Current through Register Vol. 48, No. 3, March 22, 2024
A. Archival and Long-Term Value Microfilm
1. ARCHIVAL RECORD MICROFILM is defined as filmed records determined by a duly approved Records Series Retention/Disposition Schedule or an equivalent evaluation by the Department to be of sufficient value to warrant permanent (perpetual) retention.
2. MICROFILM RECORDS OF LONG-TERM RETENTION VALUE are filmed records that must be retained because of statutory or fiscal requirements for research use for periods of between ten and one hundred years.
B. Camera Microfilm
1. The camera microfilm for filming records of archival and/or long-term retention value shall be safety base permanent silver halide film as defined in Part 1230--Micrographics, Sec.1230.4, Definitions--Archival Microfilm, printed in the Federal Register, Vol. 50, No. 125, June 28, 1985 and attached below, or the latest revision.
2. Safety base film is defined as low in nitrate nitrogen content, slow to ignite, and difficult to burn. Only safety base permanent film can qualify as archival record film.
3. The film must meet the standards cited above, or the latest revision. Only silver emulsion film of archival quality will be used for filming records of perpetual or long-term retention value, except when computer output microfilm (COM) records of long term value only are scheduled as described in 4.a. below. To comply with the specifications for permanence and archival storage, perpetual and long term record films must have a silver halide emulsion processed to a silver-gelatin black and white photographic image.
4. Computer output microfilm shall meet the standards for Computer Output Microforms in the Federal standards referred to above, or the latest revision, and as follows:
a. The Department will accept for security storage only safety base silver-gelatin microfilm (which must meet the film standards cited above). State agencies and local government offices must use silver-gelatin microfilm when records of archival value are placed on COM. (See Appendix C-1 & 2, D-1 & 2, and E.) When a duly approved under the Public Records Act records retention schedule allows storing COM of records of long-term retention value at a site other than the Department's microfilm vault, the security copy may be dry silver, diazo, or vesicular film if there is evidence presented that proves to the Department's satisfaction the dry silver, diazo, or vesicular microfilm will be stable for the length of time the record is to be maintained.
b. The Department will accept only COM whose legibility has been determined to be sufficient to produce readable copies on subsequent generation microfilm or, when needed, on enlarged paper printouts from the microfilm at the generation determined to be necessary for the retention value of the information (see the chart on resolution in part C. 4. below).
The Department will not authorize COM to be stored in an alternative repository for security if the information legibility is not sufficient to reproduce to the generation predetermined to be necessary to maintain the record information for its appraised useful retention. It is the responsibility of the depositing state agency or local government entity to provide information in writing to the Department verifying the legibility projection to the required generation when depositing security COM.
c. COM may be 16 mm rolls, 35 mm rolls, or 105 mm × 148 mm microfiche.
d. Reductions of information on COM shall not exceed 48 diameters.
e. When first generation negative-appearing (1N) COM is the goal, the reversal process shall be full reversal and not partial reversal or halide reversal.
f. When first generation positive-appearing (1P) COM of perpetually valuable (archival) information is submitted to the Department for security storage, the minimum D max (maximum density) on a given piece of film shall be 0.75, as judged by comparison of the film with an image of known density under a microscope. The method used to determine the D max or exposed film density of film submitted for storage shall be reported to the Department in writing and the report shall accompany the film to be deposited. The maximum D min (minimum density on a given piece of film or film base plus fog density) shall be 0.15 (the background diffuse density for printing as measured by a transmission densitometer). A D min and D max difference of 0.60 is recommended. (See also part D of this section below.)
If the security COM of records of long term value is to be stored in a repository other than the Department, the D max and D min report of the film must be submitted to the Department which must judge the levels acceptable before the deposit can be made.
g. When negative-appearing (1N) COM of permanently valuable (archival) information is submitted to the Department for security storage, the minimum D max (background diffuse density for printing as measured by a transmission densitometer) shall be at least 1.50, 1.80 preferred. The maximum D min shall be 0.20, as judged by comparison of the film with an image of known density under a microscope. The method used to determine the D min on film submitted for storage shall be reported to the Department in writing and the report shall accompany film to be deposited.
If the security COM of records of long-term value is to be stored in a repository other than the Department, the D min and D max report of the film must be submitted to the Department, which must judge the levels as acceptable before deposit can be made.
h. Machine readable data and/or paper printouts of information from machine readable data must be maintained until the COM has been approved by the Department as a suitable record copy of the desired information.
C. Resolution
1. Resolution is defined as the ability of a microfilm system to make visible and distinguishable the fine detail of a filmed image. The measure of the resolution or sharpness of the image is expressed as the number of lines per millimeter discernible under a microscope in an exposed image of a filmed resolution test chart.
2. Only resolution test charts developed by the National Bureau of Standards for source document filming and referred to in the Standards for Creation of Microform Records, Section 1230.14e (Microfilm Standards Attachment) shall be used for filming and resolution testing on a planetary camera. Likewise, resolution test charts developed specifically for the rotary type camera must be used for filming and resolution testing on a rotary camera.
3. For microfilm of records that are typed or printed, the resolution shall be based on the "Quality Index Method" set forth in the Standards for Creation of Microform Records, Section 1230.14e as amended (Microfilm Standards Attachment):
a. For records of archival value, the originals of which are considered legible but can only be read with difficulty, the minimum resolution pattern shall be based on (1) achieving an index of excellent quality, 8.0 or higher; (2) the height of the lower case "e" of 2.0 mm, unless otherwise indicated, and (3) the number of film generations necessary to obtain the desired result.
b. For records of archival value, the originals of which are completely legible, the minimum resolution pattern shall be based on (1) achieving a level of acceptable quality, 5.0 or higher; (2) the height of the lower case "e" of 2.0 mm, unless otherwise indicated, and (3) the number of film generations necessary to obtain the desired result.
c. For records of long-term value, the minimum resolution pattern for all typed and printed material shall be based on (1) achieving a level of acceptable quality, 5.0 or higher; (2) the height of the lower case "e" of 2.0 mm, unless otherwise indicated, and (3) the number of film generations necessary to obtain the desired results.
4. Below are the film generations with the required resolution pattern for each generation of film of records with the lower case "e" of 2.0 mm height. The resolution pattern should decrease only one pattern per generation for each duplicate film.
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Film Generation [FN*]
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Excellent Quality Resolution Pattern
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Acceptable Quality Resolution Pattern
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1
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4.0
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2.5
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2
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4.5
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2.8
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3
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5.0
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3.2
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4
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5.6
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3.6
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5
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6.3
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4.0
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[FN*] The ability to reproduce to three (3) film generations is the minimum number required for archival film security copies.
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a. Where there is handwritten and typed or printed material combined on a document, the Quality Index Method may be used to determine resolution by referring to the requirements for the lower case "e" of at least 2.0 mm in height as set forth in 3a-3c above. If no 2.0 mm or smaller lower case "e" can be referred to, the procedure for handwritten documents given in number 5 below will be followed.
b. The Department reserves the right to inspect the height of the lower case "e". If the "e" is less than 2.0 mm in height, a different resolution pattern is required, the pattern to be determined by the Quality Index Method, which allows for differences in the height of the selected letter, lower case "e".
5. In microfilm operations where the use of the Quality Index Method is not practical, such as in the filming of handwritten documents, the Reduction Ratio/National Bureau of Standards Pattern Tables listed below may be used to determine the resolution needed. The tables give the smallest resolution test pattern that must be read for each reduction ratio when documents with medium size handwriting are microfilmed. In some special cases, a smaller test pattern may be necessary to produce legible images, such as when characters on a document are written extremely small and thin. If a smaller pattern is needed, contact the Department for approval before using the pattern.
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a. Microfilm Resolution Patterns for Records
of Archival (Perpetual) Value Requiring
Reproduction to 4 Generations [FN**]
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Reduction Ratio
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Smallest NBS Pattern Read
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8X
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10.0
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10X
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8.0
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12X
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7.1
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16X
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5.6
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20X
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5.0
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24X
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4.5
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26X
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4.5
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28X
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4.5
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30X
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4.0
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32X
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4.0
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36X
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3.6
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[FN**] If the microfilm application requires a paper print from the third generation copy, the patterns listed are required for a legible print.
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b. Microfilm Resolution Patterns for Records
of Long-term Value Requiring
Reproduction to 3 Generations
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Reduction Ratio
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Smallest NBS Pattern Read
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8X
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8.0
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10X
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6.3
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12X
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6.3
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16X
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5.0
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20X
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4.5
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24X
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4.0
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26X
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4.0
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28X
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4.0
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30X
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3.6
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32X
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3.6
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36X
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3.2
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c. Microfilm Resolution Patterns for Records
of Long-term Value Requiring Reproduction
to 2 Generations
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Reduction Ratio
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Smallest NBS Pattern Read
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8X
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7.1
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10X
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5.6
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12X
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5.6
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16X
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4.5
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20X
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4.0
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24X
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3.6
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26X
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3.6
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28X
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3.6
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30X
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3.2
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32X
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3.2
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36X
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2.8
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6. First generation silver halide microfilm of engineering drawings [FN1] must have the minimum resolution for the reduction ratios listed in the chart below or the equivalent for intermediate reductions when the microfilm is to be used to reproduce 2 subsequent generations; that is, when the drawings are of archival value or must be reproduced to the third generation.
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a. Microfilm Resolution Patterns for
Engineering Drawings of Archival
Value
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8X
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10.0
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12X
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8.0
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16X
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7.1
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20X
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5.6
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24X
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5.0
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28X
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4.5
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30X
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4.5
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36X
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4.0
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7. If the pattern of the resolution chart can not be attained or is not technically feasible, the Department must be notified in writing requesting a waiver of this requirement whenever security or archival quality film is to be produced. The waiver should be obtained in writing before any additional records are filmed. Waivers shall be considered if there is no intention to destroy the original record after filming, if acceptable alternative standards are proposed for the microfilm records, or if the filmed copy was made before this standard was adopted.
Waivers shall apply only to the material and film in question and microfilming of permanent records of archival value shall not continue using the same equipment, supplies and procedures that produced less than the required standard for archival quality film. Waivers will not be granted for microforms produced by new equipment.
D. Density
1. Optical density is defined as the light absorbing quality of a photographic image (degree of opacity). Several specific types of density values for a photograph may be expressed, but background density, which is the measurement of the amount of light that is prevented from passing through the non-record area of an image expressed as a logarithm, is most commonly used for microfilm to indicate how dark or black the image is.
2. The background density of the processed camera roll required to reproduce the film to the sufficient number of generations shall depend on the material filmed. [FN2]
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Acceptable Background
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Description of Documents
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Density Range
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a.
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periodicals, dense typing, and high quality printed books
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1.00 to 1.30
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b.
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pencil writing with a soft lead, documents with small writing
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0.95 to 1.25
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c.
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graph paper with pale, fine-colored lines and very small printing such as footnotes, faded printing, and pencil drawings
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0.90 to 1.20
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d.
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poorly printed faint documents and very weak pencil manuscripts and drawings
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0.85 to 1.10
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e.
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old, faded ink documents on discolored paper with very little contrast between the handwriting and the background
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0.70 to 1.00
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f.
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high contrast drawings or writing on mylar filmed with back lighting
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1.30 to 1.60
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g.
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low contrast writing on mylar filmed with back lighting
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1.00 to 1.30
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h.
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non-white documents with black and non-black printing
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0.80 to 1.10
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3. Density requirements are target ranges. Minor variations from the acceptable density ranges for the above given categories at times may not have an adverse effect, but the more important the record and the greater the problem with legibility, the more critical it is to stay within the ranges provided. If there is a problem maintaining the density ranges, or if it is not technically feasible to do so, the Department must be notified in writing requesting a waiver of the requirement. The written waiver should be obtained before any additional records are filmed. Waivers shall be considered if there is no intention to destroy the original record after filming, if an acceptable alternative requirement yields better results than staying within a given range stated above, or if the filmed copy was made before this standard was adopted.
Waivers shall apply only to the material and film in question and microfilming of permanent records of archival value shall not continue using the same equipment, supplies, and procedures that produced less than the required standard for archival quality film. Waivers will not be granted for microforms produced by new equipment.
4. If positive images constitute the processed camera roll, the background density from good quality, high contrast, negative photostats must be between 0.04 to 0.16. Certain poor quality, low contrast photostats or blueprints may require a higher background density in order to enhance faint writing.
E. Base Plus Fog Density
1. Base Plus Fog Density is defined as the density of a film that has not been exposed, but which has been developed and fixed.
2. The base plus fog density or (D-min) of each processed camera roll shall be 0.10 or less.
F. Processing of Camera-Exposed Film
1. Each camera-exposed roll shall be processed in a microfilm processor that has a separate tank or container for the thiosulfate (fixer). The thiosulfate should contain an acceptable biotic inhibitor such as an iodine ion to help prevent the formation of blemishes.
2. The film shall be processed with sufficient water flow to be tested as prescribed in the Standards for Creation of Microform Records, Section 1230.14d (Microfilm Standards Attachment) or its latest revision.
3. If the processing is the reversal type, it must be the full photographic reversal and not partial-reversal in order to have a fixed silver archival record microfilm security copy for archival or long-term retention.
G. Control Strips
A Control Strip is a strip of stable film pre-exposed to a precision light source. In order to maintain uniformity of the developer in the processor, it is required that control strips be processed periodically (preferably on a daily basis) whenever security microfilm is processed and highly recommended for all processing.
H. Quality Testing of Processed Film
1. The security copy and reproduction duplicate film emulsion shall be protected at all times. After processing, camera and duplicate rolls shall be inspected on a rewind station equipped with rewinds and a lamp box and shall not be handled unless the operator or inspector is wearing white, lint-free gloves. To prevent scratching the emulsion, the camera-original film being tested will not be placed on or under rollers, nor shall reproduction duplicate microfilm copies of records of archival value be placed on or under rollers unless the camera silver emulsion microfilm or other acceptable security copy is in a temperature and humidity controlled environment and available for further reproduction.
2. The film shall be tested for background density and resolution and inspected for any possible defects that may affect the readability or legibility of the film. If density and resolution levels are not within the specified ranges for archival or long-term retention film, corrective action must be carried out to meet the standards.
3. The silver densitometric test and/or the methylene blue test (accepted methods for measuring residual thiosulphate in film) will be rendered on all processed microfilm of archival or long-term retention value, unless the security copy is authorized to be retained on non-archival film as stated in section 12-300 B.4a. above.
a. The silver densitometric test should be administered each day while processing silver emulsion film.
b. One methylene blue test should be administered at least every fifth consecutive day of processing silver emulsion film. The Department may require more or fewer tests depending on the quantity of rolls processed and other factors. If the test results are higher than 0.7 micrograms of residual thiosulphate per square centimeter for the methylene blue test in a clear area of the film and/or higher than 0.02 density difference for the silver densitometric test, all film processed since the last tests must be rewashed and another test performed in order to achieve satisfactory results.
If the test readings are not acceptable after the film is rewashed and the microfilm must meet archival quality standards, a duplicate should be made to use in place of the film in question unless it is necessary to refilm the records in order to meet the required standards.
c. The tests used for determining the concentration of residual thiosulfate or other chemicals on processed film referred to above shall be those prescribed in the Standards for Creation of Microform Records, section 1230.14d (Microfilm Standards Attachment), or the latest revision.
d. If the Methylene Blue Method is used to measure the thiosulfate concentration on film, the test must be made within two weeks after the film was processed for the results to be accurate.
I. Certification of Microfilm Quality
All security microfilm copies of records of archival value required to be deposited with the Department shall have resolution and density reading tests, and content and legibility inspections results certified on the appropriate microfilm quality certification forms. All certifications are subject to verification by the Department's quality control technicians who will select sample microfilm copies and conduct separately made tests whenever appropriate or necessary. (See Appendix C-1 and C-2 for the certification report form and instructions.) All security copies of records of long-term value filmed in the course of recording government or public documents must be certified as to quality also. The procedure for obtaining certification of film of doubtful quality (alternative) shall apply only when more than one reproduction can produce a satisfactory microfilm record.
J. Splicing of Microfilm
1. When it is necessary to make corrections and insert retakes, the camera or duplicate security roll may be spliced using the heat splice or ultra sonic methods. The roll may have no more than eight splices per 100 feet of film, and the splices must be four inches apart to avoid problems in duplication of the film.
2. Pressure sensitive tape or film cement may not be used for splicing camera negative or duplicate security roll film of archival or long-term retention value.
K. Duplication
1. The camera silver emulsion original or archival record microfilm shall not be used for duplication except to make a silver emulsion reproduction duplicate, unless the Department determines the condition of the film and the circumstances require otherwise. The camera silver emulsion original shall not be inserted into a reader or viewer or loaded into a cartridge unless a second master copy is provided first for the security film deposit and the substitute master is capable of legible reproduction to the required number of generations for microfilm records of archival value.
2. All copies of archival record microfilm for distribution or research use shall be made from silver emulsion reproduction duplicates unless they are for in-house use or temporary interoffice use. When this occurs, the archival quality master security copies must not be exposed to ammonia or other chemicals or fumes harmful to silver film.
3. Silver emulsion, diazo, or vesicular film duplicators that are properly maintained, operated and vented are acceptable for the reproduction of third generation reference or distribution microfilm copies.
4. The second generation reproduction duplicate film copy shall not be used on a microfilm reader for film editing or other purposes unless the original camera silver emulsion microfilm or security copy is available for further reproduction.
L. Security Microfilm
1. Security microfilm is defined as the camera silver original microfilm or the intermediate master silver film copy of a public record that has been determined to be of such importance for administrative, fiscal, legal, or historical reference or research that a copy of the record is produced on microfilm and stored under proper temperature and humidity control in a location away from the original record, later generations on film or a magnetic medium copy.
2. When records of archival value are filmed or created on film, the silver emulsion camera original must be forwarded for permanent storage in the Department's fire-resistant, temperature and humidity controlled film vault. Silver reproduction duplicates meeting the required standards can be accepted in place of the camera original with the approval of the Department.
3. Security microfilm of long-term retention value should also be stored in the Department's State Records Center microfilm vault for the specified period of time, if space is available. Similar storage areas with proper temperature and humidity controls may be substituted when approved by the Department in writing.
4. If the processed camera original silver emulsion black and white roll is to be retained permanently (perpetually), the Department shall determine whether the camera original film shall be used for reproduction of working copy or reference rolls without an intermediate reproduction duplicate.
M. Storage Requirements for Security Microfilm
1. Security microfilm shall be stored in a vault or other similar protective enclosure that is rated at least four hours fire resistant. The ideal temperature for security storage of wet process silver black and white microfilm security copies is 65 degrees Fahrenheit. The ideal relative humidity is between 30% and 40%. The temperature and relative humidity should not vary more than 5% in a 24 hour period, and the humidity must not drop below 30%. Minimally acceptable levels for temperature and relative humidity for storage of silver black and white security microfilm are a steady 70 degrees Fahrenheit and 50% relative humidity. Dehumidifiers using desiccants shall not be used.
2. Only wet process silver black and white gelatin film which meets the standards for permanent record film in the attached Standards for Creation of Microform Records will be stored in the Department's microfilm vault or other similar protective enclosure. Non-silver film such as diazo or vesicular, nitrate base film, color film, or other types of film not approved by the Department will not be stored together with silver-gelatin film. Neither shall non-silver, nitrate base, color, diazo, and vesicular films be stored in an enclosed area that shares the same ventilation system with another area where silver-gelatin film is stored. Dry silver film will not be stored in the same storage enclosure with wet process silver emulsion security film of permanently valuable (archival) records.
3. Containers or boxes used for storage of individual rolls of security microfilm must be either (1) stable, peroxide-free plastic; (2) acid-free (pH 6.5 to 8.5) and lignin-free cardboard boxes; or (3) noncorrosive metal such as anodized aluminum or stainless steel. Film is to be wound on stable, peroxide-free, noncorrosive reels. No rubber bands, paper, plastic ties or pressure sensitive tape shall be placed on the film or reels in the film containers. Individual reel boxes and film must be kept free of any fungus or mold. 105 mm microfiche must be stored in acid-free (pH 6.5 to 8.5), lignin-free envelopes.
N. Certification of Film
When archival records are converted to microfilm, the state agency, department, institution, or other political subdivision office shall certify or have certified by a duly qualified agent that the film meets the quality standards for archival film (see Appendix D-1 and D-2). If any records are to be destroyed after microfilming, certification that the film meets the applicable standards must be completed by the agency or office and approved by the Department before the disposal is carried out.
O. Microfilm Working Copy (Duplicate)
1. The microfilm copy produced for office or research use shall be legible, and electronic retrievals, where applicable, shall operate properly. A paper printout copy made from the film must be legible.
2. Film may be silver or non-silver, safety base type.
3. Working copy film will not be stored with security film of archival or long-term retention value.
4. The working copy film should not be stored or used in direct sunlight or left over a source of heat when not in use in a reader.
[FN1] Diazo, vesicular, other non-silver or dry silver microforms are not acceptable as security copies of engineering drawings of archival value.
[FN2] The camera roll for duplicating should not have a document background density range greater than .30 unless it is unavoidable because several different categories of documents are microfilmed on one roll.
