Source: https://www.federalregister.gov/documents/2001/09/11/01-22669/micrographic-records-management
Timestamp: 2018-07-21 20:24:57
Document Index: 158579995

Matched Legal Cases: ['art 1230', 'art 1230', 'art 1230', 'art 51', 'art 2', 'art 3', '§\u20091230', '§\u20091230', '§\u20091220', '§\u20091220', '§\u20091220', '§\u20091220', '§\u20091230', '§\u20091230', '§\u20091230', '§\u20091230', '§\u20091230', '§\u20091230', '§\u20091228', '§\u20091230']

A Proposed Rule by the National Archives and Records Administration on 09/11/2001
Comments are due by November 13, 2001.
66 FR 47125
47125-47129 (5 pages)
01-22669
Subpart D—Standards for the Storage, Use and Disposition of Microform Records
https://www.federalregister.gov/d/01-22669 https://www.federalregister.gov/d/01-22669
The proposed rule updates the editions of standards incorporated by reference in 36 CFR part 1230 to the most current edition. In addition, the part has been rewritten in plain language format. The proposed rule will affect Federal agencies.
Comments must be sent to Regulation Comments Desk (NPOL), Room 4100, Policy and Communications Staff, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001. They may be faxed to 301-713-7270. You may also comment via email to comments@nara.gov. See the SUPPLEMENTARY INFORMATION for details.
NARA periodically reviews all of its regulations. This proposed rule was developed after such a review. The only substantive changes from the current regulation are the editions of industry micrographic standards that must be used.
The proposed rule is not a significant regulatory action for the purposes of Executive Order 12866 and has not been reviewed by the Office of Management and Budget. As required by the Regulatory Flexibility Act, I certify that this rule will not have a significant impact on a substantial number of small entities because it applies to Federal agencies. This regulation does not have any federalism or tribalism implications.
Please submit email comments within the body of your email message or attach comments as an ASCII file avoiding the use of special characters and any form of encryption. Please also include “Attn: 3095-AB06” and your name and return address in your email message. If you do not receive a confirmation that we have received your email message, contact the Regulation Comment Desk at 301-713-7360, ext. 226.
For the reasons set forth in the preamble, NARA proposes to revise part 1230 of title 36, Code of Federal Regulations, to read as follows:
This part covers the standards and procedures for using micrographic technology to create, use, store, inspect, retrieve, preserve, and dispose of Federal records.
(a) Establish standards for copying records by photographic and microphotographic means,
Start Printed Page 47126
(a) General. The following publications are hereby incorporated by reference into Part 1230. They are available from the issuing organizations at the addresses listed in this section. They may also be examined at the Office of the Federal Register, 800 North Capitol Street NW., suite 700, Washington, DC. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. These materials are incorporated as they exist on the effective date of this regulation, and a notice of any change in these materials will be published in the Federal Register.
(b) American National Standards Institute (ANSI) and International (ISO) standards. ANSI standards cited in this part are available from the American National Standards Institute, 11 West 42nd St., New York, NY 10036. The standards can be ordered on line at http://webstore.ansi.org/​ansidocstore/​default.asp.
ANSI/ISO 10602:1995 or ANSI/NAPM IT9.1—1996 Imaging Materials—Processed Silver-Gelatin Type Black-and-White Film—Specifications for Stability.
ANSI/PIMA IT9.2—1998, American National Standard for Imaging Media—Photographic Processed Films, Plates, and Papers—Filing Enclosures and Storage Containers.
ANSI/NAPM IT2.19—1994, American National Standard for Photography—Density Measurements—Part 2: Geometric Conditions for Transmission Density.
ANSI/NAPM IT2.18—1996, Photography—Density Measurements—Part 3: Spectral Conditions.
ISO 18911:2000, Imaging materials—Processed safety photographic films—Storage Practices.
ANSI/AIIM MS1—1996, Recommended Practice for Alphanumeric Computer-Output Microforms—Operational Practices for Inspection and Quality Control.
ANSI/AIIM MS5—1992 (R1998), Micrographic Microfiche.
ANSI/AIIM MS14—1996, Specifications for 16mm and 35mm Roll Microfilm.
ANSI/AIIM MS19—1993, Recommended Practice for Identification of Microforms.
ANSI/AIIM MS23—1998, Microfilm of Documents, Operational Procedures/Inspection and Quality Control of First-Generation Silver-Gelatin.
ANSI/AIIM MS32—1996, Microrecording of Engineering Source Documents on 35mm Microfilm.
ANSI/AIIM MS41—1996, Unitized Microfilm Carriers (Aperture, Camera, Copy, and Image Cards).
ANSI/AIIM MS43—1998, Recommended Practice for Operational Procedures/Inspection and Quality Control for Duplicate Microforms of Documents and from COM
ANSI/AIIM MS45—1990, Recommended Practice for Inspection of Stored Silver-Gelatin Microforms for Evidence of Deterioration.
ANSI/ISO 3334—1991, ANSI/AIIM MS51-1991, Micrographics—ISO Resolution Test Chart No. 2—Description and Use.
(a) 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.
(b) Background density. The opacity of the area of the microform not containing information.
(c) Computer-assisted retrieval (CAR) system. A records storage and retrieval system, normally microfilm-based, that uses a computer for indexing, automatic markings such as blips or bar codes for identification, and automatic devices for reading those markings and, in some applications, for transporting the film for viewing.
(d) Computer Output Microfilm (COM). Microfilm containing data converted and recorded from a computer.
(e) Facility. An area used exclusively to make or copy microforms.
(f) Microfilm. (1) Raw (unexposed and unprocessed) fine-grain, high resolution photographic film with characteristics that make it suitable for use in micrographics;
(g) Microform. Any form containing microimages.
(h) Microimage. A document such as a page of text or a drawing that is too small to be read without magnification.
(i) Permanent record. Permanent record has the meaning specified in § 1220.14 of this chapter.
(j) Records storage facility. Records storage facility has the meaning specified in § 1220.14 of this chapter.
(k) Temporary record. Temporary record has the meaning specified in § 1220.14 of this chapter.
(l) Unscheduled record. Unscheduled record has the meaning specified in § 1220.14 of this chapter.
(m) Use or work copies. Duplicates of original film made to be used for reference or for duplication on a recurring or large-scale basis. These are not preservation master copies, which must be stored unused as specified in § 1230.20.
(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:
(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.
(1) Roll film.—(i) Source documents. The formats described in ANSI/AIIM MS14—1996 must be used for microfilming source documents on 16mm and 35mm roll film. A reduction ratio no greater than 1:24 is recommended for typewritten or correspondence types of documents. See ANSI/AIIM MS23—1998 for the appropriate reduction ratio and format for meeting the image quality requirements. When microfilming on 35mm film for aperture card applications, the format dimensions in ANSI/AIIM MS32—1996, Table 1 are mandatory, and the aperture card format “D Aperture” shown in ANSI/AIIM MS41—1996, Figure 1, must be used. The components of the aperture card, including the paper and adhesive, must conform to the requirements of ANSI/PIMA IT9.2—1998. The 35mm film used in the aperture card application must conform to film designated as LE500 in ANSI/NAPM IT9.1—1996.
(ii) COM. Computer output microfilm (COM) generated images must be the simplex mode described in ANSI/AIIM MS14—1996 at an effective ratio of 1:24 or 1:48 depending upon the application.
(2) Microfiche. For microfilming source documents or computer generated information (COM) on microfiche, the formats and reduction ratios prescribed in ANSI/AIIM MS5—1992 must be used as specified for the size and quality of the documents being filmed. See ANSI/AIIM MS23—1998 for determining the appropriate reduction ratio and format for meeting the image quality requirements.
(i) Permanent paper records;
(ii) Unscheduled paper records, and
(2) Do not destroy unscheduled paper records after microfilming without authorization from NARA on a SF 115.
(c) Processing standards. Microforms must be processed so that the residual thiosulfate ion concentration will not exceed 0.014 grams per square meter in accordance with ANSI/NAPM IT9.1—1996. Follow processing procedures in ANSI/AIIM MS1—1996 and MS23—1998.
(d) Quality standards. (1) Resolution. (i) Source documents. Determine minimum resolution on microforms of source documents using the method in the Quality Index Method for determining resolution and anticipated losses when duplicating, as described in ANSI/AIIM MS23—1998 and MS43—1998. Perform resolution tests using an ISO 3334—1991 Resolution Test Chart, and read the patterns following the instructions of ISO 3334—1991. Use the smallest character used to display information to determine the height used in the Quality Index formula. A Quality Index of five is required at the third generation level.
(ii) COM. Computer output microforms (COM) must meet the requirements of ANSI/AIIM MS1—1996.
(2) Background density of images. The background ISO standard visual diffuse transmission density on microforms must be appropriate to the type of documents being filmed. The procedure for density measurement is described in ANSI/AIIM MS23—1998. The densitometer must meet with ANSI/NAPM IT2.18—1996, for spectral Start Printed Page 47128conditions and ANSI/NAPM IT2.19—1994, for geometric conditions for transmission density.
Group 2 Fine-line originals, black opaque pencil writing, and documents with small high-contrast printing 1.15-1.4
Group 5 Poor-contrast documents (special exception) 0.7-0.85
Min. DMax 1
Max. Dmin 1
Silver gelatin Coventional Printing or diffuse 0.75 0.15 0.60
1 Character or line denisty, measured with a microdensitometer or by comaprying the film under a microscope with an image of a know denisty.
(a) Permanent and unscheduled records. Store permanent and unscheduled microform records under the extended term storage conditions specified in ISO 18911:2000 and ANSI/PIMA IT9.2—1998, except that the relative humidity of the storage area must be a constant 35% RH, plus or minus 5%. Do not store non-silver copies of microforms in the same storage area as silver gelatin originals or duplicate copies.
(a) Agencies must inspect, or arrange to pay a contractor or NARA to inspect the following categories of microform records stored at the agency, at a commercial records storage facility, or at a NARA records center, when the films are 2 years old, and every 2 years thereafter, until legal custody is transferred to the National Archives and Records Administration, in accordance with ANSI/AIIM MS45—1990.
(1) Master films of permanent records microfilmed in order to dispose of the original records,
(2) Master films of permanent records originally created on microfilm,
(3) Other master films scheduled for transfer to the National Archives, and
(b) To facilitate inspection, the agency must maintain an inventory of microfilm listing each microform series/publication by production date, producer, processor, format, and results of previous inspections.
(c) The elements of the inspection shall consist of:
(1) An inspection for aging blemishes following ANSI/AIIM MS45—1990;
(4) A certification of the environmental conditions under which the microforms are stored, as specified in § 1230.20(a).
(d) The agency must prepare an inspection report, and send a copy to NARA in accordance with § 1230.28(b). The inspection report must contain:
(2) A detailed inspection log created during the inspection that contains the following information: Start Printed Page 47129
(e) If an inspection shows that a master microform that 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 2-year inspection requirement before transfer to a record center or to the National Archives.
(f) Inspection must be performed in an environmentally controlled area in accordance with ANSI/AIIM MS45—1990.
NARA recommends, but does not require, that agencies use the inspection by sampling procedures described in § 1230.22(a).
(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 (microform) for reference purposes. Agencies must ensure that the archival microform remains clean and undamaged during the process of making a duplicating master.
(1) Reference,
(2) Further duplication on a recurring basis,
(3) Large-scale duplication, and
(d) Agencies may transfer permanent microform records to a records storage facility meeting the storage requirements in Section 1230.20(a) (see § 1228.152(e)(3) for NARA centers) only after the first inspection or with certification that the microforms will be inspected by the agency, an agency contractor, or a NARA records center (on a reimbursable basis) when the microforms become 2 years old.
(c) If the records are not in a NARA records center, submit the information specified in § 1230.28(c) of this part.
(f) Ensure that the inspection of the microform is up-to-date. If the microform records were recently produced, please note that NARA will not accession permanent microform records until the first inspection (when the microforms are 2 years old) has been performed.
(g) Package non-silver copies separately from the silver gelatin original or silver duplicate microform copy and clearly label them as non-silver copies.
[FR Doc. 01-22669 Filed 9-10-01; 8:45 am]