MANAGING MICROGRAPHIC RECORDS

                       Instructional Guide Series



              National Archives and Records Administration

              National Archives and Records Administration
          Office of Records Administration Washington, DC 1994

CONTENTS


Introduction  

Records Management Benefits of the Micrographic Format 
 
Roles and Responsibilities 

Feasibility Study 

Production and Maintenance of Microforms  

Scheduling and Disposition of Microforms and Related Records  

Transfer of Permanent Records to NARA 

For Further Information 

Appendix A - Micrographics Records Management Regulations 
 
Appendix B - Micrographics Program Records Management Evaluation Guide 
 
Appendix C - Contract Considerations 
 
Appendix D - Optional Standards 
 
Appendix E - Glossary 

INTRODUCTION

  Micrographic technology has provided valuable tools for the
improvement of Federal records management.  Use of micrographics solves
problems of preservation and dissemination and promotes economy in
storage.  In addition, micrographics can be easily integrated into
systems based on the latest electronic technology.  This handbook
provides guidance to Federal creators and users of micrographic records,
records managers, information resources managers, and automated data
processing staff for the creation and maintenance of micrographic
records.  The standards and procedures described in this guide are
directed mainly at micrographic records retained for long periods and
those appraised as permanent and scheduled for transfer to The National
Archives of the United States.  This guide reflects National Archives
and Records Administration (NARA) regulations for managing microform
records found at 36 CFR 1230 (appendix A).  It provides a
self-evaluation guide that agencies may use to determine if they are in
compliance with the regulations (appendix B).  Contract considerations
(appendix C) and optional standards (appendix D) are included also.
Technical terms used in this guide are defined in the glossary (appendix
E).

RECORDS MANAGEMENT BENEFITS OF THE MICROGRAPHIC FORMAT

  Federal agencies adopt micrographics for a variety of reasons.
Conversion of records to micrographic format may improve the economy and
efficiency of agency operations.  For instance, use of micrographics may
be advantageous when multiple users frequently need voluminous records
or when an agency needs to disseminate widely voluminous paper records
or frequently updated publications.  Creating microform copies is a
convenient method of producing copies of vital records.  The benefits
micrographics may provide include: 1. up to a 98 percent reduction, in
comparison with paper, in the space needed to store records; 2. file
integrity by fixing document or data sequence and by preventing misfiles
and alterations; 3. increased availability of information through
efficient and economical reproduction and distribution; 4. quick
retrieval of information within voluminous files; 5. decreased need for
off-site storage of voluminous paper files; 6. ability to be combined
with electronic recording, storage, and transmission systems such as
optical disk and telefacsimile systems; 7.  reliable, economical
security for vital records; 8. ability to render an exact, optical
facsimile of subtle details; 9. acceptance as a legal record; 10.
preservation of images transferred from media that are fragile or
subject to obsolescence; and 11. proven technology with established
standards that assure media quality and stability for preservation of
long-term records.  Although its benefits are extensive, micrographic
technology also has limitations.  For some records, the ability to
manipulate data is critical, and microforms are static.  In some
instances, because original records have to be maintained for legal
purposes, microfilming would not result in space savings.  Agencies
should conduct feasibility studies to determine whether micrographic
technology is the most appropriate option for creation or maintenance of
specific records.

ROLES AND RESPONSIBILITIES

  Micrographics systems may be produced by contractors or in-house by
agencies that have adequate facilities.  Appendix C contains a detailed
discussion of contract considerations.  Whether produced in-house or by
contract, micrographics systems must be properly planned, designed, and
installed to gain maximum benefit.  Establishment of a micrographics
system involves collaboration among various offices including the
program office that creates and uses the records, the contracting office
that assists in the acquisition of micrographics services, the
information resources management office that coordinates electronic
records systems on an agency-wide basis, the in-house laboratory that
provides microfilming services, and the records management office that
provides guidance and procedures for the creation, maintenance, and
disposition of records.  Each of these offices has a range of
responsibilities for the development and operation of a micrographics
program.   

The program office: 

Determines what information is needed to support its functions and
describes how and when the information is documented and used.
Identifies functions that may be supported by micrographic systems and,
in some cases, computer-assisted retrieval (CAR) systems by providing a
description of the function or procedure documented by the records to be
microfilmed, and the informational content, physical characteristics,
volume and accumulation rate, distribution, and frequency and pattern of
use(s) of source documents.  Determines if the records are part of the
vital records program.  Advises the records manager on the retention
period needed for the records, both source documents and microform
copies, and implements disposition instructions approved by NARA.
Notifies the records officer and other interested officials when
planning a new or modified micrographics system. 

The contracting office: 

Assists in procuring services for feasibility studies and micrographics
system design and implementation.  Ensures that contracts include
requirements to submit records that document compliance with standards
for production, packaging, and storage of micrographic records.  The
micrographics laboratory: Specifies available services, procedures, and
response time.  Ensures equipment performance and adherence to quality
controls required by regulations and agency policies. 

The information resources management office: 

Manages master files associated with COM and micrographic CAR systems.
Identifies and describes all program and administrative activities that
use or need computer and telecommunications resources for micrographic
systems.  Notifies the records manager of technology changes that affect
production of COM, access to or retention of COM, and micrographic CAR
systems.  Advises and assists in implementing NARA-authorized
disposition instructions. 

The records management office: 

Conducts or assists in the development of feasibility studies for
micrographics systems.  Participates in determining which copies of
vital records should be maintained on microform and ensures that copies
of vital records and equipment needed to read them are available in case
of emergency.  Monitors micrographics applications to ensure that proper
records creation, storage, handling, and disposition procedures are
followed.  Advises on selection of storage enclosures and fixtures.
Monitors storage environment to ensure proper conditions for master
microforms with a lengthy or permanent retention period.  Coordinates
development of records schedules for source documents, microform copies,
and related records, and when required, submits proposed schedules to
NARA for approval.  Oversees implementation of disposition instructions
Advises contractors or consults with agency staff who administer
contracts related to micrographics.

FEASIBILITY STUDY

  As noted above, agencies considering use of micrographics
applications, as well as other technological alternatives, should
conduct a feasibility study.  The records management office may conduct
the study, or it may be conducted by a contractor.  The feasibility
study describes records creation and use, and information flow, and it
includes comparative cost analyses of records use, dissemination, and
storage in both paper and microform.  It may also compare use of other
technology, such as electronic or optical disk systems.  The feasibility
study may disclose problems with the paper recordkeeping system that
should be corrected whether or not the agency decides to convert to
microform.  For example, if records are out of order, records series are
mixed, or adequate indexes or other finding aids are lacking, the agency
needs to take corrective action.

PRODUCTION AND MAINTENANCE OF MICROFORMS

Preparing Records for Conversion to Microform

  Preparing records for microfilming involves assessing and making
decisions about the physical condition, content, order, and use of the
records.  Indexes and targets are two important tools developed during
this process.  Indexes may consist of lists, registers, card catalogs,
logbooks, computer databases, or other manual and automated finding
aids.  They make it possible to find desired information based on the
way records are arranged on microform and, in many cases, the way
microfilm images are marked.  Often an index is first created for
searching the original source documents and can be adapted for the
microform version.  Also, like the source documents, an alphabetical or
numerical arrangement of microform records is self-indexing.  For
example, a file arranged by social security numbers may be readily
searched if the number is known.  In other cases, multiple index
listings are necessary if the primary file designation is not always
known.  For example, if files are arranged by social security number,
but a searcher may know only the individual's name, the file should be
indexed by name.  Also, indexes may cross-reference such attributes as
subjects and titles.  In addition to printed indexes, computer database
systems can be used for indexing microform records.  Some CAR systems
transport the microform from a "jukebox" to a reader for viewing; others
use transmission via an electronic interface such as a facsimile ("fax")
machine.  Targets are documents added to the records being filmed.
Target sheets contain messages for the camera operator that describe,
comment on, or control the record image being microfilmed.  They provide
instructions and information about what records are to be included on
the film, the sequence of records, and the relationship to other rolls
or units of microforms.  Technical targets are used to measure film
density, resolution, and reduction.  Quality targets identify
imperfections such as missing pages or blurred writing.  Federal
agencies need to follow these guidelines when preparing records for
microfilming: Evaluate existing indexes and other finding aids.  Special
indexes of documents by key words or record numbers may be needed to
find documentation in voluminous files.  Segregate temporary and
permanent records series.  If they are not separated, prompt disposition
of the temporary records is impossible, and there is an increased risk
of losing permanent records.  Segregate restricted, including
classified, records so that they are not interspersed on the same
microform roll or sheet with unrestricted records.  If they are not
separated, access procedures may be cumbersome, and information security
is more likely to be jeopardized.  Alternatively, access to the
unrestricted records may be limited to individuals authorized to view
the restricted records.  Ensure that microform copies include each
document in the original records series.  If records are missing or
removed due to classification or other reason, a list of the missing
documents ("missing list") should be compiled, and a target sheet
("dummy sheet") for each should be placed on the microform.  Plan for
obsolescence of the electronic index and code marks of CAR systems by
using machine-readable markings (such as bar codes) supported by widely
accepted standards.  When possible, regular text should also be
displayed.  Ensure that CAR systems for permanent records can be
converted to a hardware and software independent format.  For further
details, see the section in this handbook entitled "Transfer of
Permanent Records to NARA."

Film, Image, and Quality Control

  NARA regulations (36 CFR 1230) specify standards for film stock that
Federal agencies must use for long-term microform records (those
scheduled for 100 years or more, including those appraised as permanent,
and unscheduled microform records).  For temporary records scheduled for
a shorter retention period, agencies need only ensure that one record
copy (in microform, paper, or another medium) is accessible until it is
eligible for disposal.  Agencies may use discretion in applying the
regulatory standards required for permanent microforms to temporary
micrographic records scheduled for less than 100 years.  Adherence would
ensure availability of information in microform records scheduled for
other long periods, such as 25, 50, or 75 years.  Guidance from
manufacturers of micrographic equipment and supplies may also be useful
sources of information.  Agencies may obtain guidance from NARA through
the sources listed under the heading "For Further Information."
Micrographic systems for long-term and unscheduled records must conform
to several standards.  Agencies need to ensure that each person directly
responsible for micrographic records has access to the most current
edition of 36 CFR and to each publication or standard incorporated by
reference in 36 CFR 1230.  The remainder of this section reflects the
requirements in 36 CFR 1230.

Source Document Microfilming

  Micrographics applications frequently involve filming paper records
that have been created by or submitted to Federal agencies.  Agencies
should observe the guidelines provided below.   

Preparation 

Review original source documents to ensure that the microforms will
adequately substitute for the original records and that microform copies
will be complete and contain all record information shown on the
originals.  Arrange, identify, and index records so that any individual
document or component of the records can be located.  Place a quality
target at the leading edge of a document in the frame where a problem
occurs.  Follow guidelines for information identification in ANSI/AIIM
MS 19- 1987, Recommended Practice for Identification of Microforms.
Information prepared for placement on the microfilm must, at a minimum,
include: - Agency identification - Title of records series - Identifying
number on each unit of film - Security classification - Inclusive dates,
names, or other data identifying the first and last records included on
each unit of film - Certification that microforms are produced in the
normal course of Government business and that images are a complete and
accurate copy of the original records.   

Film stock 

For archival microforms use a polyester-based silver gelatin type that
conforms to ANSI/NAPM IT9.1-1992, American National Standard for Imaging
Media (film) -- Silver-Gelatin Type -- Specifications for Stability, for
LE 500.  When the micrographic system cannot use silver gelatin film as
its first-generation camera film, copy the camera film (which may, for
example, be dry silver) onto polyester-based silver gelatin film for
permanent records.  Working copies may be on any film that the agency
prefers, though diazo duplicating film is generally preferred for
working or reference copies because of its durability and low cost.
Indexes On roll film, place indexes, registers, or other finding aids at
the beginning of the roll, following identifying and targeting frames;
on microfiche or microfilm jackets, place them in the last frames.
Formats Several microform formats are available.  The choice should be
determined by the analysis conducted during the feasibility study.  Roll
microfilm (16mm, 35mm) of letter and legal text documents should usually
be in simplex (single image) format at a 24:1 reduction ratio.
Microfiche (105mm) of letter and legal text documents should usually be
AIIM type 1 format of 98 frames, arranged in 7 rows x 14 columns, at a
24:1 reduction ratio Aperture cards, which are usually a composite of
microfilm, card stock, ink, dye, and adhesives, may be inappropriate for
archival microforms but are satisfactory for temporary records.  Usually
the finished aperture card should serve as a working or reference copy
because it does not meet archival standards.  Consequently, silver
gelatin archival roll camera film should be retained in its original
format, not cut apart or glued to card stock.  Aperture card copies
(which could include a "duplicating master") may be a composite of
duplicate microform and other components.  Instructions for assembling
aperture card copies of archival microfilm should also be retained.
Alternative ly, agencies may use card jackets that provide space for
handwritten, typed, or computer-encoded data as well as a slots for 16mm
and 35mm microfilm.  Unlike aperture cards, card jackets permit easy
replacement of the film with an updated image.

Processing Silver Gelatin

  (1) Process microforms so that the residual thiosulfate concentration
does not exceed one microgram of sodium thiosulfate per square
centimeter as measured by the Methylene Blue Method (ANSI/NAPM
IT9.1-1992).  (2) The Methylene Blue test must be performed within 2
weeks of processing, or the film cannot qualify as archival microform.
(3) If reversal processing is used to produce a positive image, it must
be complete, full photographic reversal; i.e., the process must include
all of these steps: developing, bleaching, exposing, fixing, and
washing.  Working copies may be on any film that the agency prefers,
though diazo duplicating film is generally preferred for working or
reference copies because of its durability and low cost.

Resolution

  Resolution is the level of detail of the image on the film.  High
resolution shows fine detail such as letters and numbers that are sharp
and clear to the reader.  (1) For planetary cameras, use the ISO Test
Chart No.  2 available in Microcopy Resolution Test Chart, NIST-SRM
1010a or ANSI/ISO 3334-1991, ANSI/AIIM MS51-1991.  (2) For rotary
cameras, use the AIIM Standard Test Chart.  Agencies should also
consider following the standards in ANSI/AIIM MS17-1992, Rotary (Flow)
Microfilm Camera Test Chart and Test Target-Descriptions and Use.  (3)
ANSI/AIIM MS23-1991, Practice for Operational Procedures/Inspection and
Quality Control of First-generation, Silver Microfilm of Documents,
specifies quality index 5 at the third-generation level as the minimum
resolution level for archival microforms.

Density

  Control of the level of density ensures that microforms will be
legible and that legible paper copies and legible film copies can be
made from the film.  Also, density controls make it possible to print
all images on a roll at the same exposure.  Recommended visual diffuse
transmission background densities for images of documents are as
follows:




Classification Description of document Background density


Group 1.  High-quality, high-contrast printed books, periodicals, and
black typing.  1.3-1.5


Group 2.  Fine-line originals, black opaque pencil writing, and
documents with small high-contrast printing.  1.15-1.4


Group 3.  Pencil and ink drawings, faded printing, and very small
printing, such as footnotes at the bottom of a printed page.  1.0-1.2


Group 4.  Low-contrast manuscripts and drawings, graph paper with pale,
fine-colored lines; letters typed with a worn ribbon; and poorly
printed, faint documents.  0.8-1.0


Group 5.  Poor-contrast documents (special exception).  0.7-0.85


Computer Output Microfilm (COM) Standards

  The standards for film stock and processing are the same for computer
output microfilm as for film made from hard copy.  Other standards vary,
as specified below.  Indexes Computer-generated indexes or other finding
aids should be placed following the data on roll film and in the last
frames of microfiche.

  Formats (1) Roll microfilm (16mm) (a) simplex format, comic or cine
mode (b) 48:1 reduction ratio (2) Roll microfilm systems with an
additional optional reduction ratio should preferably use 24:1 (or 27:1
to 30:1).  (3) Microfiche (a) AIIM type 7 format of 270 frames (b)
effective reduction ratio of 48:1 (c) arranged in 15 rows x 18 columns
(c) 105-mm (148mm x 105mm) in size Resolution In COM, resolution is
measured in terms of legibility according to specifications in ANSI/AIIM
MS1-1988, Recommended Practice for Alphanumeric Computer-Output
Microforms -- Operational Practices for Inspection and Quality Control.
In examining test samples, each character or symbol must be identifiable
without error.

Production Documentation for Source Document and COM Microforms

  Federal agencies need accurate and complete records regarding all
phases of the microform process, from initial receipt of information to
be microfilmed, through all production phases, to delivery of the
processed film.  This need applies to both in-house and contracted
microfilm projects.  Such records are necessary to maintain
accountability, provide an audit trail, and to document quality control.
(See ANSI/AIIM MS23-1991.) Recommended recordkeeping includes
maintaining: 1.  Logs indicating: (a) date filmed (b) job control number
(c) batch numbers (d) file identification (e) camera operator (f) number
of frames photographed, and (g) number of units (e.g., rolls or
microfiche) produced 2.  Logs of all work produced on each camera for
multiple camera installations and operations indicating: (a) date (b)
operator, and (c) job control number 3.  Logs of information sheets
showing requirements for each job and their completion by the
originator.  These sheets should then be filmed as a part of the job.
4.  Logs on silver gelatin film processing including: (a) equipment
maintenance (such as cleaning) (b) chemistry changes, and (c) control
readings 5.  Logs of inspection documentation.  When microforms are
rejected, documentation should reflect: (a) affected portions and
reasons for rejection (b) name of inspector (c) date(s) of inspection
and rejection 6.  Deliveries of completed microforms and returned
records should be adequately receipted.

Packaging, Storing, and Inspecting Microforms

Copies of Vital Records on Microform

  For vital records, microforms often serve as duplicates that may be
used during an emergency or to replace records destroyed by accident.
NARA Federal records centers will store microform copies of records
needed to protect rights as defined in NARA regulations (36 CFR 1236).
In planning for emergency access to microforms, especially if a CAR
system is involved, agencies must ensure availability of equipment
needed to read the micrographic and related electronic records.

Temporary Microforms

  Except for copies of records needed to protect rights, Federal records
centers do not accept microforms because of their limited storage with
suitable environmental controls.  Nevertheless, agencies are responsible
for making sure that all temporary records, regardless of media, remain
accessible for their scheduled retention period.  When source documents
are destroyed after microfilming, the agency must assure proper
maintenance of microform copies so that they remain legible and usable.
Agencies may decide to conform with published standards for permanent
and unscheduled microforms that ensure their availability for a specific
duration such as 10, 25, or 50 years.

Permanent and Unscheduled Microforms

  Microform copies of archival Federal records should be used only to
produce a small number of duplicates for working copies or masters to
meet large-scale or continuing duplicating needs.  Only working copies
should be used for repetitive duplication or reference or research of
any kind.  Only trained personnel should handle archival microforms.
Archival microforms should be stored in closed containers, unless the
film is already stored in closed cabinets, protected from dust and
physical damage.  Suitable packaging must be made of noncorroding
material such as nonferrous metals, inert plastic, or paper that
conforms to ANSI IT9.2-1991, American National Standard for Imaging
Media -- Photographic Processed Films, Plates, and Papers -- Filing
Enclosures and Storage Containers.  There are no packaging requirements
for working copies; however, agencies may wish to consult the formal
standards listed in appendix D for recommendations.  All microform
copies should be clearly labeled to distinguish archival record copies
from printing masters and working copies and to provide information that
assures records will remain accessible.  Labels should include the
following information: film type (e.g., silver gelatin, diazo) film use
(archival microform master, duplication master, or working copy) agency
identification title of records series identifying number on each unit
of film batch code and year security classification inclusive dates,
names, or other data identifying the first and last records included of
each unit of film arrangement of the records location and date of
microfilm creation Roll film should be wound on cores and reels made of
noncorroding material such as nonferrous metals or inert plastic.
Agencies should avoid use of rubber bands, tape, string, or ordinary
paper bands; these may chemically attack and physically crimp and
distort the film.  Film may be confined by tucking the film end between
the roll and the flange or by applying a nonacidic, low lignin paper
wrap.  Film of different types, for example, silver and diazo, should
never be wound on the same roll.  Flat film should be placed in paper
envelopes, plastic envelopes, jacket channel sheets, or paper aperture
enclosures that are nonacidic, free of peroxides, and constructed
without adhesives, if possible.  Film of different types, for example,
silver and vesicular, should never be stored in the same enclosure.
Archival microforms should be stored in closed fixtures such as file
cabinets.  Cabinets and other fixtures should be made of noncombustible,
noncorroding material such as anodized aluminum, stainless steel, or
steel with a baked-on, nonplasticized synthetic resin finish as
described in ANSI IT9.2-1991 and ANSI IT9.11-1991, American National
Standard for Imaging Media -- Processed Photographic Safety Film --
Storage.  Open shelves and racks are acceptable only when the microforms
are in closed containers.  Envelope and jacket-type packaging is not
considered to be a closed container.  Films of different types, such as
silver and diazo, must never be stored in the same housing or area.
When archival microforms (silver gelatin film) are stored in the same
building with other types of photographic film, such as diazo and
vesicular, the silver and nonsilver microforms should be stored in
separate rooms with separate circulating air systems.  The value of
archival microform makes it highly advisable to provide a storage room
or vault separate from offices, work areas, and temporary storage
facilities.  It may be necessary to install automatic temperature and
relative humidity control and monitoring systems in storage rooms to
achieve and verify archival environmental conditions.  Archival
microforms should be stored in areas that meet the following conditions:
(a) maximum temperature of 18-21 degrees Celsius (65-70 degrees
Fahrenheit) with a variation of no more than 3 degrees Celsius (5
degrees Fahrenheit) within a 24-hour period; (b) relative humidity of 30
percent to 40 percent with a variation of no more than 5 percent in any
24-hour period; and (c) atmosphere free of gaseous impurities such as
sulfur dioxide, hydrogen sulfide, peroxides, nitro oxides, and those
produced by smoking tobacco.  In addition, permanent microforms should
be kept out of newly painted areas (and areas served by the same
ventilating system as newly painted areas) for two weeks.

Inspection (Monitoring Archival Microforms During Storage)

  Silver gelatin microforms have the potential to last centuries if the
right film stock, chemical processing, and storage environment are used.
However, an error in original production, a flaw in material
specifications, or other problems can, over time, disfigure microform
images to the point of illegibility or distort roll film so that it
cannot be successfully reproduced.  Caught early, damage can be
arrested, and problems may be readily solved.  Most important, the
microform records will remain legible and available.  Federal agencies
should inspect archival microforms as described below.  1.  Archival
microforms must be inspected by the agency (or agency contractor) when
the film is 2 years old.  The film may be stored at a NARA Federal
records center before the first inspection takes place, but the
originating agency is still responsible for arranging the first
inspection.  The inspection method is described in ANSI/AIIM MS45-1990,
Recommended Practice for Inspection of Stored Silver-Gelatin Microforms
for Evidence of Deterioration.  2.  The agency must continue to inspect
archival microforms every 2 years until they are transferred to a NARA
Federal records center or repository for permanent records.  3.
Generally, a random sample should be inspected that consists of 100
rolls or 100 microfiche.  Seventy percent of the sample should consist
of rolls/fiche not previously inspected, 20 percent of rolls/fiche
inspected in the last inspection, and 10 percent of rolls/fiche ranging
from oldest to most current microforms.  4.  The inspection should
include examinations for aging blemishes, film based distortion,
resolution, and density.  5.  Inspection logs should provide
identification for each roll (or other type of film unit) that was
inspected, including a unique identifier code for each film unit and
inclusive dates, names, or other data that identify the records.  The
logs must also include: (a) date of inspection (b) the elements of
inspection (see item 4 above).  (c) defects discovered (d) corrective
action taken 6.  Generally, when deterioration is discovered during
inspection, all microforms in the same batch or location should be
inspected as well.  Usually it is necessary to duplicate and replace a
damaged film unit with another archival microform.  7.  After the first
inspection by the agency, costs for film inspection, maintenance, and
duplication will be borne by NARA if the National Archives has
accessioned the film.

SCHEDULING AND DISPOSITION OF MICROFORMS AND RELATED RECORDS

Overview

  All Federal records fall into one of two disposition categories:
temporary or permanent.  Temporary records are those that NARA has
approved for destruction or donation, either immediately or after a
specified time or event.  Permanent records are those that NARA has
determined to have sufficient research or other value to warrant
continued preservation by the Government as part of the National
Archives of the United States.  Records disposition actions include
transfer of permanent records to the National Archives, destruction of
records when they are no longer needed by the agency, and donation of
records to a non-Federal organization.  Agencies may wish to transfer
permanent microform records to NARA for preservation shortly after
filming to avoid the storage and inspection requirements.  Agencies may
retain working copies to carry out agency business.  See the section in
this guide on "Transfer of Permanent Records to NARA" for details.  The
disposition of all Federal records is approved by the Archivist of the
United States on records schedules (Standard Form [SF] 115, Request for
Records Disposition Authority).  Scheduling source records prior to
filming makes it possible to apply appropriate filming standards.  If
records are scheduled prior to filming, the agency will avoid the
production, storage, and inspection requirements for unscheduled and
permanent records if NARA appraises the records as temporary.  In most
instances, microform records and related records such as original source
documents, finding aids, and documentation, as well as documentation
related to quality control and inspection of microforms during
production and storage must be scheduled.  Inventory micrographic
records prior to preparing an SF 115, and keep in mind the following
guidelines: Microforms should not be evaluated in isolation because of
their format.  The inventory should cover records in all media related
to the same subject or agency function.  Microforms created and
maintained for the Government by contractors should be included on the
records schedule.  Contractors may sometimes choose to generate
microforms as part of the work they are doing for Federal agencies.
Also, agencies are increasingly hiring outside micrographics contractors
specifically to create, reproduce, and store micrographic and CAR
records.  In those instances, the contractor would generate the
processing records that should be submitted to the agency along with the
microforms.  They should be included in the agency records schedule.
NARA Form 14028, Information System Description, may be used to
inventory associated electronic records, such as CAR programs, and
submitted to NARA as an attachment to the SF 115.  The inventorying
process furnishes information needed to develop a schedule for microform
records based on the following NARA requirements.

Scheduling Microforms

  Temporary records authorized for disposal by either an agency schedule
or the General Records Schedules (GRS), may be destroyed after filming
without further approval from NARA.  The GRS issued by NARA provide
disposition authorities for many temporary records common to Federal
agencies.  Conversely, if the agency films temporary records, it may
treat the film as nonrecord and maintain the originals for the scheduled
retention period.  Agencies need only make sure that one copy (in
microform, paper, or another medium) is available for the scheduled
retention period without requesting NARA approval before disposing of
copies on other media.  For records not covered by the agency schedule
or the GRS, disposition authority must be requested by submitting an SF
115.  If NARA appraises original records as temporary, then the same
disposition applies to the records when they are microfilmed.  When NARA
appraises original records as permanent, it also determines which media
will eventually be transferred to the National Archives.  This
requirement serves two purposes: 1) it protects records that should be
preserved in their original format, and 2) it enables NARA to choose one
or both formats to provide optimum security and access.  In addition,
before destroying either original records or any component of the
microform version, an agency must get additional written authorization
from NARA if 1) the series has not been scheduled or 2) the series is
permanent and the existing NARA-approved agency schedule does not fully
describe all components of the micrographic records system.

Preparing and Submitting an SF 115

  The SF 115 contains a description of each series of unscheduled
records and a proposed disposition for each.  After completing the form,
agencies submit it to NARA for approval.  A series consists of file
units or documents arranged according to a filing system or kept
together because they relate to a particular subject or function, result
from the same activity, document a specific kind of transaction, or have
some other relationship arising out of their creation, receipt, or use.
The proposed disposition instructions may not be applied until the SF
115 has been signed by the Archivist of the United States.  When
preparing an SF 115 for permanent microforms, agencies should: Schedule
transfer of the archival microform and a work copy to the National
Archives as soon as possible.  The National Archives copy could be
considered an offsite security copy.  Another benefit is that NARA
handles most reference services including FOIA/Privacy Act access,
storage space, environmental controls, inspections, and other routine
maintenance.

       Identify the office that is responsible for transferring to the
National Archives: 1) the archival microform, 2) a working copy, 3) the
inspection report, and 4) additional components such as CAR records.  If
the agency proposes to destroy original source documents after
microfilming, include a statement that the microfilm will be stored and
monitored according to standards required by 36 CFR 1230.20 and 1230.22.
If microfilming methods, materials, or procedures do not meet formal
standards cited in 36 CFR 1230, include a statement describing the
deviating circumstances and justification, if any.  Include provisions
for all micrographic finding aids, such as indexes, logbooks, lists, and
cross-references to related records.  Some agencies have significant
holdings of micrographic records that are received from outside sources
rather than created in the agency.  The agency should schedule these as
early as possible in their life cycle in order to determine if they are
permanent or temporary, and if permanent, to ensure proper maintenance.
For example, diazo microforms should be duplicated onto silver gelatin
archival microform if the records are permanent.

TRANSFER OF PERMANENT RECORDS TO NARA

  Permanent records are transferred to the legal custody of NARA by
submission of the Standard Form (SF) 258, Request to Transfer, Approval
and Receipt of Records to the National Archives of the United States.
As stated previously, agencies are encouraged to transfer permanent
micrographic records to the National Archives as soon as the first
inspection survey takes place (when the microform is 2 years old).  The
agency may retain working copies to conduct business while avoiding the
maintenance requirements for permanent microforms.  There are at least
three components of permanent micrographic records that the agency must
transfer.  These are: 1.  The archival microform: A silver gelatin
camera film or duplicate that meets standards in 36 CFR 1230.14, has
been stored according to part 1230.20(a) for a life expectancy of 500
years, "LE 500" designation, and has never been used except to produce
another master copy for mass duplications or to produce a limited number
of working copies.  2.  A working copy: A silver, diazo, vesicular, or
other film base type according to agency preference.  3.  An inspection
report as described in 36 CFR 1230.22 containing a summary of inspection
findings including a list of identification codes in each batch by year,
the quantity of microforms inspected, the overall condition of
microforms, any defects discovered, and corrective action taken.
External printed indexes or other finding aids, should also be
transferred to the National Archives.  The agency should take special
care to assure that care and handling recommendations are maintained
during the process of physically transferring micrographic records to
NARA.  In particular, silver gelatin archival microform must not be
placed in the same carton or room with nonsilver film.

Additional considerations must be made for CAR systems.  NARA requires
that agencies transfer permanent computer files in a hardware and
software independent format.  1.  Accepted formats are: (a) 1/2-inch
magnetic tape (b) EBCDIC or ASCII without internal control characters
(c) 7- or 9-track open reel or 3480-class tape cartridge (d) 800, 1600,
or 6250 bytes per inch (e) blocked no higher than 30,000 bytes 2.
External labels for magnetic tape should include: (a) volume and serial
number (b) name of program office (c) CAR title/data set name (with
microform title) 3.  Internal labels should use standard directory and
file naming conventions.  4.  Documentation, often maintained in paper,
that describes the CAR system and provides instructions on its use
should be transferred to the National Archives.  For additional guidance
on transferring electronic records to the National Archives, see the
NARA publication "Managing Electronic Records."

FOR FURTHER INFORMATION

Several NARA offices can provide additional information and services
relating to the design, development, and implementation of micrographic
systems.  Listed below by function are their names and telephone
numbers.  All are located at the National Archives at College Park, 8601
Adelphi Road, College Park, MD 20740- 6001.

Records Management Assistance, Inquiries, Automation, Publications, and
Training

NARA provides records management advice and assistance to agencies on
records creation, files maintenance, use of microfilm, and inventorying
and scheduling records.  NARA also conducts records management training
classes and briefings for program managers, provides information on
other records management training, assists agencies in setting up their
own records management training programs, and prepares publications.
For more information about this assistance, write to the Office of
Records Administration (NI) at the address above, or call 301-713- 6677.

Federal Records Centers

Many of the NARA Federal records centers (FRCs) provide reimbursable
micrographics services, as described below.  See 36 CFR, Part 12,
Subpart I, for addresses of individual Federal records centers.  General
questions about records center services should be addressed to the
Office of Federal Records Centers, 301-713-7200.

  Feasibility Studies: FRCs will help Federal agencies to determine the
feasibility and cost of filming records.  All cost estimates and most
feasibility studies are done free of charge.

  Filming: FRCs microfilm Federal documents ranging from small index
cards to large engineering drawings.  Several microform retrieval
marking options are available as well as development of some
computer-assisted retrieval programs.  End products include 16mm, 35mm,
and 105mm film and cartridge, microfiche, and aperture card formats.

  Records Storage: After filming is completed, FRCs will provide
guidance on storage for original source records, archival microforms,
and working microforms.  The center will assist agencies in placing
eligible original records and microforms in the FRC or NARA storage.

Microfilm Standards and Preservation

The Special Media Preservation Branch (NNPS) can provide advice on
preservation microfilm, duplication of microfilm for preservation, and
film and filming standards.  The branch can be reached on 301-713-6713.

Special Records

Several NARA custodial units accession and preserve special records at
the National Archives at College Park.  For questions about transferring
these records to the National Archives, contact the appropriate unit at
the address above or call:

Center for Electronic Records (NSX), 301-713-6630

Still Picture Branch (NNSP) (photographs, posters, and illustrations),
301-713- 6625

Cartographic and Architectural Branch (NNSC) (maps, architectural and
engineering drawings, and aerial photographs), 301-713-7030

Bibliographic Service

The Archives and Library Information Center provides free searches of
selected bibliographic databases on records management literature.  The
center can be reached on 301-713-6875.

The professional organizations listed below also provide useful
information on micrographics.

  The Association for Information and Image Management is a nonprofit
national professional association for the imaging industry with local
chapters.  AIIM publishes and disseminates formal standards for
micrographic and other imaging systems and also offers publications
through a catalog.  The AIIM information center provides answers to many
kinds of imaging related questions and referrals to product and service
vendors.  AIIM can be reached at 1100 Wayne Avenue, Silver Spring, MD
20910 (telephone: 301-587-8202).

  The Association of Records Managers and Administrators produces
several publications and audiovisual aids on records management topics
such as filing methods and equipment, machine-processed data control,
microfilm systems, and records protection.  ARMA can be reached at 4200
Somerset, Suite 215, Prairie Village, KS 66208 (telephone:
913-341-3808).  APPENDIX A.  MICROGRAPHICS RECORDS MANAGEMENT
REGULATIONS

PART 1230 -- MICROGRAPHICS

Subpart A -- General

Sec.  1230.1 Scope of part.  1230.2 Authority.  1230.3 Publications
incorporated by reference.  1230.4 Definitions.

Subpart B -- Program Requirements

1230.7 Agency responsibilities.

Subpart C -- Standards for Microfilming Records

1230.10 Disposition authorization.  1230.12 Preparatory steps prior to
filming.  1230.14 Film and image requirements for permanent records or
unscheduled records.  1230.16 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 Storage.  1230.22 Inspection.  1230.24 Use of microform records.
1230.26 Disposition of microform records.

Subpart E -- Centralized Micrographic Services

1230.50 Services available.  1230.52 Fees for services.

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

Subpart A -- General

        Source: 55 FR 27435, July 2, 1990, unless otherwise noted.

 1230.1 Scope of part.

  This part provides standards for using micrographic technology in the
creation, use, storage, inspection, retrieval, preservation, and
disposition of Federal records.

[58 FR 49194, Sept.  22, 1993]

 1230.2 Authority.

  As provided in 44 U.S.C. chapters 29 and 33, the Archivist of the
United States is authorized to establish standards for the reproduction
of records by photographic and microphotographic processes with a view
to the disposal of original records; to establish uniform standards
within the Government for the creation, storage, use, and disposition of
processed microform records; and to establish, maintain, and operate
centralized microfilming services for Federal agencies.

 1230.3 Publications incorporated by reference.

  (a) General.  The following publications cited in this section are
hereby incorporated by reference into Part 1230.  They are available
from the issuing organizations at the addresses listed in this section.
They are also available for inspection 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 and ISO standards cited in this
part are available from the American National Standards Institute, 11
West 42nd St., New York, NY 10036.

  ANSI/NAPM IT9.1 - 1992, American National Standard for Imaging Media
(Film) -- Silver-Gelatin Type -- Specifications for Stability.  ANSI
IT9.2 - 1991, American National Standard for Imaging Media --
Photographic Processed Films, Plates, and Papers -- Filing Enclosures
and Storage Containers.  ANSI IT9.11 - 1991, American National Standard
for Imaging Media -- Processed Safety Photographic Film -- Storage.
ANSI IT2.19 - 1990, American National Standard for Photography --
Density Measurements -- Geometric Conditions for Transmission Density.
ANSI/ISO 5/3 - 1984, ANSI PH2.18 - 1985, Photography (Sensitometry) --
Density Measurements -- Spectral Conditions.

  (c) Association of Information and Image Management (AIIM) Standards.
The following AIIM standards are available from the Association of
Information and Image Management, 1100 Wayne Avenue, suite 1100, Silver
Spring, MD 20910.  AIIM standards that are identified as Federal
Information Processing Standards (FIPS) are also available from the
address shown in paragraph (d).

  ANSI/AIIM MS1 - 1988, Recommended Practice for Alphanumeric
Computer-Output Microforms -- Operational Practices for Inspection and
Quality Control.  (FIPS 82).  ANSI/AIIM MS5 - 1991, Microfiche.  (FIPS
54 - 1).  ANSI/AIIM MS14 - 1988, Specifications for 16mm and 35mm Roll
Microfilm.  (FIPS 54 - 1).  ANSI/AIIM MS19 - 1987, Recommended Practice
for Identification of Microforms.  ANSI/AIIM MS23 - 1991, Practice for
Operational Procedures/Inspection and Quality Control of
First-generation, Silver Microfilm of Documents.  ANSI/AIIM MS32 - 1987,
Microrecording of Engineering Source Documents on 35mm Microfilm.
ANSI/AIIM MS41 - 1988, Unitized Microfilm Carriers (Aperture, Camera,
Copy, and Image Cards).  ANSI/AIIM MS43 - 1988, 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.  NSI/ISO 3334 - 1991, ANSI/AIIM MS51 -
1991, Micrographics -- ISO Resolution Test Chart No.  2 -- Description
and Use.

  (d) National Institute of Standards and Technology (NIST)
publications.  The following publication is available from the National
Institute of Standards and Technology, Office of Standard Reference
Materials, Rm. B311 Chemistry, Gaithersburg, MD 20899.

  NIST - SRM 1010a, Microcopy Resolution Test Chart (ISO Test Chart No.
2), certified June 1, 1990.

[58 FR 49194, Sept.  22, 1993]

 1230.4 Definitions.

  For the purpose of this part the following definitions shall apply:
Archival microfilm.  A photographic film that meets the standards
described in 1230.14 and that is suitable for the preservation of
permanent records when stored in accordance with 1230.20(a).  Such film
must conform to film designated as LE 500 in ANSI/NAPM IT9.1 - 1992.
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
produced by a recorder from computer generated signals.  Facility.  An
area set aside for equipment and operations required in the production
or reproduction of microforms either for internal use or for the use of
other organizational elements of the Federal Government.  Microfilm.
(a) Raw (unexposed and unprocessed) fine-grain, high resolution
photographic film with characteristics that make it suitable for use in
micrographics; (b) The process of recording microimages on film; or (c)
A fine-grain, high resolution photographic film containing an image
greatly reduced in size from the original.  Microform.  A term used for
any form containing microimages.  Microimage.  A unit of information
such as a page of text or a drawing, that has been made too small to be
read without magnification.  Permanent record.  Any record (see
definition in 44 U.S.C.  3301) that has been determined by the Archivist
of the United States to have sufficient historical or other value to
warrant its continued preservation by the Government.  Temporary record.
Any record approved by the Archivist of the United States for disposal,
either immediately or after a specified retention period.  Temporary
records may warrant microfilming for economies of storage and
distribution.  Unscheduled record.  Any record that has not been
appraised by NARA, i.e., a record that has neither been approved for
disposal nor designated as permanent by the Archivist of the United
States in accordance with part 1228 of this chapter.  Use or work
copies.  Duplicates of original film which are prepared for use as
reference copies or as duplication masters for recurring or large-scale
duplication.  These copies are not to be confused with the preservation
master copies which are stored under the conditions in 1230.20 and which
are not to be used for reference purposes.

[55 FR 27435, July 2, 1990, as amended at 58 FR 49195, Sept.  22, 1993]

Subpart B -- Program Requirements

  Source: 58 FR 49195, Sept.  22, 1993, unless otherwise noted.

 1230.7 Agency responsibilities.

  The head of each Federal agency must ensure that the management of
microform records incorporates the following elements: (a) Assigning
responsibility to develop and implement an agency-wide program for
managing all records on microform media and notifying the National
Archives and Records Administration (NI), Washington, DC 20408 of the
name and title of the person assigned the responsibility.  (b)
Integrating the management of microform records with other records and
information resources management programs of the agency.  (c)
Incorporating microform records management objectives, responsibilities,
and authorities in pertinent agency directives and disseminating them
throughout the agency as appropriate.  (d) Establishing procedures for
addressing records management concerns, including recordkeeping and
disposition requirements, before approving new microform records systems
or enhancements to existing systems.  (e) Ensuring that adequate
training is provided for the managers and users of microform records.
(f) Developing and securing NARA approval of records schedules covering
microform records, and ensuring proper implementation of the schedule
provisions.

  (g) Ensuring that computerized indexes associated with microform
records, such as in a computer-assisted retrieval (CAR) system, are
scheduled in accordance with part 1234 of this chapter.  (h) Reviewing
the agency's program periodically to ensure compliance with NARA
standards in this part for the creation, storage, use, inspection, and
disposition of microform records.

Subpart C -- Standards for Microfilming Records

  Source: 55 FR 27436, July 2, 1990, unless otherwise noted.

 1230.10 Disposition authorization.

  (a) Permanent or unscheduled records.  Agencies must schedule the
disposition of both source documents (originals) and microforms by
submitting Standard Form (SF) 115, Request for Records Disposition
Authority, to NARA in accordance with part 1228 of this chapter.  Source
documents may not be disposed of before NARA authorization is received.
The original records shall not be destroyed after microfilming when NARA
determines that the original records have intrinsic value or when NARA
concludes that the microforms present reference problems because of the
access restrictions, including security classification, or other
characteristics of the original records.  (1) Agencies using
microfilming methods and procedures meeting the standards in 1230.14
shall 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 1230.14(a) shall include on
the SF 115 a description of the system and standards used.  (3) Agencies
proposing to retain and store the silver original microforms of
permanent records after disposal of the original records shall include
on the SF 115 a statement that the agency's storage conditions shall
comply with the standards of 1230.20 and that the inspections required
by 1230.22 will be performed.  (b) Temporary records.  Agencies do not
need to obtain further NARA approval before disposing of scheduled
temporary records that have been microfilmed.  The approved retention
period for temporary records shall be applied to microform copies of
such records; the original records shall be destroyed upon verification
of the microfilm, unless legal requirements preclude early destruction
of the originals.

 1230.12 Preparatory steps prior to filming.

  (a) The integrity of the original records authorized for disposal
shall be maintained by ensuring that the microforms are adequate
substitutes for the original records and serve the purpose for which
such records were created or maintained.  Copies shall be complete and
contain all information shown on the originals.  (b) The records shall
be arranged, identified, and indexed so that any particular document or
component of the records can be located.  Each microform roll or fiche
shall include accurate titling information on a titling target or
header.  At a minimum, titling information shall include the name of the
agency and organization; the title of the records; the number or
identifier for each unit of film; the security classification, if any;
and the inclusive dates, names, or other data identifying the records to
be included on a unit of film.  For fiche, complete titling information
may be placed as a microimage in frame 1 if the information will not fit
on the header.  (c) Each microform shall contain an identification
target showing the date of filming.  When necessary to give the film
copy better legal standing, the target shall also identify the person
authorizing the microfilming.  See ANSI/AIIM MS19 - 1987 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 - 1988 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 - 1991 for determining 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 - 1987, Table 1 are mandatory, the
aperture card format ``D Aperture'' shown in ANSI/AIIM MS41 - 1988,
Figure 1, must be used.  The components of the aperture card, including
the paper and adhesive, must conform to the requirements of ANSI IT9.2 -
1991.  The 35mm film used in the aperture card application must conform
to film designated as LE500 in ANSI/NAPM IT9.1 - 1992.  (ii) COM.
Computer output microfilm (COM) generated images shall be the simplex
mode described in ANSI/AIIM MS14 - 1988 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 appropriate formats and reduction ratios prescribed in ANSI/AIIM MS5
- 1990 must be used as specified for the size and quality of the
documents being filmed.  See ANSI/AIIM MS23 - 1991 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, all indexes, registers, or other
finding aids, if microfilmed, shall be placed 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 or in the last frames of the last microfiche or microfilm
jacket of a series.  (2) COM.  Computer-generated microforms shall have
the indexes 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.

[55 FR 27436, July 2, 1990, as amended at 58 FR 49195, Sept.  22, 1993]

 230.14 Film and image requirements for permanent records or unscheduled
records.

  (a) Application.  The following standards apply to the microfilming of
permanent records where the original paper record will be destroyed or
otherwise disposed of.  Systems that produce original permanent records
on microfilm with no paper originals, such as computer output microfilm
(COM), must be designed so that they produce microfilm which meets the
standards of this section.  Unscheduled records from systems such as COM
must also meet the standards of this section.  Prior NARA approval of a
SF 115 is required before unscheduled paper records are disposed of
after microfilming.  (b) Film stock standards.  Only polyester-based
silver gelatin type film that conforms to ANSI/NAPM IT9.1 - 1992 for LE
500 film must be used in all applications.  (c) Processing standards.
Microforms shall 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 - 1992.  Processing shall be in accordance with
processing procedures in ANSI/AIIM MS1 - 1988 and MS23 - 1991.  (d)
Quality standards -- (1) Resolution -- (i) Source documents.  The method
for determining minimum resolution on microforms of source documents
shall conform to the Quality Index Method for determining resolution and
anticipated losses when duplicating as described in ANSI/AIIM MS23 -
1991 and MS43 - 1988.  Resolution tests shall be performed using a NIST
- SRM 1010a, Microcopy Resolution Test Chart (a calibrated and certified
photographic reproduction) as specified in ISO 3334 - 1991 (the standard
practice for using the test chart), and the patterns will be read
following the instructions of ISO 3334 - 1989.  The character used to
determine the height used in the Quality Index formula shall be the
smallest character used to display information.  A Quality Index of five
is required at the third generation level.  (ii) COM.  Computer output
microforms (COM) shall meet the requirements of ANSI/AIIM MS1 - 1988.
(2) Background density of images.  The background ISO standard visual
diffuse transmission density on microforms shall be appropriate to the
type of documents being filmed.  The procedure for density measurement
is described in ANSI/AIIM MS23 - 1991 and the densitometer shall be in
accordance with ANSI/ISO 5/3 - 1984, for spectral conditions and ANSI
IT2.19 - 1990, for geometric conditions for transmission density.

Recommended visual diffuse transmission background densities for images
of documents are as follows:




Classification Description of document Background density


Group 1.  High-quality, high-contrast printed books, periodicals, and
black typing.  1.3-1.5


Group 2.  Fine-line originals, black opaque pencil writing, and
documents with small high-contrast printing.  1.15-1.4


Group 3.  Pencil and ink drawings, faded printing, and very small
printing, such as footnotes at the bottom of a printed page.  1.0-1.2


Group 4.  Low-contrast manuscripts and drawings, graph paper with pale,
fine-colored lines; letters typed with a worn ribbon; and poorly
printed, faint documents.  0.8-1.0


Group 5.  Poor-contrast documents (special exception).  0.7-0.85





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




Film type Process Density measurement method Min.  Dmax* Max.  Dmin *
Minimum density difference


Silver gelatin Conventional Printing or diffuse    0.75  0.15  0.60


Silver gelatin Full reversal Printing              1.50  0.20 1.30


*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 should 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, the background density shall be reduced as needed to ensure
that the copies produced will contain legible characters.

[55 FR 27436, July 2, 1990, as amended at 58 FR 49195, Sept.  22, 1993]

 1230.16 Film and image requirements for temporary records, duplicates,
and user copies.

  (a) Temporary records with a retention period over 99 years.  Agencies
must follow the film and image requirements in 1230.14.  (b) Other
temporary records.  Agencies must select an appropriate film stock that
meets agency needs for temporary microforms to be kept for less than 100
years and ensures the preservation of the microforms for their full
retention period.  NARA does not require use of particular standards for
processing microfilm of such temporary records; agencies may consult
appropriate ANSI standards or manufacturer's instructions.

[58 FR 49196, Sept.  22, 1993]

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

        Source: 55 FR 27438, July 2, 1990, unless otherwise noted.

 1230.20 Storage.

  (a) Permanent and unscheduled records.  The extended term storage
conditions specified in ANSI IT9.11 - 1991 and ANSI IT9.2 - 1991 are
required for storing permanent and unscheduled microform records, except
that the relative humidity of the storage area must be a constant 35%
RH, plus or minus 5%.  Non-silver copies of permanent or unscheduled
microforms must not be stored in the same storage area as silver gelatin
originals or duplicate copies.  (b) Temporary records.  Temporary
microform records must be stored under conditions that will ensure their
preservation for their full retention period.  Agencies may consult ANSI
IT9.11 - 1991 and ANSI IT9.2 - 1991 to determine appropriate storage
conditions; however, NARA does not require adherence to this standard
for temporary records.

[58 FR 49196, Sept.  22, 1993]

 1230.22 Inspection.

  (a) Permanent and unscheduled records.  (1) Master films of permanent
records microfilmed in order to dispose of the original records, master
films of permanent records originally created on microfilm, and other
master films scheduled for transfer to the National Archives, must be
inspected by the agency creating the film when the films are 2 years old
and, until they are transferred to a Federal records center or to the
National Archives, every 2 years thereafter.  The inspection must be
made in accordance with ANSI/AIIM MS45 - 1990.  (2) Microforms cannot be
accepted for deposit with the National Archives of the United States
until the first inspection (occurring after the microforms are 2 years
old) has been performed.  Permanent microforms may be transferred to a
Federal records center only after the agency has performed the first
inspection or has certified that the microforms will be inspected by the
agency, an agency contractor, or the Federal records center (on a
reimbursable basis) when they become 2 years old.  (3) To facilitate
inspection, an inventory of microfilm must be maintained, listing each
microform series/publication by production date, producer, processor,
format, and results of previous inspections.  (4) The elements of the
inspection shall consist of: (i) An inspection for aging blemishes
following ANSI/AIIM MS45 - 1990; (ii) A rereading of resolution targets;
(iii) A remeasurement of density; and (iv) A certification of the
environmental conditions under which the microforms are stored, as
specified in 1230.20(a).  (5) An inspection report must be prepared, and
a copy must be furnished to NARA in accordance with 1230.26(b).  The
inspection report must contain: (i) A summary of the inspection
findings, including: (A) A list of batches by year that includes the
identification numbers of microfilm rolls and microfiche in each batch;
(B) The quantity of microforms inspected; (C) An assessment of the
overall condition of the microforms; (D) A summary of any defects
discovered, e.g., redox blemishes or base deformation; and (E) A summary
of corrective action taken.  (ii) A detailed inspection log created
during the inspection that contains the following information: (A) 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); (B) The date of
inspection; (C) The elements of inspection (see subparagraph (a)(4) of
this section); (D) Any defects uncovered; and (E) The corrective action
taken.  (6) An agency having in its custody a master microform that is
deteriorating, as shown by the inspection, shall prepare a silver
duplicate in accordance with 1230.14 to replace the deteriorating
master.  The duplicate film will be subject to the 2-year inspection
requirement before transfer to a Federal Record Center or to the
National Archives.  (7) Inspection must be performed in an
environmentally controlled area in accordance with ANSI/AIIM MS45 -
1990.  (b) Temporary records.  Inspection by sampling procedures
described in 1230.22(a) is recommended but not required.

[55 FR 27438, July 2, 1990, as amended at 58 FR 49196, Sept.  22, 1993]

 1230.24 Use of microform records.

  (a) The silver gelatin original microform or duplicate silver gelatin
microform created in accordance with 1230.14 of this part (archival
microform) must not be used for reference purposes.  Duplicates must be
used for reference and for further duplication on a recurring basis or
for large-scale duplication, as well as for distribution of records on
microform.  Agency procedures must ensure that the archival microform
remains clean and undamaged during the process of making a duplicating
master.  (b) Agencies retaining the original record in accordance with
an approved records disposition schedule may apply agency standards for
the use of microform records.

[55 FR 27438, July 2, 1990, as amended at 58 FR 49196, Sept.  22, 1993]

 1230.26 Disposition of microform records.

  The disposition of microform records shall be carried out in the same
manner prescribed for other types of records in part 1228 of this
chapter with the following additional requirements: (a) The silver
gelatin original (or duplicate silver gelatin microform created in
accordance with 1230.14) plus one microform copy of each permanent
record microfilmed by an agency, must be transferred to an approved
agency records center, the National Archives of the United States, or to
a Federal records center, at the time that the records are to be
transferred in accordance with the approved records disposition
schedule, SF 258, or other authorization for transfer.  Non-silver
copies must be packaged separately from the silver gelatin original or
silver duplicate microform copy and labeled clearly as non-silver
copies.  (b) The microforms shall be accompanied by: (1) Information
identifying the agency and organization; the title of the records; the
number or identifier for each unit of film; the security classifica-
tion, if any; the inclusive dates, names, or other data identifying the
records to be included on a unit of film; (2) Any finding aids relevant
to the microform that are not contained in the microform; and (3) The
inspection log forms and inspection reports required by 1230.22(a) (5)
and (6).  (c) The information required in this paragraph (b) shall be
attached to the SF 135 when records are being transferred to a Federal
records center and to the SF 258 when records are being transferred to
the legal custody of the National Archives.

[55 FR 27438, July 2, 1990, as amended at 58 FR 49196, Sept.  22, 1993]

Subpart E -- Centralized Micrographic Services

 1230.50 Services available.

  NARA provides reimbursable microfilming services at many of its
Federal records centers, including the preparation, indexing, and
filming of records, inspection of film, and labeling of film containers.
Agencies desiring microfilming services should contact the Office of
Federal Records Centers, National Archives (NC), Washington, DC 20408,
or the director of the Federal records center serving the agency's
records (see 1228.150 of this chapter).

[50 FR 26935, June 28, 1985.  Redesignated at 55 FR 27435, July 2, 1990]

 1230.52 Fees for services.

  The fees for microfilming services will be announced in NARA
bulletins.  For microfilming services not listed, contact the office
shown in 1230.50.

[50 FR 26935, June 28, 1985.  Redesignated at 55 FR 27435, July 2, 1990]
APPENDIX B

MICROGRAPHICS PROGRAM RECORDS MANAGEMENT EVALUATION GUIDE

This guide provides a checklist reflecting NARA regulations and
recommended practices for the creation, maintenance, and disposition of
Federal micrographic records.  Federal agencies may find it useful in
evaluating their micrographics records management programs.

Program Direction

1.  Does an agency directive assign responsibilities to the records
officer for approving and coordinating implementation of micrographics
systems?

2.  Does the agency ensure that personnel who handle micrographic
records are properly trained?

Creation

3.  Prior to filming, is the file sequence of original records checked
and, when needed, reordered to restore proper arrangement?

4.  Prior to filming, are classified or restricted records segregated
from unrestricted records?

5.  Are temporary and permanent records series filmed separately?

6.  Are microform records arranged, identified, and indexed so that any
document can be located?

7.  Does each microform contain a title header or begin with a target
that includes 1) agency identification; 2) records series title; 3) film
unit number or code; 4) national security classification or other
restriction; 5) inclusive dates, names, or other data identifying the
first and last records included on each unit of film; and 6)
certification that the microform has been produced in the normal course
of Government business and that images are a complete and accurate copy
of the original records?

8.  Are target sheets describing missing documents included on the
microfilm?

9.  Is the index, register, or other finding aid placed after the title
header of roll film and on the last frame of microfiche or microfilm
jackets?

10.  Is polyester-based silver gelatin film used as the camera film (or
as duplicating film for a master copy) for records that are permanent,
unscheduled, or to be retained more than 99 years?

11.  Does the density level of microfilm result in readable film and
allow production of legible paper copies and legible film copies?

12.  Does the agency require production documentation including logs of
the filming process, work produced on each camera, job requirements,
silver gelatin film processing, and inspection, and receipts for
completed microforms and original records?

13.  Do all microform enclosure labels identify 1) film type (silver
gelatin, diazo); 2) film use (archival microform, duplication master,
working copy); 3) agency; 4) records series title; 5) film unit number
or code; 6) batch code, location, and year; 7) national security
classification or other restriction; 8) inclusive dates, names, or other
data identifying the first and last records included on each unit of
film; 9) arrangement of records (alphabetical, etc.); and 10) location
and date of microfilm creation?

Maintenance and Use

14.  Are silver gelatin master microform rolls wound on cores and reels
made of noncorroding material such as nonferrous metal or inert plastic?

15.  Are silver gelatin microform rolls secured on cores by applying a
nonacidic, low-lignin paper wrap or by tucking the film end between the
roll and the flange (and never by using rubber bands, adhesive tape, or
string)?

16.  Is the master microform of permanent and unscheduled records only
used to produce a small number of film copies (and never used for
reference, research, or reading work of any kind)?

17.  Are silver gelatin microforms of permanent and unscheduled records
placed in inert plastic envelopes or jackets, or in paper enclosures
that are nonacidic, low-lignin, and, when possible, constructed without
adhesives?

Integrity

18.  Is the Methylene Blue test performed within 2 weeks of processing
silver gelatin film for permanent and unscheduled records?

19.  Are silver gelatin master microforms of permanent and unscheduled
records inspected every 2 years while these records are in storage?

20.  Are inspection results recorded and retained for transfer to the
National Archives with the microform?

Storage

21.  In storage areas for silver gelatin master microforms of permanent
and unscheduled records, is the temperature constant between 18 and 21
degrees Celsius (65 and 70 degrees Fahrenheit) and the relative humidity
constant between 30 and 40 percent?

22.  Are silver gelatin master microforms protected from dust and
physical damage by cabinets or individual containers made of
noncorroding metal (such as anodized aluminum, stainless steel, or steel
with a baked-on, nonplasticized synthetic resin finish) or inert plastic
that is free of peroxides?

23.  Are silver gelatin master microforms for permanent and unscheduled
records protected from exposure to tobacco smoke, ammonia, sulfur
dioxide, hydrogen sulfide, peroxides, nitro oxides, and other gaseous
impurities by air filtration of storage areas or precisely applied seals
on containers?

24.  When silver gelatin master microforms of permanent and unscheduled
records are stored in the same building with nonsilver film, is the
silver stored in a vault or room with a circulating air system that is
separate from the nonsilver film?

25.  Are temperature, relative humidity, and air quality conditions
routinely monitored, recorded, and when necessary, corrected?

26.  Are boxes containing microforms individually labeled with the
records series title and date span of the records, and are they
sequentially numbered?

Micrographic Records Created or Stored by Contractors

27.  Do contracts for the production of micrographic records specify
that the requirements for creation and maintenance be met?

28.  Do agency contracts for the storage of micrographic records specify
environmental conditions, storage containers, and handling procedures?

29.  Are micrographic records maintained in contractor storage
facilities inspected at least annually?

Disposition of Micrographic Records

30.  Are microforms included in the agency's records inventory?

31.  Is NARA's approval obtained before destroying permanent or
unscheduled original records that are microfilmed?

32.  Are all indexes, logs, and lists relating to micrographic records
included in the agency's records schedule?

33.  Is all production documentation included in the agency's records
schedule?  APPENDIX C. CONTRACT CONSIDERATIONS


When contracting for services relating to micrographics, it is essential
that the Government has the opportunity to evaluate an offeror's past
performance and previous micrographics experience that is directly
related to the agency's current needs.  The preparation and issuance of
a Request for Proposal (RFP) is the best means to accomplish that goal.
A thoroughly prepared solicitation that includes stringent technical
evaluation factors greatly reduces the numerous potential risks to
agency records by inexperienced contractor personnel or inadequate
facilities and equipment.  Agencies should consider making award of the
contract based on technical score rather than low bid.

The Technical Proposal

The successful offeror for offsite microfilming should clearly
demonstrate both in its written proposal and the quality of its bid
samples that it has the proven experience, qualified personnel, as well
as adequate facilities and equipment to furnish the required services.
Specifically, the proposal should demonstrate past corporate experience
in conducting microfilming feasibility studies or satisfactorily
producing archival quality microforms.  Personnel requirements should
include a Project Manager (minimum of 5 years experience with microform
feasibility studies and/or microform projects requiring archival
standards); filming projects should include the provision for a Quality
Control Supervisor (minimum of 3 years experience in micrographics,
including at least 1 year experience in quality control and specialized
experience in inspecting archival microforms of variable quality).  The
offeror should provide resumes for key personnel along with a production
and staffing plan to accomplish the desired work in the specified time
frame.  Additional information relating to facilities, equipment, and
the process of microfilming are covered in the paragraphs that follow.

The proposal should include a Quality Control Plan that describes how
quality control will be monitored, including testing equipment and
supplies (film & chemicals); inspecting 100% of all completed work; as
well as address the correction of any substandard work.  (Ensure that
all contracts include a provision for the remaking of defective
products, identified by the Government's representative, at no
additional cost to the government.) The proposal should describe the
facility and equipment including the name, manufacturer, model number
and age of each piece of equipment to be utilized for the proposed work.
The number of individual units of each type of equipment proposed for
use should be included if there is a large volume or the completion time
is critical.  The daily production capacity for work performed under
this contract also should be stated.

The proposal should describe all steps that will be taken to ensure the
protection and safety of Government records and microforms while in the
contractor's custody.  All documents and microforms are to be stored and
handled in accordance with Federal regulations appearing in 36 CFR 1230.
A copy of the regulations should be given to the contractor.  The
contractor's facility must be fire protected with an automatic sprinkler
and a fire alarm system.  The facility also must be protected against
intrusion with an alarm system that is monitored at all times.  If
sensitive data are involved, the contractor must have a locked vault and
all materials must be kept in the vault unless actual filming is
underway.

Original records scheduled for permanent retention shall be stored in a
controlled environment with the following parameters: - temperature
range: 55-65 degrees F - relative humidity: 33-47 percent The agency
should be furnished with a written daily readout of temperature and
humidity of the storage areas on a weekly basis.  If the contract
includes the pick up and delivery of archival materials (original
records or completed microforms), the materials must be transported in a
vehicle with an ambient temperature between 65-70 degrees Fahrenheit.
The materials shall be under the personal surveillance and custody of a
contractor's representative at all times.

All offerors should be put on notice that award is contingent upon the
successful agency inspection of facilities and equipment.  The
solicitation should contain a prohibition against subcontracting any
portion of the work without prior approval of the agency.  The offeror
should be the only vendor to handle the original records.  Furthermore,
some agencies may wish to have a Government-Owned Contractor-Operated
(GOCO) agreement for onsite microfilming for long-term projects.

Bid Samples

It is recommended that the agency require the submission of bid samples
of completed work which are subject to evaluation as part of the
technical proposal.  The samples should be produced from original
records furnished by the agency which are as identical as possible to
the records identified for filming under contract.  Agencies should
provide identical records to work from for all offerors if possible.
The samples of records to be filmed could be picked up at a pre-
proposal conference.  Pre-proposal conferences are excellent methods of
ensuring that both the Government and the private sector clearly
understand what is required by the statement of work.  A pre-proposal
conference often results in additional clarifications to the original
statement of work early in the process and avoids amending the
solicitation after it is issued to address any misunderstanding.

Specific requirements of the rewarded contract should include the above
elements incorporated from the successful proposal and those elements
that follow.  This description is not exhaustive.  Agencies should
consult their contracting personnel, as well as 36 CFR 1230, for
additional guidance on crafting a contract that produces the best
microforms and protects the original records at the same time.



Equipment

The contract should identify the type and quantity of equipment that the
vendor must use and describe procedures for ensuring proper care of the
records.  Examples include:

  -- cameras, -- densitometers for quality control and process control,
-- ultrasonic splicers for use with polyester film, -- inspection
stations for the use of both contractor and Government inspectors,and --
hygrothermograph or other equipment to record temperature and relative
humidity.

The agency should specify documentation to be provided by the contractor
and provisions for errors and noncompliance with specifications.
Examples of documentation include:

  -- production status reports (weekly), -- Methylene Blue tests
(weekly), and -- hygrothermograph readouts (weekly.)

Preparation of Records and Filming Instructions

The agency should decide whether it will prepare the records for
microfilming or make that part of the contractor's duties.  The more
straight forward the task for the contractor because of agency
preparation, the more likely that mistakes can be minimized.
Preparation clauses of the contract address the physical character and
intellectual content of records.  The preparation methods specified will
be based on the retention period of the records selected for
microfilming and the micrographic system that will be used to access the
film.  Next, the agency should identify and develop appropriate
directions for the type, condition, document dimensions, and physical
uniformity among series or other filing units.  Are source documents on
a sheer, thin paper like onion skin?  Is the type very small, or are
images faint?  Are there foldouts?  The agency must decide what physical
preparation and filming instructions are needed to produce legible film
images and protect original documents to be retained.  The intellec-
tual organization of records should be checked and order restored if
necessary.  Additional indexing may be desirable.  Account for missing
source document pages or other deficiencies with a target.  Determine
how to divide images between rolls or flat units.

Contractors can offer valuable advice and also carry out many
preparation activities, but the agency should not rely on the vendor to
take responsibility for these decisions.  The agency should undertake
the following activities or prepare written instructions for the
contractor regarding:

      Prefilming preparation of records Indexing Notes to camera
operator for filming sequence, special handling, etc.  Removing
fasteners (e.g., staples) Checking each page in a folder to make sure
all pages are accounted for and are in proper order Unfolding records
Preparing and inserting targets

      Filming procedures Handling Masking Targets Foldouts Illustrations
and photographs Translucent pages and showthrough Filming torn pages
Reduction ratio Roll breaks (or other unit breaks)

Photographic Specifications

For permanent and unscheduled records and for temporary microforms to be
retained 100 years or more, 36 CFR 1230 provides formal standards and
other guidance.  In addition to the master camera film, the agency
should specify the type(s) of film and number of copies wanted.  For
example, is an additional silver gelatin needed as a printing master to
produce many working copies?  Should working copies be on vesicular,
diazo, or another type of film?  The agency should provide written
instructions for the following items:

     Standards (include a list of formal standard titles) Film base
Format Density Resolution Chemical processing Residual thiosulfate
testing Duplicating film(s)

Postfilming

As for photographic specifications, 36 CFR 1230 provides guidance for
many postfilming activities.  Agency specifications will vary depending
on options chosen.  For example, agencies may choose to store the print
master or ask the contractor to store it; or agencies may ask the
contractor to destroy the original records or have them returned.
Contractors should not be permitted to destroy the original records
after microfilming unless authorized to do so by the agency and only
when the agency dictates disposal should be implemented.  The agency
should specify formal standards and administrative procedures to address
the following items:

     Film inspection guidelines for camera masters Film inspection
guidelines for duplicates Refilming (retakes) Boxing microfilm rolls
Placing microfiche in sleeves Labeling microform boxes Shipping and
receiving source document records Shipping and receiving camera masters
Shipping and receiving microform duplicates

Inspection and Acceptance by the Government

Inspection of products delivered under this contract should be
accomplished by the Government.  Receipt for materials should not
constitute acceptance.  The Government should return defective products
for remake within a reasonable period of time, but not to exceed 20
working days after receipt by the designated Contracting Officer's
Technical Representative (COTR).  The COTR should have final authority
in determining which products are to be returned to the contractor for
remake at no additional cost to the Government.  Remakes should be
delivered within the minimum agreed upon time.  Standards for inspection
and quality control are found in ANSI/AIIM MS23-1991 and ANSI/AIIM
MS43-1988, or future updates.


Unacceptable Work The contract should provide that any of the following
conditions will render a deliverable unacceptable: poor image quality
that affects legibility, clarity or resolution, poor contrast, uneven
density; poor film condition which includes scratches, defects or marks
that obscure text, water marks, discoloration, finger prints, dirt
abrasions, processing roller marks, foreign matter; incorrect filming
sequence, omissions in filming, missing or inappropriate targets.
APPENDIX D. OPTIONAL STANDARDS

NARA regulations on Micrographics Records Management (36 CFR 1230) cite
mandatory standards for the creation and maintenance of microforms.  The
following issuances provide additional guidance:

      ANSI/AIIM MS17-1992, Rotary (Flow) Microfilm Camera Test Chart and
Test Target-Descriptions and Use

      ANSI/AIIM MS35-1990 Recommended Practice for the Requirements and
Characteristics of Original Documents That May Be Microfilmed

      ANSI/AIIM MS36-1990 Reader-Printers

      ANSI/AIIM MS42-1989 Recommended Practice for the Expungement,
Deletion, Correction, or Amendment of Records on Microforms.

      ANSI/AIIM MS46-1990 Test Target and Test Method for Determining
Output of 35mm Microfilm Duplicators

      AIIM TR2-1992 with 1993 addendum Glossary of Imaging Technology

      AIIM TR03-1993 Thermally Processed Silver Microfilm

      AIIM TR04-1993 Silver Recovery Techniques

      AIIM TR09-1989(R 1993) Color Microforms

      AIIM TR13-1988 Care and Handling of Active Microform Files

      AIIM TR18-1989 Equipment Safety

      AIIM TR20-1993 Environment and Right-to-Know Regulations Affecting
Microfilm Processors

      ANSI Z39.32-1981 Information on Microfiche Headings

      ANSI IT9.5-1992 Imaging Media (Film) - Ammonia-Processed Diazo
Films - Specification for Stability

      ANSI IT9.9-1990 Imaging Media - Stability of Color Photographic
Images - Methods for Measuring

      ANSI/ISO 9718-1991 and ANSI IT.12-1991 Photography - Processed
Vesicular Photographic Film - Specifications for Stability

      ANSI/NAPM IT9.13-1992 Imaging Media - Photographic Films, Papers,
and Plates - Glossary of Terms Pertaining to Stability

      ANSI/NAPM IT9.17-1993 Photography - Determination of Thiosulphate
and Other Related Residual Chemicals in Processed Photographic Materials
- Iodine- Amylose, Methylene Blue, and Silver Sulphide Densitometric
Methods APPENDIX E.  GLOSSARY

ACCESSION.  (1) The transfer of the legal and physical custody of
permanent records from an agency to the National Archives.  See also
PERMANENT RECORDS, (1).  (2) The transfer of agency records to a Federal
records center for temporary storage.  The agency retains legal custody
of the records.  (3) The records so transferred.

AGING BLEMISHES.  Very small spots forming on silver gelatin film as a
result of air pollution, improper packaging, or inadequate storage
conditions.  Also called measles, microspots, red spots, or redox
blemishes.

AMERICAN NATIONAL STANDARDS INSTITUTE (ANSI).  A U.S. standards
organization composed of representatives from industry, technical
societies, consumer organizations, and government agencies.  ANSI issues
micrographic standards jointly with AIIM and NAPM.  See also ASSOCIATION
FOR INFORMATION AND IMAGE MANAGEMENT (AIIM), INTERNATIONAL
STANDARDIZATION ORGANIZATION (ISO)

AMMONIUM THIOSULFATE.  A chemical compound used as a fixing agent, which
makes the developed image stable.  Also called a hypo.  See also SODIUM
THIOSULFATE.

APERTURE CARD.  An 80-column tabulating size paper card with a hole, or
aperture, containing usually one frame of 35mm microfilm.  Generally
used for engineering drawings, maps and charts, and x rays.

ARCHIVAL MICROFILM.  Film created and stored in accordance with the
standards in 36 CFR 1230 for permanent records.  Such film must conform
to film designated as LE (Life Expectancy) 500 in ANSI/NAPM IT 9.1-1992.
See also SILVER GELATIN FILM.

ARCHIVAL STORAGE CONDITIONS.  Conditions suitable for preserving
permanent records as specified in 36 CFR 1230.  See also PERMANENT
RECORDS.  [Note: Under ANSI standards, such storage conditions apply to
long-term (100 years plus) as well as archival microfilm.]

ARCHIVES.  (1) The noncurrent records of an organization preserved
because of their enduring value.  "National Archives of the United
States" consists of permanent records that have been transferred to the
legal custody of the National Archives and Records Administration.  See
also PERMANENT RECORDS.  (2) The organization or agency responsible for
appraising, accessioning, preserving, and making available permanent
records.  Also called archival agency.  In the U.S.  Government, the
National Archives and Records Administration (NARA).  (3) One or more
buildings, or portions thereof, used to store permanent records
accessioned by an archival agency.  Also called archival depository or
archival repository.

ASSOCIATION FOR INFORMATION AND IMAGE MANAGEMENT (AIIM).  A trade and
professional organization concentrating on applications of micrographic,
optical, and computer technology and systems.  AIIM issues micrographic
standards jointly with ANSI.  See also AMERICAN NATIONAL STANDARDS
INSTITUTE (ANSI), INTERNATIONAL STANDARDIZATION ORGANIZATION (ISO).

BACKGROUND DENSITY.  The level of density of the area of the microform
not containing information.  [Note: NARA regulations (36 CFR 1230.14)
refer to five groups of background density.] See also DENSITY.

BASE.  A transparent plastic material, such as cellulose triacetate or
polyester, on which a photographic emulsion or other material may be
placed.

BLIP.  An optical mark, usually rectangular, located below or above an
image on a roll of microfilm used to count images or frames
automatically.  See also INDEX (3).

CAMERA MICROFILM.  First-generation microfilm.  See also MASTER
MICROFORM.

CAR (COMPUTER-ASSISTED RETRIEVAL).  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.  See also MICROIMAGING SYSTEMS.

CARD JACKET.  A plastic variation of the aperture card with sleeves for
the insertion of 16mm microfilm strips.

CELLULOSE TRIACETATE FILM.  A film base of transparent plastic that is
relatively nonflammable but has some difficulty keeping its original
size and shape.  See also BASE.

CINE MODE.  SEE VERTICAL MODE.

COM (COMPUTER OUTPUT MICROFILM).  Microfilm containing data converted
and recorded directly from a computer.  Generally used instead of hard
copy printouts.

COMIC MODE.  See HORIZONTAL MODE.

DENSITY.  The light-absorbing or light-reflecting quality of
microimages.  See also BACKGROUND DENSITY.

DENSITOMETER.  The device used to measure the density of microimages.

DIAZO FILM.  Film containing images produced by exposing an emulsion of
diazonium salts to ultraviolet light and then ammonia fumes for the
purpose of copying a master microform.  See also MASTER MICROFORM,
MICROFILM.

DISPOSAL.  (1) The actions taken regarding temporary records after their
retention periods expire and consisting usually of destruction or
occasionally of donation.  (2) Also, when so specified, the actions
taken regarding nonrecord materials when no longer needed, especially
their destruction.  See also DISPOSITION (2).

DISPOSITION.  (1) The actions taken regarding records no longer needed
for current Government business.  These actions include transfer to
agency storage facilities or Federal records centers, transfer from one
Federal agency to another, transfer of permanent records to the National
Archives, and disposal of temporary records.  See also DISPOSAL,
SCHEDULED RECORDS, UNSCHEDULED RECORDS.  (2) The actions taken regarding
nonrecord materials when no longer needed, including screening and
destruction.

DISPOSITION AUTHORITY.  (1) Document containing legal approval for
Federal agencies to transfer permanent records to the National Archives
or to dispose of temporary records.  Must be obtained from NARA and, for
certain records, from the General Accounting Office.  (2) Disposition
instructions established by Federal agencies for nonrecord materials.

DRY SILVER FILM.  A nongelatin silver film developed by applying heat
rather than a liquid.  Also called dry-process silver film or thermally
processed silver (TPS) film.  In contrast to silver gelatin film, it
does not meet archival standards.  See also SILVER GELATIN FILM.

FIXING.  A film-processing step that stabilizes the images by removing
light sensitivity.

FLASH CARD.  A target, generally with markings, photographed to index
microfilm.  Also called flash target.  See also INDEX (3).

FORMAT.  (1) The shape, size, style, and general makeup of a particular
record.  (2) The placement of microimages within a given microform.
Also called image arrangement.  Formats for roll microfilm include
simplex (single image), duo (used with certain rotary cameras that film
one side and then turn the roll over and film on the other side), duplex
(front and back of an image), and duo-duplex (combining capabilities of
duo and duplex).  (3) The arrangement of images in relation to the edges
of the film.  Also called image orientation.  See also HORIZONTAL MODE,
VERTICAL MODE.

GENERAL RECORDS SCHEDULE (GRS).  A NARA-issued schedule governing the
disposition of specified temporary records common to several or all
agencies.  See also RECORDS SCHEDULE.

HORIZONTAL MODE.  (1) The arrangement of images on roll microform in
which the lines of print or writing are parallel to the length of the
film for horizontal script and perpendicular for vertical script, as for
comic strips.  Also called comic mode.  (2) The arrangement of images on
a microfiche in which the first microimage is in the top left corner of
the grid pattern and the other microimages appear in sequence from left
to right and in rows from top to bottom.  See also FORMAT.

HYPO.  See AMMONIUM THIOSULFATE, SODIUM THIOSULFATE.

INDEX.  (1) A separate collection of cards, extra copies of documents,
cross-reference sheets, or other forms arranged differently from the
related records series to make it easier to locate relevant documents.
(2) A manual or automated listing arranged differently from a related
records series or system to speed retrieval of relevant files.  (3) In
microform records, the use of flash cards, bar codes, blips, an
odometer, and photo-optical binary codes to access roll microfilm.

INSPECTION.  (1) Examining microform records for aging blemishes,
rereading resolution targets, remeasuring density, and certifying that
environmental storage conditions meet the standards set forth in 36 CFR
1230 to ensure their proper preservation.  See also AGING BLEMISHES,
DENSITY, RESOLUTION TARGET.

INTERNATIONAL STANDARDIZATION ORGANIZATION (ISO).  An international
standards-setting organization.  ISO issues some micrographic standards
jointly with ANSI.  See also AMERICAN NATIONAL STANDARDS INSTITUTE
(ANSI), ASSOCIATION FOR INFORMATION AND IMAGE MANAGEMENT (AIIM).

INVENTORY.  (1) A survey of agency records and nonrecord materials that
is conducted primarily to develop records schedules and also to identify
various records management problems, such as improper applications of
recordkeeping technology.  (2) The results of such a survey.  (3) In
archives administration, a type of finding aid for accessioned records.

JACKET CARD.  A 4-by-6-inch card with sleeves large enough to
accommodate 18 to 36 microimages.

LONG-TERM FILM.  Former ANSI designation for photographic film suitable
for preserving records for a minimum of 100 years when stored under
proper conditions, provided the original film was processed correctly.
Now referred to as LE-100 or higher.

MASTER MICROFORM.  A microform, usually first-generation or camera film,
from which to make duplicates or intermediates.  See also CAMERA
MICROFILM

MEASLES.  See AGING BLEMISHES.

METHYLENE BLUE.  A chemical dye formed during the testing of the
archival (permanent) quality of processed microimages.

MICROFICHE.  A card-sized transparent sheet of film with miniaturized
images (microimages) arranged in a grid pattern.  Usually contains a
title readable without a magnifying device.  Sometimes abbreviated as
fiche.

MICROFILM JACKET.  A flat, transparent, plastic carrier with single or
multiple film channels made to hold single or multiple microfilm images.
Also called CARD JACKET, JACKET CARD.

MICROIMAGING SYSTEMS.  Systems constituting a bridge between traditional
microforms and electronic records.  Include stand-alone micrographics,
computer-assisted retrieval (CAR), computer output microfilm (COM),
computer input microfilm (CIM), electronic microimage transmission, and
optical disk systems.  Also called image processing or image management
systems.

NONRECORD MATERIALS.  Federal documentary materials excluded from the
legal definition of records or not meeting the requirements of that
definition.  Includes extra copies of documents kept only for
convenience of reference, stocks of publications and of processed
documents, and library or museum materials intended solely for reference
or exhibition.  See also DISPOSITION AUTHORITY, RECORDS.

OPTICAL DISK.  A noncontact, random-access disk typically tracked by
optical laser beams and used for mass storage and retrieval of generally
digitized text and graphics.  Sometimes called an optical digital disk.
Types include WORM (write once read many), CD-ROM (compact disk--read
only memory), and CD-I (compact disk--interactive), and erasable optical
disks.  See also MICROIMAGING SYSTEMS

PERMANENT RECORDS.  Records appraised by NARA as having sufficient
historical or other value to warrant continued preservation by the
Federal Government beyond the time they are needed for administrative,
legal, or fiscal purposes.  Sometimes called archival records.  See also
ACCESSION (1), ARCHIVES (1), DISPOSITION

POLYESTER FILM.  A film base of transparent plastic that keeps its
original size and shape, resists tearing, and is strong and relatively
nonflammable.  Sometimes called polyethylene terephthalate film.  See
also BASE.

PRESERVATION.  (1) The provision of adequate facilities to protect, care
for, or maintain records.  (2) Specific measures undertaken to maintain,
repair, restore, or protect records.

RECORDS.  According to 44 USC 3301, the term "includes all books,
papers, maps, photographs, machine-readable materials, or other
documentary materials, regardless of physical form or characteristics,
made or received by an agency of the United States Government under
Federal law or in connection with the transaction of public business and
preserved or appropriate for preservation by that agency or its
legitimate successor as evidence of the organization, functions,
policies, decisions, procedures, operations, or other activities of the
Government or because of the informational value of data in them.
Library and museum material made or acquired and preserved solely for
reference or exhibition purposes, extra copies of documents preserved
only for convenience of reference, and stocks of publications and of
processed documents are not included." See also NONRECORD MATERIALS

RECORDS CENTER.  A facility for the low-cost storage and servicing of
records pending their disposal or transfer to the National Archives.
Includes agency records centers, private records centers, and
NARA-operated Federal records centers.

RECORDS MANAGEMENT PROGRAM.  A planned, coordinated set of policies,
procedures, and activities needed to manage an agency's recorded
information.  Encompasses the creation, maintenance and use, and
disposition of records, regardless of media.

RECORDS SCHEDULE.  A document providing mandatory instructions for what
to do with records (and nonrecord materials) no longer needed for
current Government business.  Also called records disposition schedule,
records control schedule, or schedule.  Includes the SF 115, the General
Records Schedules, and agency records schedules, which when compiled
become a comprehensive records schedule that also contains agency
disposition instructions for nonrecord materials.  See also DISPOSITION
AUTHORITY, GENERAL RECORDS SCHEDULE, UNSCHEDULED RECORDS.

RED SPOTS.  See AGING BLEMISHES.

REDOX BLEMISHES.  See AGING BLEMISHES.

RESOLUTION.  (1) The ability of a microform or optical disk system to
record fine detail.  (2) The sharpness of words, numbers, and lines, as
in images or microimages.

RESOLUTION TARGET.  A chart containing a number of increasingly smaller
resolution test patterns consisting of sets of horizontal and vertical
lines of specific size and spacing.  Also called resolution test chart
or microcopy resolution test chart.  NARA micrographic regulations (36
CFR 1230.14) require the use of NIST-SRM 1010a, Microcopy Resolution
Test Chart (ISO Test Chart No.  2), which is certified by the National
Institute of Standards and Technology.

SAFETY FILM.  A relatively nonflammable film base that meets ANSI
criteria for safety photographic film.  Examples include cellulose
triacetate and polyester film.

SCHEDULE.  See RECORDS SCHEDULE.

SCHEDULED RECORDS.  Records for which the final disposition has been
approved by NARA.  See also DISPOSITION (1), RECORDS SCHEDULE.

SERIALIZED MICROFORM.  Microform, usually roll microform, containing
images relating to lengthy files, such as publications and other
issuances bearing numerical or chronological designations and intended
to be continued indefinitely.  See also UNITIZED MICROFORM.

SERIES.  File units or documents arranged according to a filing system
or kept together because they relate to a particular subject or
function, result from the same activity, document a specific kind of
transaction, take a particular physical form, or have some other
relationship arising out of their creation, receipt, or use, such as
restrictions on access and use.  Also called a records series.

SILVER GELATIN FILM.  Archival-quality film containing images produced
by using light-sensitive silver halide crystals suspended in a gelatin
emulsion.  Silver gelatin film should be distinguished from dry silver
film which does not meet archival standards.  See also DRY SILVER FILM,
MICROFILM.

SILVER HALIDE FILM.  See SILVER GELATIN FILM.

SODIUM THIOSULFATE.  A salt used as a fixing agent, which makes the
developed image stable.  When dissolved in water, it removes the silver
halide remaining in film after development.  Also called a hypo.  See
also AMMONIUM THIOSULFATE.

THERMALLY PROCESSED SILVER (TPS) FILM.  See DRY SILVER FILM.

UNITIZED MICROFORM.  A microform, usually a flat microform, containing
images relating to a single case or a single report, hence microform
whose content is self-contained or kept as a unit, such as one report
per microfiche.  See also SERIALIZED MICROFORM.

UNSCHEDULED RECORDS.  Federal records whose final disposition has not
been approved by NARA.  See also DISPOSITION (1), FINAL DISPOSITION,
RECORDS SCHEDULE.

VERTICAL MODE.  (1) The arrangement of images on roll microform in which
the lines of print or writing are perpendicular to the length of the
film for horizontal script and parallel for vertical script, as movie
film images are placed.  Also called cine mode.  (2) The arrangement of
images on a microfiche in which the first microimage is in the top left
corner of the grid pattern and other microimages appear in sequence from
top to bottom and in columns from left to right.  See also FORMAT (3).

VESICULAR FILM.  Film containing images produced by exposure to
ultraviolet light and then heat for the purpose of copying the microform
master.  See also MASTER MICROFORM, MICROFILM.

VITAL RECORDS.  Records essential to the continued functioning or
reconstitution of an organization during and after an emergency and also
those records essential to protecting the rights of that organization
and of the individuals directly affected by its activities.  Includes
both emergency-operating and legal and financial rights records.  Copies
of vital records should be made for offsite storage.