National Archives and Records Administration § 1230.12

(b) Manage the microform records as scribed on this form were (or will be) part of other records and information microfilmed in accordance with the resources management programs of the standards set forth in 36 CFR part agency. 1230.’’ (c) Include microform records man- (2) Agencies using microfilming agement objectives, responsibilities, methods, materials, and procedures and authorities in pertinent agency di- that do not meet the standards in rectives and disseminate them to ap- § 1230.14(a) must include on the SF 115 a propriate officials. description of the system and stand- (d) Address records management ards used. issues, including disposition, before ap- (3) When an agency intends to retain proving new microform records sys- the silver original microforms of per- tems or enhancements to existing sys- manent records and destroy the origi- tems. nal records, the agency must certify in (e) Train the managers and users of writing on the SF 115 that the microform records. microform will be stored in compliance (f) Develop records schedules cov- with the standards of § 1230.20 and in- ering microform records and finding spected as required by § 1230.22. aids, secure NARA approval, and apply (b) Temporary records. Agencies do not the disposition instructions. need to obtain additional NARA ap- (g) Schedule computerized indexes proval when destroying scheduled tem- associated with microform records, porary records that have been micro- such as in a computer-assisted re- filmed. The same approved retention trieval (CAR) system, in accordance period for temporary records is applied with part 1234 of this chapter. to microform copies of these records. (h) Review practices used to create The original records can be destroyed and manage microform records periodi- once microfilm is verified, unless legal cally to ensure compliance with NARA requirements prevent their early de- standards in this part. struction. Subpart C—Microfilming § 1230.12 What are the steps to be fol- Standards lowed in filming records? (a) Ensure that the microforms con- § 1230.10 Do agencies need to request tain all information shown on the NARA approval for the disposition originals and that they can be used for of all microform and source the purposes the original records records? served. (a) Permanent or unscheduled records. (b) Arrange, describe, and index the Agencies must schedule both source filmed records to permit retrieval of documents (originals) and microforms. any particular document or component NARA must approve the schedule, of the records. Title each microform Standard Form (SF) 115, Request for roll or fiche with a titling target or Records Disposition Authority, in ac- header. For fiche, place the titling in- cordance with part 1228 of this chapter formation in frame 1 if the information before any records, including source will not fit on the header. At a min- documents, can be destroyed. NARA imum, titling information must in- will not approve the destruction of clude: original records that have intrinsic (1) The title of the records; value, or security classified or other- (2) The number or identifier for each wise restricted original records that unit of film; are scheduled as permanent, or original (3) The security classification, if any; records that are scheduled as perma- and nent and that have other characteris- (4) The name of the agency and orga- tics that would limit the usefulness of nization the inclusive dates, names, or microform copies for public reference. other data identifying the records to be (1) Agencies that comply with the included on a unit of film. standards in § 1230.14 must include on (c) Add an identification target show- the SF 115 the following certification: ing the date of filming. When necessary ‘‘This certifies that the records de- to give the film copy legal standing,

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the target must also identify the per- frames of a single microfiche, or the son who authorized the microfilming. last frames of the last fiche in a series. See ANSI/AIIM MS19–1993 for standards Other index locations may be used only for identification targets. if dictated by special system con- (d) The following formats are manda- straints. tory standards for microforms: (1) Roll film. (i)Source documents. The § 1230.14 What are the filming require- formats described in ANSI/AIIM MS14– ments for permanent and unsched- 1996 must be used for microfilming uled records? source documents on 16mm and 35mm (a) General requirements. (1) Apply the roll film. A reduction ratio no greater standards in this section for micro- than 1:24 is recommended for type- filming of: written or correspondence types of doc- (i) Permanent paper records where uments. See ANSI/AIIM MS23–1998 for the original paper record will be de- the appropriate reduction ratio and stroyed or otherwise disposed of; format for meeting the image quality (ii) Unscheduled paper records where requirements. When microfilming on the original paper record will be de- 35mm film for aperture card applica- stroyed or otherwise disposed of; and tions, the format dimensions in ANSI/ (iii) Permanent and unscheduled AIIM MS32–1996, Table 1 are manda- original microform records (no paper tory, and the aperture card format ‘‘D originals) produced by automation, Aperture’’ shown in ANSI/AIIM MS41– such as computer output microfilm 1996, Figure 1, must be used. The com- (COM). ponents of the aperture card, including the paper and adhesive, must conform (2) Do not destroy permanent or un- to the requirements of ANSI/PIMA scheduled paper records after micro- IT9.2–1998. The 35mm film used in the filming without authorization from aperture card application must con- NARA on a SF 115 (see § 1230.10(a)). form to film designated as LE 500 in (b) Film stock standards. Polyester- ANSI/NAPM IT9.1–1996. based silver gelatin type film that con- (ii) COM. Computer output microfilm forms to ANSI/NAPM IT9.1—1996 for LE (COM) generated images must be the 500 film must be used in all applica- simplex mode described in ANSI/AIIM tions. MS14–1996 at an effective ratio of 1:24 (c) Processing standards. Microforms or 1:48 depending upon the application. must be processed so that the residual (2) Microfiche. For microfilming thiosulfate ion concentration will not source documents or computer gen- exceed 0.014 grams per square meter in erated information (COM) on micro- accordance with ANSI/NAPM IT9.1– fiche, the formats and reduction ratios 1996. Follow processing procedures in prescribed in ANSI/AIIM MS5–1992 ANSI/AIIM MS1–1996 and MS23–1998. (R1998) must be used as specified for (d) Quality standards—(1) Resolution— the size and quality of the documents (i) Source documents. Determine min- being filmed. See ANSI/AIIM MS23–1998 imum resolution on microforms of for determining the appropriate reduc- source documents using the method in tion ratio and format for meeting the the Quality Index Method for deter- image quality requirements. mining resolution and anticipated (e) Index placement—(1) Source docu- losses when duplicating, as described in ments. When filming original (source) ANSI/AIIM MS23–1998 and MS43–1998. documents, place indexes, registers, or Perform resolution tests using a ISO other finding aids, if microfilmed, ei- 3334-1991 Resolution Test Chart or a ther in the first frames of the first roll commercially available certifiable tar- of film or in the last frames of the last get manufactured to comply with this roll of film of a series. For microfiche, standard, and read the patterns fol- place them in the last frames of the lowing the instructions of ISO 3334– last microfiche or microfilm jacket of 1991. Use the smallest character used to a series. display information to determine the (2) COM. Place indexes on computer- height used in the Quality Index for- generated microforms following the mula. A Quality Index of five is re- data on a roll of film or in the last quired at the third generation level.

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(ii) COM. Computer output ANSI/AIIM MS23–1998. The densitom- microforms (COM) must meet the re- eter must meet with ANSI/NAPM quirements of ANSI/AIIM MS1–1996. IT2.18–1996, for spectral conditions and (2) Background density of images. The ANSI/NAPM IT2.19–1994, for geometric background ISO standard visual diffuse conditions for transmission density. transmission density on microforms (i) Recommended visual diffuse must be appropriate to the type of doc- transmission background densities for uments being filmed. The procedure for images of documents are as follows: density measurement is described in

Classification Description of document Background density

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

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

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

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

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

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

Density Min. Max. Minimum Film Type Process Measurement 1 1 Density Method Dmax Dmin 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 as needed to ensure that the copies will base plus fog density of unexposed, be legible. processed films must not exceed 0.10. When a tinted base film is used, the § 1230.16 What are the film and image density will be increased. The dif- requirements for temporary ference must be added to the values records, duplicates, and user cop- given in the tables in paragraph (d)(2) ies? of this section. (a) Temporary records with a retention (4) Line or stroke width. Due to optical period over 99 years. Follow the film and limitations in most photographic sys- image requirements in § 1230.14. tems, film images of thin lines appear- (b) Temporary records to be kept for less ing in the original document will tend than 100 years. NARA does not require to fill in as a function of their width the use of specific standards. Select a and density. Therefore, as the reduc- film stock that meets agency needs and tion ratio of a given system is in- ensures the preservation of the creased, reduce the background density

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microforms for their full retention pe- (4) Master films of unscheduled riod. Consult appropriate ANSI stand- records. ards, available as noted in § 1230.3, or (b) The films listed in paragraph (a) manufacturer’s instructions for proc- of this section must be inspected ini- essing microfilm of these temporary tially in accordance with ANSI/AIIM records. Follow the manufacturer’s rec- MS45—1990. All films must be inspected ommendations for production and when they are 2 years old. After the maintenance of temporary microfilm initial 2-year inspection, unless there to ensure that the image is accessible is a catastrophic event, the films must and usable for the entire retention pe- be inspected as follows until legal cus- riod. tody is transferred to the National Ar- chives and Records Administration: Subpart D—Storage, Use and Dis- (1) For microfilm that is/was pro- position Standards for duced after 1990, inspect the microfilm every 5 years. Microform Records (2) For microfilm that was produced § 1230.20 How should microform prior to 1990, inspect the microfilm records be stored? every 2 years. (c) To facilitate inspection, the agen- (a) Permanent and unscheduled cy must maintain an inventory of records. Store permanent and unsched- microfilm listing each microform se- uled microform records under the ex- ries/publication by production date, tended term storage conditions speci- producer, processor, format, and re- fied in ISO 18911:2000 and ANSI/PIMA sults of previous inspections. IT9.2–1998, except that the relative hu- (d) The elements of the inspection midity of the storage area must be a shall consist of: constant 35 percent RH, plus or minus (1) An inspection for aging blemishes 5 percent. Do not store non-silver cop- following ANSI/AIIM MS45–1990; ies of microforms in the same storage (2) A rereading of resolution targets; area as silver gelatin originals or du- (3) A remeasurement of density; and plicate copies. (4) A certification of the environ- (b) Temporary records. Store tem- mental conditions under which the porary microform records under condi- microforms are stored, as specified in tions that will ensure their preserva- § 1230.20(a). tion for their full retention period. (e) The agency must prepare an in- Agencies may consult Life Expectance spection report, and send a copy to (LE) guidelines in ANSI/AIIM stand- NARA in accordance with § 1230.28(b). ards (see § 1230.3 for availability) for The inspection report must contain: measures that can be used to meet re- (1) A summary of the inspection find- tention requirements. ings, including: (i) A list of batches by year that in- § 1230.22 What are NARA inspection cludes the identification numbers of requirements for permanent and unscheduled microform records? microfilm rolls and microfiche in each batch; (a) Agencies must inspect, or arrange (ii) The quantity of microforms in- to pay a contractor or NARA to inspect spected; the following categories of microform (iii) An assessment of the overall records stored at the agency, at a com- condition of the microforms; mercial records storage facility, or at a (iv) A summary of any defects discov- NARA records center following the in- ered, e.g., redox blemishes or base de- spection requirements in paragraph (b) formation; and of this section: (v) A summary of corrective action (1) Master films of permanent records taken. microfilmed in order to dispose of the (2) A detailed inspection log created original records; during the inspection that contains the (2) Master films of permanent records following information: originally created on microfilm; (i) A complete description of all (3) Other master films scheduled for records inspected (title; roll or fiche transfer to the National Archives; and number or other unique identifier for

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