Records management: Micrographic records management,
[Federal Register: September 11, 2001 (Volume 66, Number 176)]
[Proposed Rules]
[Page 47125-47129]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr11se01-25]
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Part 1230
RIN 3095-AB06
Micrographic Records Management
AGENCY: National Archives and Records Administration (NARA).
ACTION: Proposed rule.
SUMMARY: The proposed rule updates the editions of standards incorporated by reference in 36 CFR part 1230 to the most current edition. In addition, the part has been rewritten in plain language format. The proposed rule will affect Federal agencies.
DATES: Comments are due by November 13, 2001.
ADDRESSES: Comments must be sent to Regulation Comments Desk (NPOL), Room 4100, Policy and Communications Staff, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001. They may be faxed to 301-713-7270. You may also comment via email to comments@nara.gov. See the SUPPLEMENTARY INFORMATION for details.
FOR FURTHER INFORMATION CONTACT: Nancy Allard at telephone number 301- 713-7360, ext. 226, or fax number 301-713-7270.
SUPPLEMENTARY INFORMATION: NARA periodically reviews all of its regulations. This proposed rule was developed after such a review. The only substantive changes from the current regulation are the editions of industry micrographic standards that must be used.
The proposed 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 because it applies to Federal agencies. This regulation does not have any federalism or tribalism implications.
Please submit email comments within the body of your email message or attach comments as an ASCII file avoiding the use of special characters and any form of encryption. Please also include ``Attn: 3095-AB06'' and your name and return address in your email message. If you do not receive a confirmation that we have received your email message, contact the Regulation Comment Desk at 301-713-7360, ext. 226.
List of Subjects in 36 CFR Part 1230
Archives and records.
For the reasons set forth in the preamble, NARA proposes to revise 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--Standards for the Storage, Use and Disposition 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.
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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 effective date of this regulation, 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, 11 West 42nd St., New York, NY 10036. The standards can be ordered on line at http:// webstore.ansi.org/ansidocstore/default.asp.
ANSI/ISO 10602:1995 or ANSI/NAPM IT9.1--1996 Imaging Materials-- Processed Silver-Gelatin Type Black-and-White Film--Specifications for Stability. ANSI/PIMA IT9.2--1998, American National Standard for Imaging Media-- Photographic Processed Films, Plates, and Papers--Filing Enclosures and Storage Containers. ANSI/NAPM IT2.19--1994, American National Standard for Photography-- Density Measurements--Part 2: Geometric Conditions for Transmission Density. ANSI/NAPM IT2.18--1996, Photography--Density Measurements--Part 3: Spectral Conditions. ISO 18911:2000, 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, Recommended Practice for Alphanumeric Computer- Output Microforms--Operational Practices for Inspection and Quality Control. ANSI/AIIM MS5--1992 (R1998), Micrographic Microfiche. ANSI/AIIM MS14--1996, Specifications for 16mm and 35mm Roll Microfilm. ANSI/AIIM MS19--1993, Recommended Practice for Identification of Microforms. ANSI/AIIM MS23--1998, Microfilm of Documents, Operational Procedures/ Inspection and Quality Control of First-Generation Silver-Gelatin. ANSI/AIIM MS32--1996, Microrecording of Engineering Source Documents on 35mm Microfilm. ANSI/AIIM MS41--1996, Unitized Microfilm Carriers (Aperture, Camera, Copy, and Image Cards). ANSI/AIIM MS43--1998, Recommended Practice for Operational Procedures/ Inspection and Quality Control for Duplicate Microforms of Documents and from COM ANSI/AIIM MS45--1990, Recommended Practice for Inspection of Stored Silver-Gelatin Microforms for Evidence of Deterioration. ANSI/ISO 3334--1991, ANSI/AIIM MS51-1991, Micrographics--ISO Resolution Test Chart No. 2--Description and Use.
Sec. 1230.4 Definitions.
The following definitions apply to this part:
(a) 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.
(b) Background density. The opacity of the area of the microform not containing information.
(c) 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.
(d) Computer Output Microfilm (COM). Microfilm containing data converted and recorded from a computer.
(e) Facility. An area used exclusively to make or copy microforms.
(f) 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.
(g) Microform. Any form containing microimages.
(h) Microimage. A document such as a page of text or a drawing that is too small to be read without magnification.
(i) Permanent record. Permanent record has the meaning specified in Sec. 1220.14 of this chapter.
(j) Records storage facility. Records storage facility has the meaning specified in Sec. 1220.14 of this chapter.
(k) Temporary record. Temporary record has the meaning specified in Sec. 1220.14 of this chapter.
(l) Unscheduled record. Unscheduled record has the meaning specified in Sec. 1220.14 of this chapter.
(m) 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.
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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 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 LE500 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 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;
(ii) Unscheduled paper records, and
(iii) Permanent and unscheduled original microform records (no paper originals) produced by automation, such as computer output microfilm (COM).
(2) Do not destroy unscheduled paper records after microfilming without authorization from NARA on a SF 115.
(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 an ISO 3334--1991 Resolution Test Chart, 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
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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:
Background Classification
Description of document 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. Group 4.......................... Low-contrast manuscripts 0.8-1.0 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. DMax \1\ Max. Dmin \1\ density method
difference
Silver gelatin............... Coventional..... Printing or
0.75
0.15
0.60 diffuse. Silver gelatin............... Full reversal... Printing.......
1.50
0.20
1.30
\1\ Character or line denisty, measured with a microdensitometer or by comaprying the film under a microscope with an image of a know denisty.
(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% RH, plus or minus 5%. 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, when the films are 2 years old, and every 2 years thereafter, until legal custody is transferred to the National Archives and Records Administration, in accordance with ANSI/AIIM MS45--1990.
(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) 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.
(c) 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).
(d) 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:
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(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.
(e) If an inspection shows that a master microform that 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 2-year inspection requirement before transfer to a record center or to the National Archives.
(f) 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).
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 (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 Section 1230.20(a) (see Sec. 1228.152(e)(3) 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) of this part.
(d) Transfer the silver gelatin original (or duplicate silver gelatin microform created in accordance with Sec. 1230.14) plus one microform copy.
(f) 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.
(g) 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: September 4, 2001. John W. Carlin, Archivist of the United States.
[FR Doc. 01-22669Filed9-10-01; 8:45 am]
BILLING CODE 7515-01-P
