34574

Federal Register Format Changes

EDITOR’S NOTE: The Office of the Federal Register is republishing the following 

document in a special format to illustrate proposed changes to the appearance of 

the printed and PDF pages of the daily Federal Register. This experimental format 

uses a two-column layout, sans serif fonts, larger and bolder headings in the preamble and tables, bullets in the Summary, more space between lines of regulatory 

text, and makes other changes to the appearance of text and tables. The format 

changes are intended to improve the readability and public understanding of Federal 

regulations and notices without increasing white space that would affect printing 

costs charged to agencies. The proposed format would result in no change or a 

slight decrease in the number of pages printed. The format changes shown below 

do not affect the legal status of the final rule issued by the National Archives and 

Records Administration. 

We invite agencies and members of the public to comment on the proposed 

format by email at: fedreg.legal@nara.gov, or by U.S. mail at: National Archives 

and Records Administration, Office of the Federal Register (NF), Federal Register 

Format Changes, 700 Pennsylvania Ave., NW, Washington, DC 20408-0001. For 

more information the proposed format, go to the Federal Register web site at: http:/

/www.nara.gov/fedreg/plainlan.html#top.

NATIONAL ARCHIVES AND RECORDS 

ADMINISTRATION 

36 CFR Part 1230

RIN 3095-AB06

Micrographic Records Management

AGENCY: National Archives and Records Administration (NARA).

ACTION: Final rule.

SUMMARY: NARA is revising its Micrographic Records Management 

regulations to: 

• Update the editions of standards incorporated by reference to the most 

current edition; and 

• Rewrite the regulations in plain language format. 

This final rule will affect Federal agencies.

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

Director of the Federal Register as of June 10, 2002.

FOR FURTHER INFORMATION CONTACT: Kim Richardson at 

telephone number 301-713-7360, ext. 240, or fax number 301-713-7270.

SUPPLEMENTARY INFORMATION: NARA published a proposed 

rule on September 11, 2001, at 66 FR 47125, for a 60-day public comment period. We received comments from 2 Federal agencies, 1 records 

management professional organization, and 2 members from the public. 

Following is a summary of the comments and a discussion of the 

changes that we made to the proposed rule. 

Terminology (§§ 1230.4 and 1230.7(f)) 

ARMA International (ARMA) recommended replacing the term ‘‘records 

schedule’’ with ‘‘records retention schedule’’ in § 1230.7(f) and defining the 

suggested term in § 1230.4, Definitions. We did not adopt this comment 

because ‘‘records schedule’’ is a standard records management term that 

is used throughout NARA regulations. The term does not need to be 

included in Part 1230 because it is already defined in 36 CFR 1220.14, 

which applies to the entire Subchapter B. 

Discontinuing Filming Temporary Records (§ 1230.10) 

A Federal agency asked if NARA would require agencies to request 

approval before discontinuing filming temporary records when the records, 

regardless of format, would be kept for the same period of time. Agencies 

are not required to request approval to film temporary records 

(§ 1230.10(b)) and the same is true for discontinuing microfilming temporary 

records. The principle, which has been in place for many years now, is 

that the nature and use of temporary records is not changed when the 

original paper is copied to microform. 

Filming Requirements (§ 1230.14) 

A Federal agency pointed out that § 1230.14 no longer includes the 

phrase ‘‘when the original paper records will be destroyed or otherwise 

disposed of,’’ though § 1230.22 still makes that distinction. We did not 

intend to change § 1230.14(a) when we reformatted the paragraph in plain 

language, and have added the phrase in this final rule. We also modified 

§ 1230.14(a)(2) for clarity. 

Using Dry Silver Film for Permanent Records (§ 1230.14) 

A member from the public recommended that we consider revising the 

section to permit the use of dry silver film for filming permanent records. 

We did not adopt this change because for long-term retention, the drysilver film is much riskier than the traditional silver-gelatin film. 

• Dry silver film that meets the ISO standard has a life expectancy 

rating of only 100 years, while wet-processed silver-gelatin film with a polyester base has a higher life expectancy rating of 500 years. 

• Dry silver film is never ‘‘fixed’’ meaning, it will remain potentially developable for an indefinite period of time. Fixing is the process of removing 

the light sensitive silver salts. This means if the film is ever exposed to 

high temperatures (e. g., 120 degrees Fahrenheit to 130 degrees Fahrenheit) such as with an air conditioner failure, the film will ‘‘develop’’ and 

turn completely black, causing a catastrophic loss of all the information 

on the film. 

Quality Standards (§ 1230.14(d)) 

ARMA and a member from the public suggested adding a clause to 

the second sentence so that it will read as follows: ‘‘Perform resolution 

tests using a ISO 3334-1991 Resolution Test Chart or a commercially available certifiable target manufactured to comply with this standard, and read 

the patterns following the instructions of ISO 3334–1991.’’ We accept this 

comment and have incorporated the suggested clause. 

Film and Image Requirements for Temporary Records (§ 1230.16(a)) 

ARMA recommended use of the ARMA glossary to define temporary 

records in this section. We did not adopt this comment. Section 1230.16(a) 

does not define ‘‘temporary records’’ but pertains to film and image requirements. We require that temporary records retained for 100 years or longer 

meet the same image requirements as permanent records. This is not a 

new requirement. It already exists in the current regulation. 

Inspection Period (§ 1230.22(b)) 

ARMA suggested changing the inspection period from every 2 years 

to every 5 years because they believe the longer inspection period is sufficient under appropriate storage conditions and would be less costly. No 

Federal agency has objected to the 2-year inspection requirement that 

NARA selected. 

We partially accept this comment. We believe that it is important to 

conduct an initial inspection when the microfilm is 2 years old to identify 

any problems that did not appear when the film was processed and to 

ensure that it is stored in the proper environment. Acetate-based microfilm 

stock, which was used prior to 1990, is more susceptible to deterioration 

than the polyester-based microfilm used today. Therefore, we are retaining 

the requirement for inspection every 2 years for microfilms produced before 

1990. Unless there is a catastrophic event (e.g., extended failure of 

environmental controls), microfilms produced during or after 1990 must be 

inspected on a 5-year cycle after the initial 2-year inspection. 

Percentage of Inspection Sampling (§ 1230.22(a)) 

ARMA commented that § 1230.22(a) does not indicate the percentage 

of inspection sampling that is required. They questioned whether inspection 

is to cover 100 percent of all rolls of film or a lesser sampling. They recommended a sampling of approximately 10 percent because it would provide a reliable inspection and help reduce costs incurred with the inspection 

process. They also recommended adding a separate section to address 

Federal Register / Vol. 67, No. 93 / Tuesday, May 14, 2002 / Rules and Regulations 34575

microfilm inspection procedures. We did not adopt these comments. There 

is no need for a change in language, since we believe that what ARMA 

is concerned about is adequately covered in ANSI/AIIM MS45–1990. That 

standard addresses both the proper sampling procedures (1/1000th of the 

group or 100 microforms, whichever is greater, or the whole group if less 

than 100 microforms) and the proper inspection procedures. No additional 

language is, therefore, required. 

This final rule is not a significant regulatory action for the purposes of 

Executive Order 12866 and has not been reviewed by the Office of 

Management and Budget. As required by the Regulatory Flexibility Act, 

I certify that this rule will not have a significant impact on a substantial 

number of small entities. This rule does not have any federalism implications.

List of Subjects in 36 CFR Part 1230

Archives and records, Incorporation by reference.

■ For the reasons set forth in the preamble, NARA revises part 1230 of 

title 36, Code of Federal Regulations, to read as follows:

PART 1230—MICROGRAPHIC RECORDS 

MANAGEMENT

Subpart A—General 

Sec.

1230.1 What does this part cover?

1230.2 What is the authority for this part?

1230.3 Publications incorporated by reference.

1230.4 Definitions.

Subpart B—Program Requirements

1230.7 What must agencies do to manage microform records?

Subpart C—Microfilming Standards

1230.10 Do agencies need to request NARA approval for the disposition 

of all microform and source records?

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

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

1230.16 What are the film and image requirements for temporary records, 

duplicates, and user copies?

Subpart D—Storage, Use and Disposition Standards of Microform 

Records

1230.20 How should microform records be stored?

1230.22 What are NARA inspection requirements for permanent and 

unscheduled microform records?

1230.24 What are NARA inspection requirements for temporary 

microform records?

1230.26 What are the use restrictions for permanent and unscheduled 

microform records?

1230.28 What must agencies do to send permanent microform records 

to a records storage facility?

1230.30 How do agencies transfer permanent microform records to the 

legal custody of the National Archives?

Subpart E—Centralized Micrographic Services

1230.50 What micrographic services are available from NARA?

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

Subpart A—General

§ 1230.1 What does this part cover? 

This part covers the standards and procedures for using micrographic 

technology to create, use, store, inspect, retrieve, preserve, and dispose 

of Federal records.§ 1230.2 What is the authority for this part? 

44 U.S.C. chapters 29 and 33, authorize the Archivist of the United 

States to: 

(a) Establish standards for copying records by photographic and microphotographic means; 

(b) Establish standards for the creation, storage, use, and disposition 

of microform records in Federal agencies; and 

(c) Provide centralized microfilming services for Federal agencies.

§ 1230.3 Publications incorporated by reference. 

(a) General. The following publications are hereby incorporated by reference into Part 1230. They are available from the issuing organizations 

at the addresses listed in this section. They may also be examined at 

the Office of the Federal Register, 800 North Capitol Street NW, suite 

700, Washington, DC. This incorporation by reference was approved by 

the Director of the Federal Register in accordance with 5 U.S.C. 552(a) 

and 1 CFR Part 51. These materials are incorporated as they exist on 

the date of approval, and a notice of any change in these materials will 

be published in the Federal Register. 

(b) American National Standards Institute (ANSI) and International (ISO) 

standards. ANSI standards cited in this part are available from the American National Standards Institute, 25 West 43rd St., 4th Floor, New York, 

NY 10036. The standards can be ordered on line at http://

webstore.ansi.org/ansidocstore/default.asp. 

ISO 10602:1995(E), February 1, 1995, Second edition, Photography–

Processed silver-gelatin type black-and-white film–Specifications for stability. 

ANSI/PIMA IT9.2–1998, April 15, 1998, American National Standard for 

Imaging Materials—Photographic Processed Films, Plates, and Papers—

Filing Enclosures and Storage Containers. 

ANSI/ISO 5.2-1991, ANSI/NAPM IT2.19–1994, February 20, 1995, American National Standard for Photography—Density Measurements—Part 2: 

Geometric Conditions for Transmission Density. 

ANSI/ISO 5-3-1995, ANSI/NAPM IT2.18–1996, March 8, 1996, American 

National Standard for Photography—Density Measurements—Part 3: Spectral Conditions. 

ISO 18911: 2000(E), First edition, November 1, 2000, Imaging materials–

Processed safety photographic films—Storage practices. 

(c) Association of Information and Image Management (AIIM) Standards.

You may obtain the following standards from the Association of Information 

and Image Management, 1100 Wayne Avenue, suite 1100, Silver Spring, 

MD 20910. The standards can be ordered on line at

http://www.aiim.org/. 

ANSI/AIIM MS1–1996, August 8, 1996, Standard Recommended Practice for Alphanumeric Computer-Output Microforms—Operational Practices 

for Inspection and Quality Control. 

ANSI/AIIM MS5–1992, December 21, 1992, Standard for Information and 

Image Management–Microfiche. 

ANSI/AIIM MS14–1996, August 8, 1996, Standard Recommended Practice–Specifications for 16mm and 35mm Roll Microfilm. 

ANSI/AIIM MS19–1993, August 18, 1993, Standard Recommended Practice–Identification of Microforms. 

ANSI/AIIM MS23–1998, June 2, 1998, Standard Recommended Practice–Production, Inspection, and Quality Assurance of First-Generation, 

Silver Microforms of Documents. 

ANSI/AIIM MS32–1996, February 16, 1996, Standard Recommended 

Practice–Microrecording of Engineering Source Documents on 35mm 

Microfilm. 

ANSI/AIIM MS41–1996, July 16, 1996, Dimensions of Unitized Microfilm 

Carriers and Apertures (Aperture, Camera, Copy and Image Cards). 

ANSI/AIIM MS43–1998, June 2, 1998, Standard Recommended Practice–Operational Procedures–Inspection and Quality Control of Duplicate 

Microforms of Documents and From COM. 

ANSI/AIIM MS45–1990, January 22, 1990, Recommended Practice for 

Inspection of Stored Silver-Gelatin Microforms for Evidence of Deterioration. 

34576 Federal Register / Vol. 67, No. 93 / Tuesday, May 14, 2002 / Rules and Regulations

ANSI/ISO 3334–1991, ANSI/AIIM MS51–1991, May 10, 1991, Micrographics—ISO Resolution Test Chart No. 2—Description and Use.

§ 1230.4 Definitions. 

The following definitions apply to this part: 

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 IT9.1–1996. 

Background density. The opacity of the area of the microform not containing information. 

Computer-assisted retrieval (CAR) system. A records storage and 

retrieval system, normally microfilm-based, that uses a computer for 

indexing, automatic markings such as blips or bar codes for identification, 

and automatic devices for reading those markings and, in some applications, for transporting the film for viewing. 

Computer Output Microfilm (COM). Microfilm containing data converted 

and recorded from a computer. 

Facility. An area used exclusively to make or copy microforms. 

Microfilm. (1) Raw (unexposed and unprocessed) fine-grain, high resolution photographic film with characteristics that make it suitable for use in 

micrographics; 

(2) The process of recording microimages on film; or 

(3) A fine-grain, high resolution photographic film containing microimages. 

Microform. Any form containing microimages. 

Microimage. A document such as a page of text or a drawing that is 

too small to be read without magnification. 

Permanent record. Permanent record has the meaning specified in 

§ 1220.14 of this chapter. 

Records storage facility. Records storage facility has the meaning specified in § 1220.14 of this chapter. 

Temporary record. Temporary record has the meaning specified in 

§ 1220.14 of this chapter. 

Unscheduled record. Unscheduled record has the meaning specified in 

§ 1220.14 of this chapter. 

Use or work copies. Duplicates of original film made to be used for 

reference or for duplication on a recurring or large-scale basis. These are 

not preservation master copies, which must be stored unused as specified 

in § 1230.20.

Subpart B—Program Requirements

§ 1230.7 What must agencies do to manage microform records? 

Federal agencies must manage microform records by taking the following actions: 

(a) Assign responsibility for an agencywide program for managing 

microform records and notify the National Archives and Records Administration (NWM), 8601 Adelphi Rd., College Park, MD 20740-6001 of the 

name and title of the person assigned the responsibility. 

(b) Manage the microform records as part of other records and information resources management programs of the agency. 

(c) Include microform records management objectives, responsibilities, 

and authorities in pertinent agency directives and disseminate them to 

appropriate officials. 

(d) Address records management issues, including disposition, before 

approving new microform records systems or enhancements to existing 

systems. 

(e) Train the managers and users of microform records. 

(f) Develop records schedules covering microform records and finding 

aids, secure NARA approval, and apply the disposition instructions. 

(g) Schedule computerized indexes associated with microform records, 

such as in a computer-assisted retrieval (CAR) system, in accordance with 

part 1234 of this chapter. 

(h) Review practices used to create and manage microform records 

periodically to ensure compliance with NARA standards in this part.

Subpart C—Microfilming Standards

§ 1230.10 Do agencies need to request NARA approval for the 

disposition of all microform and source records? 

(a) Permanent or unscheduled records. Agencies must schedule both 

source documents (originals) and microforms. NARA must approve the 

schedule, Standard Form (SF) 115, Request for Records Disposition 

Authority, in accordance with part 1228 of this chapter before any records, 

including source documents, can be destroyed. NARA will not approve the 

destruction of original records that have intrinsic value, or security classified 

or otherwise restricted original records that are scheduled as permanent, 

or original records that are scheduled as permanent and that have other 

characteristics that would limit the usefulness of microform copies for public 

reference. 

(1) Agencies that comply with the standards in § 1230.14 must include 

on the SF 115 the following certification: ‘‘This certifies that the records 

described on this form were (or will be) microfilmed in accordance with 

the standards set forth in 36 CFR part 1230.’’

(2) Agencies using microfilming methods, materials, and procedures that 

do not meet the standards in § 1230.14(a) must include on the SF 115 

a description of the system and standards used. 

(3) When an agency intends to retain the silver original microforms of 

permanent records and destroy the original records, the agency must certify 

in writing on the SF 115 that the microform will be stored in compliance 

with the standards of § 1230.20 and inspected as required by § 1230.22. 

(b) Temporary records. Agencies do not need to obtain additional NARA 

approval when destroying scheduled temporary records that have been 

microfilmed. The same approved retention period for temporary records 

is applied to microform copies of these records. The original records can 

be destroyed once microfilm is verified, unless legal requirements prevent 

their early destruction.

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

(a) Ensure that the microforms contain all information shown on the 

originals and that they can be used for the purposes the original records 

served. 

(b) Arrange, describe, and index the filmed records to permit retrieval 

of any particular document or component of the records. Title each 

microform roll or fiche with a titling target or header. For fiche, place the 

titling information in frame 1 if the information will not fit on the header. 

At a minimum, titling information must include: 

(1) The title of the records; 

(2) The number or identifier for each unit of film; 

(3) The security classification, if any; and 

(4) The name of the agency and organization the inclusive dates, names, 

or other data identifying the records to be included on a unit of film. 

(c) Add an identification target showing the date of filming. When necessary to give the film copy legal standing, the target must also identify 

the person who authorized the microfilming. See ANSI/AIIM MS19–1993 

for standards for identification targets. 

(d) The following formats are mandatory standards for microforms: 

(1) Roll film. (i)Source documents. The formats described in ANSI/AIIM 

MS14–1996 must be used for microfilming source documents on 16mm 

and 35mm roll film. A reduction ratio no greater than 1:24 is recommended 

for typewritten or correspondence types of documents. See ANSI/AIIM 

MS23–1998 for the appropriate reduction ratio and format for meeting the 

image quality requirements. When microfilming on 35mm film for aperture 

card applications, the format dimensions in ANSI/AIIM MS32–1996, Table 

1 are mandatory, and the aperture card format ‘‘D Aperture’’ shown in 

ANSI/AIIM MS41–1996, Figure 1, must be used. The components of the 

aperture card, including the paper and adhesive, must conform to the 

Federal Register / Vol. 67, No. 93 / Tuesday, May 14, 2002 / Rules and Regulations 34577

requirements of ANSI/PIMA IT9.2–1998. The 35mm film used in the aperture card application must conform to film designated as LE 500 in ANSI/

NAPM IT9.1–1996. 

(ii) COM. Computer output microfilm (COM) generated images must be 

the simplex mode described in ANSI/AIIM MS14–1996 at an effective ratio 

of 1:24 or 1:48 depending upon the application. 

(2) Microfiche. For microfilming source documents or computer generated information (COM) on microfiche, the formats and reduction ratios 

prescribed in ANSI/AIIM MS5–1992 (R1998) must be used as specified 

for the size and quality of the documents being filmed. See ANSI/AIIM 

MS23–1998 for determining the appropriate reduction ratio and format for 

meeting the image quality requirements. 

(e) Index placement. (1)Source documents. When filming original 

(source) documents, place indexes, registers, or other finding aids, if microfilmed, either in the first frames of the first roll of film or in the last frames 

of the last roll of film of a series. For microfiche, place them in the last 

frames of the last microfiche or microfilm jacket of a series. 

(2) COM. Place indexes on computer-generated microforms following 

the data on a roll of film or in the last frames of a single microfiche, 

or the last frames of the last fiche in a series. Other index locations may 

be used only if dictated by special system constraints.

§ 1230.14 What are the filming requirements for permanent and 

unscheduled records? 

(a) General requirements. (1) Apply the standards in this section for 

microfilming of: 

(i) Permanent paper records where the original paper record will be 

destroyed or otherwise disposed of; 

(ii) Unscheduled paper records where the original paper record will be 

destroyed or otherwise disposed of; and 

(iii) Permanent and unscheduled original microform records (no paper 

originals) produced by automation, such as computer output microfilm 

(COM). 

(2) Do not destroy permanent or unscheduled paper records after microfilming without authorization from NARA on a SF 115 (see § 1230.10(a)). 

(b) Film stock standards. Polyester-based silver gelatin type film that 

conforms to ANSI/NAPM IT9.1—1996 for LE 500 film must be used in 

all applications. 

(c) Processing standards. Microforms must be processed so that the 

residual thiosulfate ion concentration will not exceed 0.014 grams per 

square meter in accordance with ANSI/NAPM IT9.1–1996. Follow processing procedures in ANSI/AIIM MS1–1996 and MS23–1998. 

(d) Quality standards. (1) Resolution. (i) Source documents. Determine 

minimum resolution on microforms of source documents using the method 

in the Quality Index Method for determining resolution and anticipated 

losses when duplicating, as described in ANSI/AIIM MS23–1998 and 

MS43–1998. Perform resolution tests using a ISO 3334-1991 Resolution 

Test Chart or a commercially available certifiable target manufactured to 

comply with this standard, and read the patterns following the instructions 

of ISO 3334–1991. Use the smallest character used to display information 

to determine the height used in the Quality Index formula. A Quality Index 

of five is required at the third generation level. 

(ii) COM. Computer output microforms (COM) must meet the requirements of ANSI/AIIM MS1–1996. 

(2) Background density of images. The background ISO standard visual 

diffuse transmission density on microforms must be appropriate to the type 

of documents being filmed. The procedure for density measurement is 

described in ANSI/AIIM MS23–1998. The densitometer must meet with 

ANSI/NAPM IT2.18–1996, for spectral conditions and ANSI/NAPM IT2.19–

1994, for geometric conditions for transmission density. 

(i) Recommended visual diffuse transmission background densities for 

images of documents are as follows:

Classification Description of document Background density 

Group 1 High-quality, high 

contrast printed 

book, 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 drawing, 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

(ii) Recommended visual diffuse transmission densities for computer 

generated images are as follows:

Film 

Type Process 

Density 

Measurement 

Method 

Min. 

Dmax1

Max. 

Dmin1

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

1Character or line density, measured with a microdensitometer or by 

comparing the film under a microscope with an image of a known density. 

(3) Base plus fog density of films. The base plus fog density of unexposed, processed films must not exceed 0.10. When a tinted base film 

is used, the density will be increased. The difference must be added to 

the values given in the tables in paragraph (d)(2) of this section. 

(4) Line or stroke width. Due to optical limitations in most photographic 

systems, film images of thin lines appearing in the original document will 

tend to fill in as a function of their width and density. Therefore, as the 

reduction ratio of a given system is increased, reduce the background density as needed to ensure that the copies will be legible.

34578 Federal Register / Vol. 67, No. 93 / Tuesday, May 14, 2002 / Rules and Regulations

§ 1230.16 What are the film and image requirements for temporary 

records, duplicates, and user copies? 

(a) Temporary records with a retention period over 99 years. Follow 

the film and image requirements in § 1230.14. 

(b) Temporary records to be kept for less than 100 years. NARA does 

not require the use of specific standards. Select a film stock that meets 

agency needs and ensures the preservation of the microforms for their 

full retention period. Consult appropriate ANSI standards, available as 

noted in § 1230.3, or manufacturer’s instructions for processing microfilm 

of these temporary records. Follow the manufacturer’s recommendations 

for production and maintenance of temporary microfilm to ensure that the 

image is accessible and usable for the entire retention period.

Subpart D—Storage, Use and Disposition Standards for 

Microform Records

§ 1230.20 How should microform records be stored? 

(a) Permanent and unscheduled records. Store permanent and unscheduled microform records under the extended term storage conditions specified in ISO 18911:2000 and ANSI/PIMA IT9.2–1998, except that the relative 

humidity of the storage area must be a constant 35 percent RH, plus or 

minus 5 percent. Do not store non-silver copies of microforms in the same 

storage area as silver gelatin originals or duplicate copies. 

(b) Temporary records. Store temporary microform records under conditions that will ensure their preservation for their full retention period. Agencies may consult Life Expectance (LE) guidelines in ANSI/AIIM standards 

(see § 1230.3 for availability) for measures that can be used to meet retention requirements.

§ 1230.22 What are NARA inspection requirements for permanent 

and unscheduled microform records? 

(a) Agencies must inspect, or arrange to pay a contractor or NARA 

to inspect the following categories of microform records stored at the 

agency, at a commercial records storage facility, or at a NARA records 

center following the inspection requirements in paragraph (b) of this section: 

(1) Master films of permanent records microfilmed in order to dispose 

of the original records; 

(2) Master films of permanent records originally created on microfilm; 

(3) Other master films scheduled for transfer to the National Archives; 

and 

(4) Master films of unscheduled records. 

(b) The films listed in paragraph (a) of this section must be inspected 

initially in accordance with ANSI/AIIM MS45—1990. All films must be 

inspected when they are 2 years old. After the initial 2-year inspection, 

unless there is a catastrophic event, the films must be inspected as follows 

until legal custody is transferred to the National Archives and Records 

Administration: 

(1) For microfilm that is/was produced after 1990, inspect the microfilm 

every 5 years. 

(2) For microfilm that was produced prior to 1990, inspect the microfilm 

every 2 years. 

(c) To facilitate inspection, the agency must maintain an inventory of 

microfilm listing each microform series/publication by production date, producer, processor, format, and results of previous inspections. 

(d) The elements of the inspection shall consist of: 

(1) An inspection for aging blemishes following ANSI/AIIM MS45–1990; 

(2) A rereading of resolution targets; 

(3) A remeasurement of density; and 

(4) A certification of the environmental conditions under which the 

microforms are stored, as specified in § 1230.20(a). 

(e) The agency must prepare an inspection report, and send a copy 

to NARA in accordance with § 1230.28(b). The inspection report must contain: 

(1) A summary of the inspection findings, including: 

(i) A list of batches by year that includes the identification numbers 

of microfilm rolls and microfiche in each batch; 

(ii) The quantity of microforms inspected; 

(iii) An assessment of the overall condition of the microforms; 

(iv) A summary of any defects discovered, e.g., redox blemishes or base 

deformation; and 

(v) A summary of corrective action taken. 

(2) A detailed inspection log created during the inspection that contains 

the following information: 

(i) A complete description of all records inspected (title; roll or fiche 

number or other unique identifier for each unit of film inspected; security 

classification, if any; and inclusive dates, names, or other data identifying 

the records on the unit of film); 

(ii) The date of inspection; 

(iii) The elements of inspection (see paragraph (a)(4) of this section); 

(iv) Any defects uncovered; and 

(v) The corrective action taken. 

(f) If an inspection shows that a master microform is deteriorating, the 

agency must make a silver duplicate in accordance with § 1230.14 to 

replace the deteriorating master. The duplicate film will be subject to the 

inspection requirements (see § 1230.22) before transfer to a record center 

or to the National Archives. 

(g) Inspection must be performed in an environmentally controlled area 

in accordance with ANSI/AIIM MS45–1990.

§ 1230.24 What are NARA inspection requirements for temporary 

microform records? 

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

§ 1230.26 What are the use restrictions for permanent and 

unscheduled microform records? 

(a) Do not use the silver gelatin original microform or duplicate silver 

gelatin microform of permanent or unscheduled records created in accordance with § 1230.14 of this part (archival microform) for reference purposes. 

Agencies must ensure that the archival microform remains clean and 

undamaged during the process of making a duplicating master. 

(b) Use duplicates for: 

(1) Reference; 

(2) Further duplication on a recurring basis; 

(3) Large-scale duplication; and 

(4) Distribution of records on microform. 

(c) Agencies retaining the original record in accordance with an 

approved records disposition schedule may apply agency standards for the 

use of microform records.

§ 1230.28 What must agencies do to send permanent microform 

records to a records storage facility? 

(a) Follow the procedures in part 1228, subpart I, of this chapter and 

the additional requirements in this section. 

(b) Package non-silver copies separately from the silver gelatin original 

or silver duplicate microform copy and clearly label them as non-silver 

copies. 

(c) Include the following information on the transmittal (SF 135 for NARA 

records centers), or in an attachment to the transmittal. For records sent 

to an agency records center or commercial records storage facility, submit 

this information to NARA as part of the documentation required by 

§ 1228.154(c)(2) of this chapter: 

(1) Name of the agency and program component; 

(2) The title of the records and the media/format used; 

(3) The number or identifier for each unit of film; 

(4) The security classification, if any; 

(5) The inclusive dates, names, or other data identifying the records 

to be included on a unit of film; 

Federal Register / Vol. 67, No. 93 / Tuesday, May 14, 2002 / Rules and Regulations 34579

(6) Finding aids that are not contained in the microform; and 

(7) The inspection log forms and inspection reports required by 

§ 1230.22(a) (5) and (6). 

(d) Agencies may transfer permanent microform records to a records 

storage facility meeting the storage requirements in § 1230.20(a) (see 

§ 1228.152(e)(3) of this chapter for NARA centers) only after the first 

inspection or with certification that the microforms will be inspected by the 

agency, an agency contractor, or a NARA records center (on a reimbursable basis) when the microforms become 2 years old.

§ 1230.30 How do agencies transfer permanent microform records 

to the legal custody of the National Archives? 

(a) Follow the procedures in part 1228, subpart L, of this chapter and 

the additional requirements in this section. 

(b) Originate the transfer by submitting an SF 258, Agreement to 

Transfer Records to the National Archives of the United States, unless 

otherwise instructed by NARA. 

(c) If the records are not in a NARA records center, submit the information specified in § 1230.28(c). 

(d) Transfer the silver gelatin original (or duplicate silver gelatin 

microform created in accordance with § 1230.14) plus one microform copy. 

(e) Ensure that the inspection of the microform is up-to-date. If the 

microform records were recently produced, please note that NARA will not 

accession permanent microform records until the first inspection (when the 

microforms are 2 years old) has been performed. 

(f) Package non-silver copies separately from the silver gelatin original 

or silver duplicate microform copy and clearly label them as non-silver 

copies.

Subpart E—Centralized Micrographic Services

§ 1230.50 What micrographic services are available from NARA? 

Some NARA records centers provide reimbursable microfilming services, 

including preparing, indexing, and filming of records, inspection of film, and 

labeling of film containers. Agencies desiring microfilming services from 

NARA should contact the Office of Regional Records Services (NR), 8601 

Adelphi Rd., College Park, MD 20740-6001, or the director of the NARA 

records center serving the agency’s records (see § 1228.150(a) of this 

chapter). The fees for microfilming services will appear in NARA bulletins, 

which are available on NARA’s web site at http://www.nara.gov/records/

policy/bulletin.html or from the Modern Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740-6001.

Dated: April 23, 2002. 

John W. Carlin, 

Archivist of the United States.

[FR Doc. 02–10588 Filed 5–8–02; 8:45 am]

BILLING CODE 7515-01-U

Editorial Note: Due to a format error this document is being reprinted in its 

entirety. It was originally printed in the Federal Register on Thursday, May 9, 2002 

at 67 FR 31692.

[FR Doc. R2–10588 Filed 5–13–02; 8:45 am] 

BILLING CODE 1505–01–D