[Federal Register Volume 60, Number 188 (Thursday, September 28, 1995)]
[Proposed Rules]
[Pages 50158-50161]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-24024]
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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.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The National Archives and Records Administration (NARA)
proposes to revise and expand the regulations pertaining to audiovisual
records management and the transfer of permanent audiovisual records to
NARA 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: Comments must be received in writing on or before November 27,
1995.
ADDRESSES: Comments should be sent to the Director, Policy and Planning
Division (PIRM-POL), National Archives at College Park, 8601 Adelphi
Road, College Park, MD 20740-6001.
FOR FURTHER INFORMATION CONTACT: Mary Ann Hadyka or Nancy Allard at
301-713-6730 or TDD 301-713-6760.
SUPPLEMENTARY INFORMATION: Following is a discussion of the significant
changes proposed by this regulation:
Part 1228
Four significant changes are made to Sec. 1228.184 of this part,
which governs the transfer of permanent audiovisual records to NARA
from Federal agencies. First, the revised regulation provides for the
transfer of a videotape as well as a projection print for motion
picture film, if both exist. The requirement for preprint (negatives,
masters, etc.) is still the same, however. Second, the record elements
for compact discs and video discs are described for the first time.
Third, audio and video tape recordings are cross-referenced to
Sec. 1232.30 of this subchapter which requires the use of open-reel
audiotapes and industrial-quality or professional videotapes for the
creation of original audiovisual records. Fourth, the revision permits
agencies to provide related captions or finding aids in electronic form
that are in accordance with Sec. 1228.188 of this part which governs
the transfer of electronic records.
Part 1232
The revision includes audiovisual definitions and updates sources
for various standards. Section 1232.20, Agency program
responsibilities, remains essentially the same as the current
Sec. 1232.4, but requirements for training and inspection of contractor
facilities have been added. Other sections have been reorganized and
revised for greater emphasis and clarity and to provide more detailed
instructions on nitrocellulose film, unstable cellulose acetate film,
storage conditions, maintenance and operations, choosing formats, and
disposition. The standard for residual sodium thiosulfate (hypo) on
newly processed black-and-white film has been modified. The storage
standard for relative humidity has been lowered to 30-40 percent from
the earlier range of 40-60 percent. X-ray film is included in this
regulation for the first time, because it is generally scheduled for
long retention periods and must therefore be stored under controlled
environmental conditions. The provision for temporary storage space in
NARA's cold storage vaults has been deleted because the space has been
reserved for color film materials that are transferred to the legal
custody of the National Archives. The regulations governing centralized
audiovisual services under the current Sec. 1232.6 have been deleted
from this regulation because of the transfer of this function to the
Department of Commerce. NARA no longer offers the Stock Footage
Depository Program which was described in the current Sec. 1232.6.
Agencies may establish their own programs or dispose of the footage in
accordance with an approved records schedule.
This revision does not address digital photographic records, as
standards have not been developed for these records. NARA is
investigating the technology and plans to provide records management
guidance for these records. Government-wide requirements cannot be
established at this time.
This rule is a significant regulatory action for purposes of
Executive Order 12866 of September 30, 1993. As such, it has 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.
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, NARA proposes to amend
36 CFR chapter XII 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. chapters 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.
[[Page 50159]]
(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 is also
needed.
(2) For color photographs, the original color transparency or color
negative, a captioned print or captioning information as described
above, and a duplicate color negative and duplicate slides and
transparencies, 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 magnetic sound recordings on audio tape (open reel,
cassette, or cartridge), the original tape or the earliest generation
of the recording and a ``dubbing'' if one has been made. Section
1232.30(d) of this subchapter requires the use of open-reel 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 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. Electronic
versions of these files shall be transferred in accordance with
Sec. 1228.188 of this part.
(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. The policies and
procedures apply to all Departments and independent agencies of the
Executive Branch.
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.
Agency. Any department or independent establishment of the
Executive Branch of the Federal Government. See Sec. 1220.14, for
general 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,
[[Page 50160]]
(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 the National Archives about
the existence of nitrocellulose film materials because of their age and
instability. The National Archives will determine if they may be
destroyed or destroyed after a copy is made for transfer, as
appropriate.
(c) If the National Archives appraises nitrate film materials as
disposable, but the agency wishes to retain them, agencies must follow
the guidance in NFPA 40-1988, Standard for the Storage of Handling of
Cellulose Nitrate Motion Picture Film, which is incorporated by
reference. NFPA 40-1988 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 the National
Archives 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 232-1991, Standard for the Protection of Records 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 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.
(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 to 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.
(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: IT9.11-1993, Processed
Safety Photographic Films Storage; and IT9.2-1991, Filing Enclosures
and Storage Containers for Photographic Processed Films, Plates and
Papers. 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, 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
[[Page 50161]]
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 of
polyester bases and are processed in accordance with industry standards
as specified in ANSI/ISO 543-1990 (ANSI IT9.6-1991) Specifications for
Safety Film for Photographic Films; IT9.1-1991 Specifications for
Stability for Silver Gelatin Type Imaging Media; and, ASC PH4.8-1985
Determination and Measurement of Residual Thiosulfate and Other
Chemicals in Films, Plates and Papers, which are incorporated by
reference. (Currently, not all motion picture stocks are available on a
polyester base.) It is particularly important to limit residual sodium
thiosulfate (hypo) on newly processed black-and-white photographic film
to the range of .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: July 24, 1995.
John W. Carlin,
Archivist of the United States.
[FR Doc. 95-24024 Filed 9-27-95; 8:45 am]
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