CFR Subpart C

CFR Subpart C
in effect

36 C.F.R. § 1238.20 How must microform records be stored?

(a) Permanent and unscheduled records. Agencies must store permanent and unscheduled microform records under the extended term storage conditions specified in ISO 18911 and ANSI/PIMA IT9.2 (both incorporated by reference, see § 1238.5), except that the relative humidity of the storage area must be a constant 35 percent RH, plus or minus 5 percent. Non-silver copies of microforms must be maintained in a different storage area than are silver gelatin originals or duplicate copies). (b) Temporary records. Agencies must store temporary microform records under conditions that will ensure their preservation for their authorized retention period. NARA suggests that agencies may consult Life Expectance (LE) guidelines in ISO 18901 (incorporated by reference, see § 1238.5).

36 C.F.R. § 1238.22 What are the inspection requirements for permanent and unscheduled microform records?

(a) Agencies must inspect, or arrange for a contractor or NARA to inspect master microform of permanent or unscheduled records following the inspection requirements in paragraph (b) of this section. (b) The microforms listed in paragraph (a) of this section must be inspected initially in accordance with ANSI/AIIM MS45 (incorporated by reference, see § 1238.5). All microforms must be inspected when they are two years old. After the initial two-year inspection, unless there is a catastrophic event, the microforms must be inspected as follows until they are transferred to NARA: (1) For microfilm produced after 1990, inspect the microfilm every 5 years. (2) For microfilm produced prior to 1990, inspect the microfilm every 2 years. (c) To facilitate inspection, the agency must maintain an inventory that lists each microform series or publication by production date, producer, processor, format, and results of previous inspections. (d) The inspection must include the following elements: (1) An inspection for aging blemishes following ANSI/AIIM MS45 (incorporated by reference, see § 1238.5); (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 § 1238.20(a). (e) The agency must prepare an inspection report, and send a copy to NARA in accordance with § 1238.28(c). 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 actions 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 (d) of this section); (iv) Any defects uncovered; and (v) The corrective action taken. (f) If an inspection finds that a master microform is deteriorating, the agency must make a silver duplicate in accordance with § 1238.14 to replace the deteriorating master. The duplicate microform must meet inspection requirements (see § 1238.22) before it may be transferred to a record center or NARA. (g) Inspections must be conducted in environmentally controlled areas in accordance with ANSI/AIIM MS45 (incorporated by reference, see § 1238.5).

36 C.F.R. § 1238.24 What are NARA inspection requirements for temporary microform records?

NARA recommends, but does not require, that agencies use the inspection procedures described in § 1238.22(a).

36 C.F.R. § 1238.26 What are the restrictions on use for permanent and unscheduled microform records?

(a) Agencies must not use the silver gelatin master microform or duplicate silver gelatin microform of permanent or unscheduled records created in accordance with § 1238.14 of this part for reference purposes. Agencies must ensure that the master microform remains clean and undamaged during the process of making a duplicating master. (b) Agencies must 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.

36 C.F.R. § 1238.28 What must agencies do when sending permanent microform records to a records storage facility?

Agencies must: (a) Follow the procedures in part 1232 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 Federal 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 § 1232.14 of this subchapter: (1) Name of the agency and program component; (2) The title of the records and the media and format used; (3) The number or identifier for each unit of microform; (4) The security classification, if any; (5) The inclusive dates, names, or other data identifying the records to be included on a unit of microform; (6) Finding aids that are not contained in the microform; and (7) The inspection log forms and inspection reports required by § 1238.22(e). (d) Agencies may transfer permanent microform records to a records storage facility meeting the storage requirements in § 1232.14(a) (see § 1233.10 of this subchapter for NARA Federal Records Centers) of this subchapter only after the first inspection or with certification that the microforms will be inspected by the agency, a contractor, or a NARA Federal Records Center (on a reimbursable basis) when the microforms become 2 years old.

36 C.F.R. § 1238.30 What must agencies do when transferring permanent microform records to the National Archives of the United States?

Agencies must: (a) Follow the procedures in part 1235 of this subchapter and the additional requirements in this section. (b) If the records are not in a NARA Federal Records Center, submit the information specified in § 1232.14(c) of this subchapter. (c) Transfer the silver gelatin original (or duplicate silver gelatin microform created in accordance with § 1238.14) plus one microform copy. (d) Ensure that the inspections of the microforms are up-to-date. NARA will not accession permanent microform records until the first inspection has been performed (when the microforms are 2 years old). (e) Package non-silver copies separately from the silver gelatin original or silver duplicate microform copy and clearly label them as non-silver copies.

36 C.F.R. § 1238.32 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, SF 115, Request for Records Disposition Authority, in accordance with part 1225 of this subchapter before any records, including source documents, may be destroyed. (1) Agencies that comply with the standards in § 1238.14 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 1238.” (2) Agencies using microfilming methods, materials, and procedures that do not meet the standards in § 1238.14(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 § 1238.20 and inspected as required by § 1238.22. (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 or other requirements prevent their early destruction.

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