[Federal Register Volume 61, Number 122 (Monday, June 24, 1996)]
[Rules and Regulations]
[Pages 32335-32339]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-15797]



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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Parts 1228 and 1232

RIN 3095-AA18


Audiovisual Records Management

AGENCY: National Archives and Records Administration (NARA).

ACTION: Final rule.

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SUMMARY: This regulation revises and expands NARA regulations 
pertaining to audiovisual records management and the transfer of 
permanent audiovisual records to the National Archives from Federal 
agencies. The revisions are necessary in order to update standards, to 
provide coverage for new audiovisual media that are used in the 
creation of Federal records, and to reflect the transfer to the 
Department of Commerce's National Technical Information Services of the 
centralized audiovisual distribution services formerly performed by the 
National Audiovisual Center. This regulation affects Federal agencies.

DATES: This rule is effective July 24, 1996. This incorporation by 
reference was approved by the Director of the Federal Register 
effective July 24, 1996.

FOR FURTHER INFORMATION CONTACT: Nancy Allard at 301-713-6730 or TDD 
301-713-6760.

SUPPLEMENTARY INFORMATION: NARA published a notice of proposed 
rulemaking on September 28, 1995, (60 FR 50158) for a 60-day comment 
period. Four written comments were received. The proposed rule 
addressed matters regarding the transfer of permanent audiovisual 
records to the National Archives from Federal agencies, particularly 
with regard to videotape copies of motion picture film, record elements 
for compact discs and video discs, audio and video tape recordings, and 
related captions or finding aids in electronic form. The proposed rule 
also revised audiovisual definitions, updated various standards, and 
deleted the provision for temporary storage space in NARA's cold 
storage vaults and regulations governing centralized audiovisual 
services. Additional information will be provided in a forthcoming 
revision of NARA's instructional guide, ``Managing Audiovisual 
Records.''
    Following is a discussion of the issues raised in the written 
comments.
    One agency asked whether agencies would have to modify their 
approved records disposition schedules (SF 115), especially for older 
series of records, to conform to the new requirements or could the 
agencies select a ``start'' date for implementation. These regulations 
are mandatory as of the effective date of this final rule. Agencies 
must follow the requirements specified in Part 1232 for all audiovisual 
records; however, agencies do not need to submit new SFs 115 merely to 
conform to the regulation and NARA will not apply the new transfer 
requirements in Part 1228 retrospectively to records that are in 
existence as of the effective date.

Section 1228.184 Audiovisual Records

    Two agencies reported that the transfer provision relating to 
copies of audiovisual records, particularly color photographs, outlined 
in Sec. 1228.184(b)(2) would be too expensive for agencies to 
implement. One of the agencies also objected to the requirements for 
the transfer of agency-acquired motion picture films outlined in 
Sec. 1228.184(a)(2), indicating that if these were not created or 
purchased at the time of acquisition, ``this would impose an additional 
burden on the agency.'' The changes proposed in these paragraphs were 
intended to provide greater flexibility for agencies to meet long-
standing requirements. Production of requisite copies is necessary to 
properly preserve and make available permanent agency audiovisual 
records. NARA is, therefore, retaining the minimum requirements that 
were included in the proposed rule, but has expanded the options 
provided for color photographs in Sec. 1228.184(b)(2). NARA has also 
modified the wording in Sec. 1228.184(c)(2) regarding analog audio 
recordings in response to one agency's observation that the 
broadcasting industry is moving toward other methods of both audio and 
video recording. This section now provides for a ``subsequent 
generation copy for reference.'' This language is consistent to the 
wording applying to video recordings in Sec. 1228.184(d)(1).
    Two agencies commented that the requirement pertaining to 
electronic versions of finding aids and production documentation 
mentioned in Sec. 1228.184(e)(1) would present an undue burden on 
agencies when many agency electronic finding aids are created on 
personal computers. NARA agrees and has revised this section to 
indicate that when this is the case, NARA will accept two versions of 
electronic finding aids: one in the native format and the other in a 
format that is migratable to software NARA can support at the time of 
transfer. Both versions must be part of the transfer.

[[Page 32336]]

Section 1232.26 Storage Conditions

    One agency recommended replacing the reference NFPA 232-1991, 
Standard for the Protection of Records issued by the National Fire 
Protection Association with ANSI/NFPA 232A-1995, Fire Protection for 
Archives and Records Centers. NARA agrees that the suggested standard 
is more appropriate and made the change. To provide better guidance 
concerning what consitutes ``cold'' and ``cooler'' temperatures in 
Sec. 1232.26(b), NARA has added a reference to the appropriate ANSI/
NAPM standard.

Section 1232.30 Choosing Formats

    One agency thought that the requirements at Sec. 1232.30(a) 
regarding residual sodium thiosulfate (hypo) would require rewashing 
processed film, which could damage attached caption information. No 
change was made because it is stated that this procedure is for newly 
processed black-and-white photographic film, not rewashing film already 
processed. NARA also clarified the wording regarding the maximum level 
of residual sodium thiosulfate on newly processed film.
    One agency asked NARA to define what constitutes ``industrial or 
professional recording equipment and videotape'' in Sec. 1232.30(b)(c). 
The general wording was used to avoid imposing on agencies a specific 
and current professional technology that would quickly become obsolete. 
In addition, NARA emphasized in the proposed rule that consumer formats 
of audio and video recordings were not acceptable for creating 
permanent records.

Other

    NARA has also corrected an inadvertant error in the proposed rule 
concerning the applicability of the regulation to all Federal agencies. 
The final rule applies to all Federal agencies, as defined at 36 CFR 
1220.14. This is consistent with current practice. Section 1232.1 
emphasized the applicability of Part 1232 to Executive agencies, but 
did not include wholely owned government corporations which are defined 
in 36 CFR 1220.14 as Executive agencies. The definition of ``agency'' 
in the proposed Sec. 1232.10 also was inconsistent with the definition 
of that term in Sec. 1220.14. The proposed Sec. 1232.20 correctly 
stated that the audiovisual records management program responsibilities 
applied to all Federal agencies.
    In this final rule, NARA has deleted the erroneous last sentence in 
Sec. 1232.1 and the definition of ``agency'' in Sec. 1232.10. We have 
retained the reference to the general definitions at Sec. 1220.14 in an 
introductory sentence to that section.
    NARA also has updated the editions of some of the standards 
incorporated by reference to reflect more current standards relating to 
audiovisual materials.
    This rule is a not a significant regulatory action for purposes of 
Executive Order 12866 of September 30, 1993. As such, it has not been 
reviewed by the Office of Management and Budget. As required by the 
Regulatory Flexibility Act, it is hereby certified that this rule will 
not have a significant impact on small entities. This rule is not a 
major rule for purposes of Congressional review of regulations under 5 
U.S.C. Chapter 8.

List of Subjects

36 CFR Part 1228

    Archives and records.

36 CFR Part 1232

    Archives and records, Incorporation by reference.

    For the reasons set forth in the preamble, 36 CFR chapter XII is 
amended as follows:

PART 1228--DISPOSITION OF FEDERAL RECORDS

    1. The authority citation for part 1228 continues to read as 
follows:

    Authority: 44 U.S.C. chs. 21, 29, and 33.

    2. Section 1228.184 is revised to read as follows:


Sec. 1228.184  Audiovisual records.

    The following types of audiovisual records appraised as permanent 
shall be transferred to the National Archives as soon as they become 
inactive or whenever the agency cannot provide proper care and handling 
of the records, including adequate storage conditions, to facilitate 
their preservation by the National Archives (see part 1232 of this 
chapter). In general the physical types described below constitute the 
minimum record elements for archival purposes that are required to 
provide for future preservation, duplication, and reference needs.
    (a) Motion pictures. (1) Agency-sponsored or produced motion 
picture films (e.g., public information films) whether for public or 
internal use:
    (i) Original negative or color original plus separate optical sound 
track;
    (ii) Intermediate master positive or duplicate negative plus 
optical track sound track; and,
    (iii) Sound projection print and video recording, if both exist.
    (2) Agency-acquired motion picture films: Two projection prints in 
good condition or one projection print and one videotape.
    (3) Unedited footage, outtakes and trims (the discards of film 
productions) that are properly arranged, labeled, and described and 
show unstaged, unrehearsed events of historical interest or 
historically significant phenomena:
    (i) Original negative or color original; and
    (ii) Matching print or videotape.
    (b) Still pictures. (1) For black-and- white photographs, an 
original negative and a captioned print although the captioning 
information can be maintained in another file such as a data base if 
the file number correlation is clear. If the original negative is 
nitrate, unstable acetate, or glass based, a duplicate negative on a 
polyester base is also needed.
    (2) For color photographs, the original color negative, color 
transparency, or color slide; a captioned print of the original color 
negative; and/or captioning information as described above if for an 
original color transparency or original color slide; and a duplicate 
negative, or slide, or transparency, if they exist.
    (3) For slide sets, the original and a reference set, and the 
related audio recording and script.
    (4) For other pictorial records such as posters, original art work, 
and filmstrips, the original and a reference copy.
    (c) Sound recordings. (1) Disc recordings:
    (i) For conventional disc recordings, the master tape and two disc 
pressings of each recording, typically a vinyl copy for playback at 
33\1/3\ revolutions per minute (rpm).
    (ii) For compact discs, the origination recording regardless of 
form and two compact discs.
    (2) For analog audio recordings on magnetic tape (open reel, 
cassette, or cartridge), the original tape, or the earliest available 
generation of the recording, and a subsequent generation copy for 
reference. Section 1232.30(d) of this subchapter requires the use of 
open-reel analog magnetic tape for original audio recordings.
    (d) Video recordings. (1) For videotape, the original or earliest 
generation videotape and a copy for reference. Section 1232.30(c) of 
this subchapter requires the use of industrial-quality or professional 
videotapes for use as originals, although VHS copies can be transferred 
as reference copies.
    (2) For video discs, the premaster videotape used to manufacture 
the

[[Page 32337]]

video disc and two copies of the disc. Video discs that depend on 
interactive software and nonstandard equipment may not be acceptable 
for transfer.
    (e) Finding aids and production documentation. The following 
records shall be transferred to the National Archives with the 
audiovisual records to which they pertain.
    (1) Existing finding aids such as data sheets, shot lists, 
continuities, review sheets, catalogs, indexes, list of captions, and 
other documentation that are helpful or necessary for the proper 
identification, or retrieval of audiovisual records. Agencies should 
contact the Nontextual Archives Division, or its appropriate 
audiovisual branch, to determine the type of hardware and software that 
is currently acceptable for transfer to the National Archives as an 
agency electronic finding aid that will accompany its audiovisual 
records. In general, however, agencies must transfer two copies of the 
electronic finding aid, one in its native format with its field 
structure documented, and a second copy in a contemporary format 
available at the time of transfer that NARA will be able to support and 
import to its database.
    (2) Production case files or similar files that include copies of 
production contracts, scripts, transcripts, and appropriate 
documentation bearing on the origin, acquisition, release, and 
ownership of the production.
    3. Part 1232 is revised to read as follows:

PART 1232--AUDIOVISUAL RECORDS MANAGEMENT

Subpart A--General

Sec.
1232.1  Applicability and scope.
1232.2  Objectives.
1232.10  Definitions.

Subpart B--Audiovisual Records Management

1232.20  Agency program responsibilities.
1232.22  Nitrocellulose film.
1232.24  Unstable cellulose-acetate film.
1232.26  Storage conditions.
1232.28  Maintenance and operations.
1232.30  Choosing formats.
1232.32  Disposition.
    Authority: 44 U.S.C. 2904 and 3101; and OMB Circular A-130.

Subpart A--General


Sec. 1232.1  Applicability and scope.

    This part prescribes policies and procedures for managing 
audiovisual records to ensure adequate and proper documentation and 
authorized, timely, and appropriate disposition.


Sec. 1232.2   Objectives.

    The objectives of audiovisual records management are to achieve the 
effective creation, maintenance, use, and disposition of audiovisual 
and related records by establishing standards for maintenance and 
disposition, physical security, and preservation and by reviewing 
recordkeeping practices on a continuing basis to improve procedures.


Sec. 1232.10   Definitions.

    For the purposes of this part, the following definitions shall 
apply (see also Sec. 1220.14 of this chapter for other definitions).
    Audiovisual. Any pictorial or aural means of communicating 
information.
    Audiovisual equipment. Equipment used for recording, producing, 
duplicating, processing, broadcasting, distributing, storing or 
exhibiting audiovisual materials or for providing any audiovisual 
services.
    Audiovisual production. An organized and unified presentation, 
developed according to a plan or script, containing visual imagery, 
sound, or both, and used to convey information. An audiovisual 
production generally is a self-contained presentation. Audiovisual 
productions may include motion media with synchronous sound such as 
motion picture film, videotape or other video formats, audio 
recordings, and other media such as synchronized audio and visual 
presentations such as multimedia productions.
    Audiovisual records. Records in pictorial or aural form that 
include still and motion media, sound recordings, graphic works, mixed 
media, and related finding aids and production files.

Subpart B--Audiovisual Records Management


Sec. 1232.20   Agency program responsibilities.

    Each Federal agency, in providing for effective controls over the 
creation of records, shall establish an appropriate program for the 
management of audiovisual records. This program shall be governed by 
the following requirements:
    (a) Prescribe the types of records to be created and maintained so 
that audiovisual activities and their products are properly documented. 
(Regulations on the appropriate types of permanent audiovisual records 
are located in Sec. 1228.184 of this chapter.)
    (b) Ensure that adequate training is provided to:
    (1) Agency personnel responsible for the disposition of audiovisual 
records;
    (2) Contractor personnel who have temporary custody of audiovisual 
records; and,
    (3) All users who create, handle, or maintain audiovisual records 
or operate equipment for their use.
    (c) Ensure that contract provisions protect the Government's legal 
title and control over audiovisual records and related documentation 
produced or maintained by contract. Ensure that contract provisions 
identify as deliverables any working papers/files that are needed for 
adequate and proper documentation. Include a provision that permits the 
Government to inspect contractor facilities used for the storage and 
handling of permanent or unscheduled audiovisual records. Agencies 
shall inspect such facilities at least once each year.
    (d) Keep inventories indicating the location of all generations of 
audiovisual records, whether in agency storage or in another facility 
such as a laboratory or library distribution center.
    (e) Schedule disposition of all audiovisual records as soon as 
practicable after creation. General Records Schedule 21 provides 
mandatory disposal authorization for temporary audiovisual records 
common to most Federal offices. Agencies must submit an SF 115, Request 
for Records Disposition Authority, to NARA to obtain authorization for 
the disposition of all other audiovisual records. The schedules 
covering permanent records must specify the different record elements 
identified in Sec. 1228.184, and must always include related finding 
aids.
    (f) Periodically review agency audiovisual recordkeeping practices 
for conformance with requirements and take necessary corrective action.


Sec. 1232.22   Nitrocellulose film.

    Nitrocellulose-base film once used in the manufacture of sheet film 
and motion pictures may be occasionally found in records storage areas. 
The nitrocellulose base, a substance akin to gun cotton, is chemically 
unstable and highly inflammable.
    (a) Agencies must remove nitrocellulose film materials from records 
storage areas.
    (b) Agencies must immediately notify NARA about the existence of 
nitrocellulose film materials because of their age and instability. 
NARA will determine if they may be destroyed or destroyed after a copy 
is made for transfer, as appropriate.
    (c) If NARA appraises nitrate film materials as disposable, but the 
agency wishes to retain them, agencies must follow the guidance in NFPA 
40-1994,

[[Page 32338]]

Standard for the Storage and Handling of Cellulose Nitrate Motion 
Picture Film, which is incorporated by reference. NFPA 40-1994 is 
available from the National Fire Protection Association, Batterymarch 
Park, Quincy, MA 02269. This standard is also available for inspection 
at the Office of the Federal Register, 800 North Capitol Street, NW., 
suite 700, Washington, D.C. 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 by 
reference as they exist on the date of approval and a notice of any 
change in these materials will be published in the Federal Register.
    (d) The packing and shipping of nitrate film are governed by the 
following Department of Transportation regulations: 49 CFR 172.101, 
Hazardous materials table; 172.504, Transportation; 173.24, Standard 
requirements for all packages; and 173.177, Motion picture film and X- 
ray film--nitrocellulose base.


Sec. 1232.24   Unstable cellulose-acetate film.

    Cellulose-acetate film, also known as safety film, is nonflammable 
and does not represent the same degree of hazard as nitrate film 
materials. Nonetheless, cellulose-acetate film also deteriorates over 
time. Temperature, humidity, harmful storage enclosures, and gaseous 
products influence the rate of deterioration. Agencies shall inspect 
cellulose-acetate film periodically for an acetic odor, wrinkling, or 
the presence of crystalline deposits on the edge or surface of the film 
that indicate deterioration. Agencies shall notify NARA within 30 days 
after inspection about deteriorating permanent or unscheduled 
audiovisual records composed of cellulose acetate so that they can be 
copied.


Sec. 1232.26   Storage conditions.

    Agencies must:
    (a) Provide audiovisual records storage facilities that are secure 
from unauthorized access and make them safe from fire, water, flood, 
chemical or gas damage and from other harmful conditions. See NFPA 
232A-1995, Guide for Fire Protection for Archives and Records Centers 
issued by the National Fire Protection Association, which is 
incorporated by reference. The standard is available from the National 
Fire Protection Association, Batterymarch Park, Quincy, MA 02269. This 
standard is also available for inspection at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, D.C. 
This incorporation by reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1CFR part 51. 
These materials are incorporated by reference 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) Maintain good ambient storage conditions for permanent or 
unscheduled audiovisual records. Generally, the temperature should not 
exceed 70 degrees Fahrenheit and relative humidity should be maintained 
between 30-40% and not exceed 50%. Avoid fluctuating temperatures and 
humidity. Cooler temperatures and lower relative humidity are 
recommended for the storage of all film, to prolong the useful life of 
the film base and image. Cold temperatures combined with 30-35% 
relative humidity are especially recommended to retard the fading of 
color film. Optimal environmental conditions are stated in ANSI/NAPM 
IT9.11-1993, Imaging Media-- Processed Safety Photographic Films--
Storage. If possible store all permanently scheduled records in these 
conditions, and schedule them to be transferred to the National 
Archives as soon as possible.
    (c) For the storage of permanent or unscheduled records, use 
audiovisual storage containers or enclosures made of noncorroding 
metal, inert plastics, paper products and other safe materials 
recommended and specified in ANSI standards: ANSI/NAPM IT9.11-1993, 
Imaging Media--Processed Safety Photographic Films--Storage; and ANSI 
IT9.2-1991, Imaging Media--Photographic Processed Films, Plates, and 
Papers--Filing Enclosures and Storage Containers. These standards, 
which are incorporated by reference, are available from the American 
National Standards Institute (ANSI), Inc., 11 West 42nd Street, New 
York, NY 10036. These standards are also available for inspection at 
the Office of the Federal Register, 800 North Capitol Street, NW., 
suite 700, Washington, D.C. 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 by 
reference as they exist on the date of approval and a notice of any 
change in these materials will be published in the Federal Register.
    (d) Store originals and use copies (e.g., negatives and prints) 
separately, whenever practicable.
    (e) Store series of permanent and unscheduled x-ray films in 
accordance with this section, and store series of temporary x-ray films 
under conditions that will ensure their preservation for their full 
retention period, in accordance with ANSI/NAPM IT9.11-1993, Imaging 
Media--Processed Safety Photographic Films--Storage. This requirement 
does not apply to x-rays that are interspersed among paper records, as 
in case files.


Sec. 1232.28   Maintenance and operations.

    Agencies must:
    (a) Handle audiovisual records in accordance with commonly accepted 
industry practices because of their extreme vulnerability to damage. 
For further information, consult the American National Standards 
Institute (ANSI), Inc., 11 West 42nd Street, New York, NY 10036; and 
the Society of Motion Picture and Television Engineers, 595 West 
Hartsdale Avenue, White Plains, NY 10607.
    (b) Use only personnel trained to perform their audiovisual duties 
and responsibilities and ensure that equipment intended for projection 
or playback is in good working order.
    (c) Loan permanent or unscheduled audiovisual records to non-
Federal recipients only in conformance with the provisions of part 1228 
subpart E of this chapter. Such records may be loaned to other Federal 
agencies only if a record copy is maintained in the agency's custody.
    (d) Take all steps necessary to prevent accidental or deliberate 
alteration or erasure of audiovisual records.
    (e) Ensure that no information recorded on permanent or unscheduled 
magnetic sound or video media is erased.
    (f) If different versions of audiovisual productions (e.g., short 
and long versions or foreign-language versions) are prepared, keep an 
unaltered copy of each version for record purposes.
    (g) Maintain the association between audiovisual records and the 
finding aids for them, such as captions and published and unpublished 
catalogs, and production files and similar documentation created in the 
course of audiovisual production.
    (h) Maintain disposable audiovisual records separate from permanent 
ones in accordance with General Records Schedule 21 and a records 
schedule approved by NARA for the agency's other audiovisual records.


Sec. 1232.30   Choosing formats.

    Agencies must:
    (a) When ordering photographic materials for permanent or 
unscheduled records, ensure that still picture negatives and motion 
picture preprints (negatives, masters, etc.) are composed

[[Page 32339]]

of polyester bases and are processed in accordance with industry 
standards as specified in ANSI/ISO 543-1990 (ANSI IT9.6-1991) 
Photography-- Photographic Films--Specifications for Safety Film; and, 
ANSI/NAPM IT9.1-1992 Imaging Media (Film)--Silver-Gelatin Type-- 
Specifications for Stability, which are incorporated by reference. 
(Currently, not all motion picture stocks are available on a polyester 
base.) It is particularly important to ensure that residual sodium 
thiosulfate (hypo) on newly processed black-and-white photographic film 
does not exceed .014 grams per square meter. Require laboratories to 
process film in accordance with this standard. Excessive hypo will 
shorten the longevity of film and accelerate color fading. Process 
color film in accordance with the manufacturer's recommendations. If 
using reversal type processing, request full photographic reversal; 
i.e., develop, bleach, expose, develop, fix, and wash. The standards 
cited in this paragraph are available from the American National 
Standards Institute (ANSI), Inc., 11 West 42nd Street, New York, NY 
10036. These standards are also available for inspection at the Office 
of the Federal Register, 800 North Capitol Street, NW., suite 700, 
Washington, D.C. 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 by reference as they 
exist on the date of approval and a notice of any change in these 
materials be published in the Federal Register.
    (b) Refrain from using motion pictures in a final ``A & B'' format 
(two precisely matched reels designed to be printed together) for the 
reproduction of excerpts or stock footage.
    (c) Use only industrial or professional recording equipment and 
videotape, previously unrecorded, for original copies of permanent or 
unscheduled recordings. Limit the use of consumer formats to 
distribution or reference copies or to subjects scheduled for disposal. 
Video cassettes in the VHS format are unsuitable for use as originals 
of permanent or unscheduled records due to their inability to be copied 
without significant loss in image quality.
    (d) Record permanent or unscheduled audio recordings on \1/4\-inch 
open-reel tapes at 3 \3/4\ or 7 \1/2\ inches per second, full track, 
using professional unrecorded polyester splice-free tape stock. Audio 
cassettes, including mini-cassettes, are not sufficiently durable for 
use as originals in permanent records or unscheduled records although 
they may be used as reference copies.


Sec. 1232.32   Disposition.

    The disposition of audiovisual records shall be carried out in the 
same manner as that prescribed for other types of records in part 1228 
of this chapter. For further instructions on the transfer of permanent 
audiovisual records to the National Archives see Sec. 1228.184 of this 
chapter, Audiovisual Records.

    Dated: June 14, 1996.
John W. Carlin,
Archivist of the United States.
[FR Doc. 96-15797 Filed 6-21-96; 8:45 am]
BILLING CODE 7515-01-P