and recorded from a computer.
    Facility. An area used exclusively to make or copy microforms.
    Microfilm. (1)Raw (unexposed and unprocessed) fine-grain, high 
resolution photographic film with characteristics that make it suitable 
for use in micrographics;
    (2) The process of recording microimages on film; or
    (3) A fine-grain, high resolution photographic film containing 
microimages.
    Microform. Any form containing microimages.
    Microimage. A document such as a page of text or a drawing that is 
too small to be read without magnification.
    Permanent record. Permanent record has the meaning specified in 
Sec. 1220.14 of this chapter.
    Records storage facility. Records storage facility has the meaning 
specified in Sec. 1220.14 of this chapter.
    Temporary record. Temporary record has the meaning specified in 
Sec. 1220.14 of this chapter.
    Unscheduled record. Unscheduled record has the meaning specified in 
Sec. 1220.14 of this chapter.
    Use or work copies. Duplicates of original film made to be used for 
reference or for duplication on a recurring or large-scale basis. These 
are not preservation master copies, which must be stored unused as 
specified in Sec. 1230.20.

Subpart B--Program Requirements


Sec. 1230.7  What must agencies do to manage microform records?

    Federal agencies must manage microform records by taking the 
following actions:
    (a) Assign responsibility for an agencywide program for managing 
microform records and notify the National Archives and Records 
Administration (NWM), 8601 Adelphi Rd., College Park, MD 20740-6001 of 
the name and title of the person assigned the responsibility.
    (b) Manage the microform records as part of other records and 
information resources management programs of the agency.
    (c) Include microform records management objectives, 
responsibilities, and authorities in pertinent agency directives and 
disseminate them to appropriate officials.
    (d) Address records management issues, including disposition, 
before approving new microform records systems or enhancements to 
existing systems.
    (e) Train the managers and users of microform records.
    (f) Develop records schedules covering microform records and 
finding aids, secure NARA approval, and apply the disposition 
instructions.
    (g) Schedule computerized indexes associated with microform 
records, such as in a computer-assisted retrieval (CAR) system, in 
accordance with part 1234 of this chapter.
    (h) Review practices used to create and manage microform records 
periodically to ensure compliance with NARA standards in this part.

Subpart C--Microfilming Standards


Sec. 1230.10  Do agencies need to request NARA approval for the 
disposition of all microform and source records?

    (a) Permanent or unscheduled records. Agencies must schedule both 
source documents (originals) and microforms. NARA must approve the 
schedule, Standard Form (SF) 115, Request for Records Disposition 
Authority, in accordance with part 1228 of this chapter before any 
records, including source documents, can be destroyed. NARA will not 
approve the destruction of original records that have intrinsic value, 
or security classified or otherwise restricted original records that 
are scheduled as permanent, or original records that are scheduled as 
permanent and that have other characteristics that would limit the 
usefulness of microform copies for public reference.
    (1) Agencies that comply with the standards in Sec. 1230.14 must 
include on the SF 115 the following certification: ``This certifies 
that the records described on this form were (or will be) microfilmed 
in accordance with the standards set forth in 36 CFR part 1230.''
    (2) Agencies using microfilming methods, materials, and procedures 
that do not meet the standards in Sec. 1230.14(a) must include on the 
SF 115 a description of the system and standards used.
    (3) When an agency intends to retain the silver original microforms 
of permanent records and destroy the original records, the agency must 
certify in writing on the SF 115 that the microform will be stored in 
compliance with the standards of Sec. 1230.20 and inspected as required 
by Sec. 1230.22.
    (b) Temporary records. Agencies do not need to obtain additional 
NARA approval when destroying scheduled temporary records that have 
been microfilmed. The same approved retention period for temporary 
records is applied to microform copies of these records. The original 
records can be destroyed once microfilm is verified, unless legal 
requirements prevent their early destruction.


Sec. 1230.12  What are the steps to be followed in filming records?

    (a) Ensure that the microforms contain all information shown on the 
originals and that they can be used for the purposes the original 
records served.
    (b) Arrange, describe, and index the filmed records to permit 
retrieval of any particular document or component of the records. Title 
each microform roll or fiche with a titling target or header. For 
fiche, place the titling information in

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frame 1 if the information will not fit on the header. At a minimum, 
titling information must include:
    (1) The title of the records;
    (2) The number or identifier for each unit of film;
    (3) The security classification, if any; and
    (4) The name of the agency and organization the inclusive dates, 
names, or other data identifying the records to be included on a unit 
of film.
    (c) Add an identification target showing the date of filming. When 
necessary to give the film copy legal standing, the target must also 
identify the person who authorized the microfilming. See ANSI/AIIM 
MS19-1993 for standards for identification targets.
    (d) The following formats are mandatory standards for microforms:
    (1) Roll film. (i)Source documents. The formats described in ANSI/
AIIM MS14-1996 must be used for microfilming source documents on 16mm 
and 35mm roll film. A reduction ratio no greater than 1:24 is 
recommended for typewritten or correspondence types of documents. See 
ANSI/AIIM MS23-1998 for the appropriate reduction ratio and format for 
meeting the image quality requirements. When microfilming on 35mm film 
for aperture card applications, the format dimensions in ANSI/AIIM 
MS32-1996, Table 1 are mandatory, and the aperture card format ``D 
Aperture'' shown in ANSI/AIIM MS41-1996, Figure 1, must be used. The 
components of the aperture card, including the paper and adhesive, must 
conform to the requirements of ANSI/PIMA IT9.2-1998. The 35mm film used 
in the aperture card application must conform to film designated as LE 
500 in ANSI/NAPM IT9.1-1996.
    (ii) COM. Computer output microfilm (COM) generated images must be 
the simplex mode described in ANSI/AIIM MS14-1996 at an effective ratio 
of 1:24 or 1:48 depending upon the application.
    (2) Microfiche. For microfilming source documents or computer 
generated information (COM) on microfiche, the formats and reduction 
ratios prescribed in ANSI/AIIM MS5-1992 (R1998) must be used as 
specified for the size and quality of the documents being filmed. See 
ANSI/AIIM MS23-1998 for determining the appropriate reduction ratio and 
format for meeting the image quality requirements.
    (e) Index placement. (1) Source documents. When filming original 
(source) documents, place indexes, registers, or other finding aids, if 
microfilmed, either in the first frames of the first roll of film or in 
the last frames of the last roll of film of a series. For microfiche, 
place them in the last frames of the last microfiche or microfilm 
jacket of a series.
    (2) COM. Place indexes on computer-generated microforms following 
the data on a roll of film or in the last frames of a single 
microfiche, or the last frames of the last fiche in a series. Other 
index locations may be used only if dictated by special system 
constraints.


Sec. 1230.14  What are the filming requirements for permanent and 
unscheduled records?

    (a) General requirements. (1) Apply the standards in this section 
for microfilming of:
    (i) Permanent paper records where the original paper record will be 
destroyed or otherwise disposed of;
    (ii) Unscheduled paper records where the original paper record will 
be destroyed or otherwise disposed of; and
    (iii) Permanent and unscheduled original microform records (no 
paper originals) produced by automation, such as computer output 
microfilm (COM).
    (2) Do not destroy permanent or unscheduled paper records after 
microfilming without authorization from NARA on a SF 115 (see 
Sec. 1230.10(a)).
    (b) Film stock standards. Polyester-based silver gelatin type film 
that conforms to ANSI/NAPM IT9.1--1996 for LE 500 film must be used in 
all applications.
    (c) Processing standards. Microforms must be processed so that the 
residual thiosulfate ion concentration will not exceed 0.014 grams per 
square meter in accordance with ANSI/NAPM IT9.1-1996. Follow processing 
procedures in ANSI/AIIM MS1-1996 and MS23-1998.
    (d) Quality standards. (1) Resolution. (i) Source documents. 
Determine minimum resolution on microforms of source documents using 
the method in the Quality Index Method for determining resolution and 
anticipated losses when duplicating, as described in ANSI/AIIM MS23-
1998 and MS43-1998. Perform resolution tests using a ISO 3334-1991 
Resolution Test Chart or a commercially available certifiable target 
manufactured to comply with this standard, and read the patterns 
following the instructions of ISO 3334-1991. Use the smallest character 
used to display information to determine the height used in the Quality 
Index formula. A Quality Index of five is required at the third 
generation level.
    (ii) COM. Computer output microforms (COM) must meet the 
requirements of ANSI/AIIM MS1-1996.
    (2) Background density of images. The background ISO standard 
visual diffuse transmission density on microforms must be appropriate 
to the type of documents being filmed. The procedure for density 
measurement is described in ANSI/AIIM MS23-1998. The densitometer must 
meet with ANSI/NAPM IT2.18-1996, for spectral conditions and ANSI/NAPM 
IT2.19-1994, for geometric conditions for transmission density.
    (i) Recommended visual diffuse transmission background densities 
for images of documents are as follows:

------------------------------------------------------------------------
     Classification      Description of document    Background density
------------------------------------------------------------------------
Group 1                  High-quality, high       1.3-1.5
                          contrast printed book,
                          periodicals, and black
                          typing.
------------------------------------------------------------------------
Group 2                  Fine-line originals,     1.15-1.4
                          black opaque pencil
                          writing, and documents
                          with small high
                          contrast printing.
------------------------------------------------------------------------
Group 3                  Pencil and ink           1.0-1.2
                          drawings, faded
                          printing, and very
                          small printing, such
                          as footnotes at the
                          bottom of a printed
                          page.
------------------------------------------------------------------------

[[Page 31696]]

 
Group 4                  Low-contrast             0.8-1.0
                          manuscripts and
                          drawing, graph paper
                          with pale, fine-
                          colored lines; letters
                          typed with a worn
                          ribbon; and poorly
                          printed, faint
                          documents.
------------------------------------------------------------------------
Group 5                  Poor-contrast documents  0.7-0.85
                          (special exception).
------------------------------------------------------------------------

    (ii) Recommended visual diffuse transmission densities for computer 
generated images are as follows:

------------------------------------------------------------------------
                          Density                              Minimum
Film Type    Process    Measurement      Min.       Max.       Density
                           Method      Dmax\1\    Dmin\1\    Difference
------------------------------------------------------------------------
Silver     Convention  Printing or    0.75       0.15       0.60
 gelatin    al          diffuse
------------------------------------------------------------------------
Silver     Full        Printing       1.50       0.20       1.30
 gelatin    reversal
------------------------------------------------------------------------
\1\Character or line density, measured with a microdensitometer or by
  comparing the film under a microscope with an image of a known
  density.

    (3) Base plus fog density of films. The base plus fog density of 
unexposed, processed films must not exceed 0.10. When a tinted base 
film is used, the density will be increased. The difference must be 
added to the values given in the tables in paragraph (d)(2) of this 
section.
    (4) Line or stroke width. Due to optical limitations in most 
photographic systems, film images of thin lines appearing in the 
original document will tend to fill in as a function of their width and 
density. Therefore, as the reduction ratio of a given system is 
increased, reduce the background density as needed to ensure that the 
copies will be legible.


Sec. 1230.16  What are the film and image requirements for temporary 
records, duplicates, and user copies?

    (a) Temporary records with a retention period over 99 years. Follow 
the film and image requirements in Sec. 1230.14.
    (b) Temporary records to be kept for less than 100 years. NARA does 
not require the use of specific standards. Select a film stock that 
meets agency needs and ensures the preservation of the microforms for 
their full retention period. Consult appropriate ANSI standards, 
available as noted in Sec. 1230.3, or manufacturer's instructions for 
processing microfilm of these temporary records. Follow the 
manufacturer's recommendations for production and maintenance of 
temporary microfilm to ensure that the image is accessible and usable 
for the entire retention period.

Subpart D--Storage, Use and Disposition Standards for Microform 
Records


Sec. 1230.20  How should microform records be stored?

    (a) Permanent and unscheduled records. Store permanent and 
unscheduled microform records under the extended term storage 
conditions specified in ISO 18911:2000 and ANSI/PIMA IT9.2-1998, except 
that the relative humidity of the storage area must be a constant 35 
percent RH, plus or minus 5 percent. Do not store non-silver copies of 
microforms in the same storage area as silver gelatin originals or 
duplicate copies.
    (b) Temporary records. Store temporary microform records under 
conditions that will ensure their preservation for their full retention 
period. Agencies may consult Life Expectance (LE) guidelines in ANSI/
AIIM standards (see Sec. 1230.3 for availability) for measures that can 
be used to meet retention requirements.


Sec. 1230.22  What are NARA inspection requirements for permanent and 
unscheduled microform records?

    (a) Agencies must inspect, or arrange to pay a contractor or NARA 
to inspect the following categories of microform records stored at the 
agency, at a commercial records storage facility, or at a NARA records 
center following the inspection requirements in paragraph (b) of this 
section:
    (1) Master films of permanent records microfilmed in order to 
dispose of the original records;
    (2) Master films of permanent records originally created on 
microfilm;
    (3) Other master films scheduled for transfer to the National 
Archives; and
    (4) Master films of unscheduled records.
    (b) The films listed in paragraph (a) of this section must be 
inspected initially in accordance with ANSI/AIIM MS45--1990. All films 
must be inspected when they are 2 years old. After the initial 2-year 
inspection, unless there is a catastrophic event, the films must be 
inspected as follows until legal custody is transferred to the National 
Archives and Records Administration:
    (1) For microfilm that is/was produced after 1990, inspect the 
microfilm every 5 years.
    (2) For microfilm that was produced prior to 1990, inspect the 
microfilm every 2 years.
    (c) To facilitate inspection, the agency must maintain an inventory 
of microfilm listing each microform series/publication by production 
date, producer, processor, format, and results of previous inspections.
    (d) The elements of the inspection shall consist of:
    (1) An inspection for aging blemishes following ANSI/AIIM MS45-
1990;
    (2) A rereading of resolution targets;
    (3) A remeasurement of density; and
    (4) A certification of the environmental conditions under which the 
microforms are stored, as specified in Sec. 1230.20(a).

[[Page 31697]]

    (e) The agency must prepare an inspection report, and send a copy 
to NARA in accordance with Sec. 1230.28(b). The inspection report must 
contain:
    (1) A summary of the inspection findings, including:
    (i) A list of batches by year that includes the identification 
numbers of microfilm rolls and microfiche in each batch;
    (ii) The quantity of microforms inspected;
    (iii) An assessment of the overall condition of the microforms;
    (iv) A summary of any defects discovered, e.g., redox blemishes or 
base deformation; and
    (v) A summary of corrective action taken.
    (2) A detailed inspection log created during the inspection that 
contains the following information:
    (i) A complete description of all records inspected (title; roll or 
fiche number or other unique identifier for each unit of film 
inspected; security classification, if any; and inclusive dates, names, 
or other data identifying the records on the unit of film);
    (ii) The date of inspection;
    (iii) The elements of inspection (see paragraph (a)(4) of this 
section);
    (iv) Any defects uncovered; and
    (v) The corrective action taken.
    (f) If an inspection shows that a master microform is 
deteriorating, the agency must make a silver duplicate in accordance 
with Sec. 1230.14 to replace the deteriorating master. The duplicate 
film will be subject to the inspection requirements (see Sec. 1230.22) 
before transfer to a record center or to the National Archives.
    (g) Inspection must be performed in an environmentally controlled 
area in accordance with ANSI/AIIM MS45-1990.


Sec. 1230.24  What are NARA inspection requirements for temporary 
microform records?

    NARA recommends, but does not require, that agencies use the 
inspection by sampling procedures described in Sec. 1230.22(a) and (b).


Sec. 1230.26  What are the use restrictions for permanent and 
unscheduled microform records?

    (a) Do not use the silver gelatin original microform or duplicate 
silver gelatin microform of permanent or unscheduled records created in 
accordance with Sec. 1230.14 of this part (archival microform) for 
reference purposes. Agencies must ensure that the archival microform 
remains clean and undamaged during the process of making a duplicating 
master.
    (b) Use duplicates for:
    (1) Reference;
    (2) Further duplication on a recurring basis;
    (3) Large-scale duplication; and
    (4) Distribution of records on microform.
    (c) Agencies retaining the original record in accordance with an 
approved records disposition schedule may apply agency standards for 
the use of microform records.


Sec. 1230.28  What must agencies do to send permanent microform records 
to a records storage facility?

    (a) Follow the procedures in part 1228, subpart I, of this chapter 
and the additional requirements in this section.
    (b) Package non-silver copies separately from the silver gelatin 
original or silver duplicate microform copy and clearly label them as 
non-silver copies.
    (c) Include the following information on the transmittal (SF 135 
for NARA records centers), or in an attachment to the transmittal. For 
records sent to an agency records center or commercial records storage 
facility, submit this information to NARA as part of the documentation 
required by Sec. 1228.154(c)(2) of this chapter:
    (1) Name of the agency and program component;
    (2) The title of the records and the media/format used;
    (3) The number or identifier for each unit of film;
    (4) The security classification, if any;
    (5) The inclusive dates, names, or other data identifying the 
records to be included on a unit of film;
    (6) Finding aids that are not contained in the microform; and
    (7) The inspection log forms and inspection reports required by 
Sec. 1230.22(a) (5) and (6).
    (d) Agencies may transfer permanent microform records to a records 
storage facility meeting the storage requirements in Sec. 1230.20(a) 
(see Sec. 1228.152(e)(3) of this chapter for NARA centers) only after 
the first inspection or with certification that the microforms will be 
inspected by the agency, an agency contractor, or a NARA records center 
(on a reimbursable basis) when the microforms become 2 years old.


Sec. 1230.30  How do agencies transfer permanent microform records to 
the legal custody of the National Archives?

    (a) Follow the procedures in part 1228, subpart L, of this chapter 
and the additional requirements in this section.
    (b) Originate the transfer by submitting an SF 258, Agreement to 
Transfer Records to the National Archives of the United States, unless 
otherwise instructed by NARA.
    (c) If the records are not in a NARA records center, submit the 
information specified in Sec. 1230.28(c).
    (d) Transfer the silver gelatin original (or duplicate silver 
gelatin microform created in accordance with Sec. 1230.14) plus one 
microform copy.
    (e) Ensure that the inspection of the microform is up-to-date. If 
the microform records were recently produced, please note that NARA 
will not accession permanent microform records until the first 
inspection (when the microforms are 2 years old) has been performed.
    (f) Package non-silver copies separately from the silver gelatin 
original or silver duplicate microform copy and clearly label them as 
non-silver copies.

Subpart E--Centralized Micrographic Services


Sec. 1230.50  What micrographic services are available from NARA?

    Some NARA records centers provide reimbursable microfilming 
services, including preparing, indexing, and filming of records, 
inspection of film, and labeling of film containers. Agencies desiring 
microfilming services from NARA should contact the Office of Regional 
Records Services (NR), 8601 Adelphi Rd., College Park, MD 20740-6001, 
or the director of the NARA records center serving the agency's records 
(see Sec. 1228.150(a) of this chapter). The fees for microfilming 
services will appear in NARA bulletins, which are available on NARA's 
web site at http://www.nara.gov/records/policy/bulletin.html or from 
the Modern Records Programs (NWM), 8601 Adelphi Road, College Park, MD 
20740-6001.

    Dated: April 23, 2002.
John W. Carlin,
Archivist of the United States.
[FR Doc. 02-10588 Filed 5-8-02; 8:45 am]
BILLING CODE 7515-01-U