US Laws, Codes, Statutes & Cases

This regulation database is current through State Register Volume 29, Issue 10, effective October 28, 2005. Changes to the regulations enacted by the 2006 General Assembly, which will convene in January 2006, will be incorporated as soon as possible. Some regulations approved by the 2006 General Assembly may take immediate effect. The State of South Carolina and the South Carolina Legislative Council make no warranty as to the accuracy of the data, or changes which may have been enacted since the 2005 Regular Session or which took effect after this database was prepared and users rely on the data entirely at their own risk.

(Statutory Authority: 1976 Code Section 30-1-90(B))

(Statutory Authority: Title 60, Chapter 11, Archives Act)

12-100. Introduction.

The Certified Local Government (CLG) program in South Carolina promotes community preservation planning and heritage education through a partnership with the State Historic Preservation Office (SHPO) that facilitates funding, technical assistance and training. Through local preservation planning, CLGs are better prepared to manage future growth and encourage economic development while protecting the historic and pre-historic resources that are significant to their community, to the state, and to the nation.

Certified local governments (CLGs) are eligible to apply to the SHPO for matching funds earmarked for "certified local governments". In order to become certified, a local government must meet certain requirements, among them to have enacted a historic preservation ordinance and to have appointed a historic preservation commission to monitor changes to historic properties. The CLG program also encourages local preservation planning and educational activities.

Since the enactment of the National Historic Preservation Act of 1966, the nation's historic preservation program, administered by the United States Department of the Interior, has operated as a decentralized partnership between the states and the federal government. This program called for the states to identify, evaluate, and protect historic resources and provided federal aid to assist the states in this activity. In South Carolina, the State Historic Preservation Program is administered by the South Carolina Department of Archives and History whose Director is the State Historic Preservation Officer. In 1980, Congress, recognizing the crucial role of the local government in the preservation of our cultural resources, passed the National Historic Preservation Act Amendments of 1980 (PL96-515), making it possible for local governments to be involved formally in the National Historic Preservation Program. This law provided the legal basis for certification of local governments and the formation of a federal-state-local preservation partnership. The National Historic Preservation Act Amendments of 1992 (PL 102-575) modified the certification requirements. In sum, the National Historic Preservation Act as amended (16 U.S.C. 470 et seq.) provides the legal framework for the national historic preservation partnership.

This document sets forth South Carolina's procedures, based on the federal act and the rules for implementing that act developed by the Department of the Interior (36 CFR 61), for local certification and funds transfer.

12-101. Criteria for Participation in South Carolina's Certified Local Government (CLG) Program.

The National Historic Preservation Act as amended contains five broad standards which local governments must meet to be certified as participants in the National Historic Preservation Program. The law states that "Any local government shall be certified to participate under the provisions of this section (101(c)(1)) if the applicable State Historic Preservation Officer, and the Secretary (of the United States Department of the Interior), certifies that the local government: (A) enforces appropriate State or local legislation for the designation and protection of historic properties; (B) has established an adequate and qualified historic preservation review commission by State or local legislation; (C) maintains a system for the survey and inventory of historic properties ...; (D) provides for adequate public participation in the local historic preservation program, including the process of recommending properties for nomination to the National Register; and (E) satisfactorily performs the responsibilities delegated to it under this Act." The Act goes on to define "designation" and "protection" (Section 101(c)(4)), provide direction for funding CLGs (Section 103(c)) and define local commission and other historic preservation terms (Section 301).

Local governments in South Carolina that want to become certified local governments must satisfy these federal standards. The role and responsibilities of CLGs are further defined and expanded below to explain the specific standards a local government should fulfill to be certified in South Carolina.

A. Enforces Appropriate State or Local Legislation for the Designation and Protection of Historic Properties

(1) The local government must set forth criteria and processes for designating districts and landmarks of historic and/or pre-historic significance.

(2) The local government shall adopt a historic preservation ordinance, the purpose of which is clearly stated.

(3) The ordinance must define the authority by which its provisions are carried out.

(4) The ordinance must clearly delineate the jurisdiction of the design review committee.

(5) The ordinance must set forth processes for designating districts and landmarks of historic and/or pre-historic significance.

(6) The ordinance must set forth criteria and processes for the review and approval or disapproval of:

(a) alteration, demolition, and relocation of designated landmarks,

(b) the alteration of designated sites,

(c) the construction of new structures within designated districts, and

(d) other actions that may affect locally designated properties.

(7) The ordinance must set forth procedures for enforcing decisions.

(8) The ordinance must make provision for right of appeal.

B. Has Established an Adequate and Qualified Historic Preservation Commission by State or Local Legislation

(1) The historic preservation review commission shall consist of at least five and no more than ten members and is appointed by the governing body of the municipality or county. (S.C. 1976 Code Sec. 6-29-870) Resumes for commission members should be kept on file by the CLG, and sent to the SHPO.

(2) Commission members, both laymen and professional, shall have a demonstrated interest, competence, or knowledge in historic preservation. To the extent that such professionals are available in the community, commission members shall include one or more professionals in preservation related disciplines such as architecture, history, architectural history, planning, prehistoric and historic archaeology, folklore, cultural anthropology, curation, conservation, and landscape architecture. CLGs may also want to include commissioners trained in real estate, engineering and law. Interest, competence, or knowledge in historic preservation should be identified on commissioners' resumes giving their educational and volunteer background, attendance at workshops and seminars, and related activities.

(3) Local governments may be certified without professionally qualified commission members in the types of disciplines listed in B(2) above, if they can provide written documentation that they have made a reasonable effort to obtain professional expertise. Written documentation should include (a) a list of individuals in the community known to have the professional qualifications listed below, (b) a list of individuals contacted to serve on the commission, and (c) a letter explaining why local professionals declined the invitation to serve on the commission.

(4) Commission meetings shall be held as often as is necessary to complete the commission's work in a timely fashion but at least three times per year.

(5) Each commission member and CLG staff person should attend information or educational meetings pertaining to work and functions of the commission, to historic preservation, or to operations of federal, state, and local preservation programs. The SHPO shall provide information pertaining to the work of commissions and make educational meetings available for commissioners, elected officials and interested citizens.

(6) The role of the commission as the historic preservation review authority for the local government shall be clearly defined in accordance with these Guidelines with responsibilities complementary to the State Historic Preservation Program (outlined in 36 CFR 61.4(b)). These responsibilities shall include, but not necessarily be limited to, the following:

(a) The commission shall endeavor to educate the community about their own historic resources.

(b) The commission shall have authority specified in the ordinance to review and render decisions on all proposed alterations, relocations, demolitions, and new construction affecting designated historic preservation conservation areas or individually designated local landmarks.

(c) The commission shall have the first review and evaluation of all proposed National Register nominations within its jurisdiction if the commission chooses to comment. The chief elected local official shall forward all National Register nominations to the SHPO with their and the commission's recommendations for consideration by the State Board of Review.

(d) When the commission considers actions, including National Register nominations, which require evaluation by a professional in a specific discipline and that discipline is not represented on the commission, the commission shall seek expertise in this area (for example, an archaeological site).

(7) The CLG shall submit to the SHPO an annual report of commission activities. The annual report form will include the number of cases reviewed, disposition of cases, new local designations, commission appointments, new or revised resumes, minutes or a synopsis of the minutes, and local preservation plans and projects.

(8) The Commission shall adopt By-Laws and Rules of Procedure.

(9) In all deliberations, any member of the commission who has a direct or indirect financial interest in any property which is the subject matter of, or affected by, a decision of the Commission shall be disqualified from participating in the discussion, decision, or proceedings of the Board relating to that property.

(10) The SHPO may, by mutual written agreement with the local government, arrange other preservation projects with the certified local government historic preservation commission or other local groups.

C. Maintain A System for the Survey and Inventory of Historic Properties

(1) The CLG shall carry out its responsibilities for survey and inventory as follows:

(a) coordinate with the SHPO to identify and record historic and pre-historic properties within its jurisdiction based on priorities set by the CLG; and

(b) maintain an inventory of the designated districts, sites, and structures within the jurisdiction established by the ordinance with a periodic evaluation of the inventory and revisions as certificates of appropriateness are issued.

(2) The CLG shall make the local inventory records accessible to the public, except when knowledge of certain properties, such as archaeological site locations, may constitute a threat to their preservation. In such cases, inventory information may be restricted.

D. Provides for Adequate Public Participation in the Local Historic Preservation Program, Including the Process of Recommending Properties for Nomination to the National Register

(1) All meetings of the historic preservation review commission shall be publicly announced and open to the public. The agenda shall be announced prior to the meeting.

(2) Accurate and complete minutes of all decisions and actions of the commission, including the reasons for making the decisions, and copies of the written notification to the applicants must be kept on file and made available to the public upon request.

(3) The commission shall make all decisions in a public forum (except as provided by freedom of information laws) and shall give each applicant written notification of decisions affecting the applicant.

(4) The commission's By-Laws and Rules of Procedure shall be available for public inspection.

(5) The CLG should encourage publication in the news media of information leading to clearer public understanding of historic preservation, including procedures for local historic designations, National Register criteria, and appropriate rehabilitation work for local design review districts.

E. Satisfactorily Performs the Responsibilities Delegated to It Under the National Historic Preservation Act

In carrying out the mandated responsibility to monitor and evaluate the performance of the CLGs, the SHPO will use the procedures in 12-101 above. See 12-103 of this document for SHPO involvement in monitoring and decertifying CLGs.

12-102. Process for Certification of Local Governments in South Carolina.

A. The chief elected official of the local government shall request certification from the SHPO. The request for certification shall include:

(1) A completed Certified Local Government application signed by the chief elected official.

(2) A copy of the local historic preservation ordinance as adopted by the local government that creates the historic preservation review commission and provides for designation and protection of historic districts and landmarks.

(3) A copy of the local commission's By-Laws and Rules of Procedure.

(4) A list and accompanying map(s) of the area(s) to which the ordinance applies.

(5) A list of resumes for the members of the historic preservation commission with mailing addresses and telephone numbers. The resumes should indicate members' expertise or interest in fields related to historic preservation. If the membership of the proposed commission does not meet the professional qualifications outlined in subsection 12-101B(2) above provide written documentation showing that a reasonable effort to obtain professional expertise has been made.

(6) List and resumes of pertinent local government staff members.

B. The SHPO shall respond to the chief elected official within forty-five calendar days of the receipt of an adequately documented written request. The state shall prepare a written certification agreement listing the responsibilities of the local government when certified, which will include: the four minimum responsibilities required by the federal law and regulations and by these state guidelines and any additional responsibilities that are mutually agreeable. Once the chief local elected official and SHPO have signed the certification agreement the SHPO will forward a request for concurrence to the National Park Service. The effective date of certification is the date of the Secretary's concurrence. If the request for concurrence cannot be affirmed as submitted, the National Park Service will notify the SHPO prior to fifteen working days after receipt of the request, and provide written notification of what is necessary for the request to be approved.

Substantive changes in Certification Agreements between the CLG and SHPO must be forwarded as a written amendment to the National Park Service for concurrence before the amendment may be considered in effect. The NPS will notify the SHPO of its decision in writing and send a copy to the CLG.

12-103. Process for Monitoring and Decertification of Certified Local Governments.

A. The SHPO shall conduct periodic review and monitoring of CLGs no less often than once every four years to assure that each government is fulfilling the CLG requirements and that each is performing its responsibilities in a manner consistent with the comprehensive state historic preservation planning process. The SHPO shall review the annual reports submitted by CLGs, records of the administration of grant funds allocated from the HPF, and other documents as necessary. The SHPO will notify the CLG in writing of the results of the evaluation.

B. If the SHPO evaluation indicates that the performance of a CLG is inadequate, the SHPO shall document that assessment and recommend in writing to the local government steps to bring its performance up to an acceptable level. The SHPO shall give the CLG a period of not less than thirty, or more than one hundred eighty days to implement improvements. If the SHPO determines that sufficient improvement has not occurred, the SHPO shall recommend decertification of the local government to the Secretary of the Interior. The SHPO must notify the CLG in writing prior to, or at the time of, its recommendation to the Secretary for decertification. The notification must state the specific reasons for the proposed decertification, describe the SHPO's technical assistance efforts, and affirm that the SHPO will notify the CLG of the NPS concurrence with the decertification. The NPS will notify the SHPO in writing within thirty working days after receipt of the recommendation, if there are problems with the recommendation or if the NPS needs more time to review it. The local government is decertified if the NPS concurs in writing with the SHPO's recommendation to decertify the CLG. The SHPO must inform the CLG in writing of the decertification. If the local government wishes to become recertified it must reapply for certification.

C. CLGs may petition the SHPO to be decertified voluntarily and without prejudice. The SHPO must forward a copy of the CLG's letter as an enclosure to the NPS along with the SHPO's request to decertify the CLG.

D. When a CLG which is administering a CLG grant is decertified, the SHPO will conduct financial assistance close out procedures for that grant as specified in the Historic Preservation Fund Grants Manual.

12-104. Transfer of Historic Preservation Fund (HPF) Allocations to Certified Local Governments.

A. In order to be eligible to receive a portion of the local share of the HPF allocation to South Carolina, DOI requires that each certified local government:

(1) Shall have adequate financial management systems which:

(a) meet federal standards of the Office of Management and Budget (OMB) Circular A-102, Attachment G, "Standards of Grantee Financial Management Systems";

(b) are auditable in accordance with federal Accounting Office Standards for Audit of Governmental Organization, Programs, Activities, and Functions and OMB Circular A-133 "Audit Requirements," (A copy of any audit of HPF funds must be sent to the SHPO.);

(c) are available for review and evaluation by the SHPO.

(2) Shall adhere to all requirements of the Historic Preservation Fund Grants Manual.

(3) Shall adhere to any requirements mandated by Congress pertaining to the HPF. The SHPO will advise CLGs of special directives regarding the use of HPF grants by local governments.

B. The SHPO is prepared to assist local governments in developing and implementing financial management systems that address the requirements listed above. The State is responsible, through financial audit, for the proper accounting of HPF CLG grant monies in accordance with OMB Circular A-133 "Audit Requirements."

(1) The local matching share of the South Carolina allocation for the HPF will be available to CLGs on at least a fifty percent reimbursable basis for HPF eligible historic preservation activities and projects. Currently, federal law provides that at least ten percent of the HPF allocation to South Carolina be set aside for distribution to CLGs. At such time as Congress may appropriate more than Sixty-five million dollars to the HPF, one half of the amount above Sixty-five million dollars shall also be transferred to CLGs according to procedures to be provided by the Secretary of the Interior.

(2) All CLGs are eligible to receive funding, but the SHPO is not required to award funds to all eligible governments. The intent is to use HPF assistance to augment rather than replace existing local commitment to historic preservation activities. CLG funds cannot be used as a substitute for existing local funding for historic preservation.

(3) Funded CLGs will be sub-grantees of the state. In no event will a grant be awarded which is insufficient to produce a specific product or impact. Any funds awarded must be used for HPF eligible activities and must be consistent with the grant selection criteria.

(4) Use of HPF funds will be limited by all existing federal and state restrictions and cannot usually be matched with federal funds. Exceptions are Community Development Block Grants. Additionally, only direct costs may be charged unless the CLG has a current indirect cost rate and the CLG meets specific requirements pertaining to cost rates in the Historic Preservation Fund Grants Manual.

(5) A CLG may use Pass-Through funds for activities involving historic or archaeological resources outside its jurisdiction if it meets qualifications listed in the Historic Preservation Fund Grants Manual. Activities that will occur outside the jurisdiction of the CLG need to demonstrate a direct benefit to identifying, evaluation, and protecting historic or archaeological resources of the CLG.

(6) Subgrants can be pooled by CLGs for specific purposes. To pool subgrants, all local governments must be certified, and one CLG designated as the administrator of the subgrant. Pooling of subgrants must follow the procedures outlined in the Historic Preservation Fund Grants Manual.

(7) CLG subgrants may be administered by a designated third-party if the CLG indicates in its funding application to the State that it wants any subgrant awarded to it to be administered by a specific organization. Third party administration shall follow requirements outlined in the Historic Preservation Fund Grants Manual.

12-105. Application for Pass-Through Funds.

A. Notice of the availability of these funds and funding applications will be sent to CLGs and interested local governments by the SHPO. The CLG funding application (and any resulting funding agreement) will include all specific special conditions and requirements placed on the annual funding allocation and its use. Materials distributed with the funding application will also include instructions to the applicants and a timetable for the grant cycle.

B. The chief elected official of a CLG shall submit an application to the SHPO which outlines the proposed grant activities products, schedule, and budget, including the source and amount of matching funds. Grant applications will be evaluated by the SHPO, based on selection criteria printed with the grant application notice, and submitted to the Archives and History Commission for selection. All applicants will be notified of their funding status.

12-106. Funding Priority.

The SHPO awards funds on a competitive basis to certified local governments based on program goals and priorities distributed with the application form. Priority will be given to projects that increase the capability and effectiveness of local governments to address historic preservation needs and issues. Basic funding goals will be identification, evaluation, nomination, and protection of historic resources. These may be accomplished through survey, nomination of properties to the National Register, establishment of local historic district(s), public education programs, planning studies, local historic preservation commission education and staffing, and development of comprehensive community-wide historic preservation plans, stabilization and weatherization of historic buildings, and similar preservation efforts. An effort will be made to distribute funds to a maximum number of eligible applicants and in as many areas, rural as well as urban, in the state as possible. The state shall make every effort to ensure that no CLG will receive a disproportionate share of the allocation. The requirement that tangible results be produced with HPF funds awarded cannot be waived. Rationale for applicants selected and amounts awarded will be made available to the public on request.

12-107. Certified Local Government Participation in the South Carolina National Register Nomination Process.

A. The SHPO will assist the CLG in encouraging the nomination of local properties eligible for listing in the National Register of Historic Places. The SHPO staff will provide instructions and review drafts of National Register nominations to ensure that they meet federal requirements. The SHPO may delegate to a CLG responsibilities related to processing National Register nominations. The SHPO may authorize the local preservation commission of a CLG to act for the State Review Board for the purpose of considering National Register nominations within the CLG's jurisdiction provided the commission meets the professional qualifications required for the State Review Board.

B. The CLG commission and the mayor or chief elected local official will receive between sixty and one hundred twenty days prior to the meeting of the State Review Board, a copy of the documentation for all National Register nomination(s) for property(ies) within its jurisdiction for their review and recommendation if they wish to comment. Should the SHPO receive, independent of a CLG commission, a completed nomination for a property within the CLG's jurisdiction to be considered for the National Register, the SHPO shall forward the information to the pertinent CLG commission and inform the chief elected local official, interested parties and the property owner(s) of the transmittal of the proposed nomination. Should the CLG receive a completed nomination, prepared independently of the SHPO, the chief elected local official will forward a copy of the nomination to the SHPO and inform the SHPO, interested parties and the owner(s) of the date the commission will make a recommendation. Federal agencies that nominate properties within their control are encouraged to notify the CLG, but are not required to do so.

C. Within sixty days of receipt of a completed nomination, after providing a reasonable opportunity for public comment, the chief elected local official will transmit the report of the commission along with the elected official's recommendation to the SHPO. If both the commission and the chief elected official recommend that a property not be nominated, the SHPO will take no further action, unless an appeal is filed with the State within thirty days in accordance with Section 101(C)(2) of the Act or as outlined in federal regulations 36 CFR 60.12. If the commission and/or the chief elected local official take no action or recommend that a property be nominated, the SHPO will present the nomination for review to the State Board of Review. With the agreement of the local commission, the state may expedite the process provided that there has been an opportunity for public participation in the local review process. The SHPO staff will assist the CLG with public information meetings concerning nominations.

D. The SHPO will notify all owners, interested parties, the CLG commission, and the chief elected local official between seventy-five and thirty days prior to the State Board of Review meeting at which the property will be considered.

E. Nominations reviewed and approved by the State Board of Review shall be forwarded by the SHPO to the Keeper of the National Register for final review and approval. Reports and recommendations made by a CLG for any property within its jurisdiction shall be included with nominations submitted by the State to the Keeper.

REHABILITATION OF DESIGNATED HISTORIC BUILDINGS

(Statutory Authority: 1976 Code Section 4-9-195(D))

12-120. Definitions.

A. "Act" means the legislation authorizing the governing bodies of counties and municipalities to grant special property tax assessments to "rehabilitated historic properties" and "low and moderate income properties."

B. "Appeals Committee" means a committee of the State Board of Review that shall include three or more members with two or more members representing the fields of architecture, architectural history, or related fields as appropriate.

C. "Board" means the State Board of Review, an advisory group that includes members representing the fields of archaeology, architecture, architectural history, and history. The Board may also include members representing such interests and skills as local government, private preservation organizations, law, geography, urban planning, and landscape architecture.

D. "Building" means a structure created to shelter any form of human activity, such as a house, barn, church, hotel, or similar structure. Building may refer to a historically related complex such as a courthouse and jail or a house and barn.

E. "Certified Local Government" means any local governing body that has been so designated by the Department with the concurrence of the National Park Service, United States Department of the Interior.

F. "Department" means the South Carolina Department of Archives and History.

G. "Expenditures for rehabilitation" means the actual costs of rehabilitation relating to one or more of the following:

1. Improvements located on or within the historic building as designated;

2. Improvements outside of but directly attached to the historic building which are necessary to make the building fully useable (such as vertical circulation) but shall not include rentable/habitable floorspace attributable to new construction;

3. Architectural and engineering services attributable to the design of the improvements; or

4. Costs necessary to maintain the historic character or integrity of the building.

H. "Historic Property" means tangible real property that has been granted historic designation by the local governing body.

I. "Local Governing Body" means county or municipal governments with jurisdiction over rehabilitated historic properties or low and moderate income rental properties seeking the special property tax assessments authorized by the act.

J. "Low and moderate income rental property" means property that provides accommodations under the Section 8 Program as defined in the United States Housing Act of 1937 and amended by the Housing and Community Act of 1974 for low and moderate income families and persons as defined by Section 31-13-170(p).

K. "National Register of Historic Places" means the list of districts, sites, buildings, structures, and objects significant in South Carolina history, architecture, archaeology, engineering, and culture, that is maintained by the Secretary of the United States Department of the Interior under authority of the National Historic Preservation Act.

L. "Rehabilitation" means the process of returning a building or buildings to a state of utility, through repair or alteration, which makes possible an efficient contemporary use while preserving those portions and features of the building(s) that are significant to its historic, architectural and cultural values.

12-121. Local Governing Body Certification.

A. General. The local governing body shall establish a system for certification of properties that are eligible under the act. The local governing body shall notify the county assessor, auditor, and treasurer that it has established the special property tax assessments and of any properties certified for the special property tax assessments.

B. Criteria for certification. The following criteria for certification must be met:

1. The property must be designated historic (see 12-122 and 12-123);

2. The rehabilitation work must be approved by the Department (see 12-124);

3. Within two years after receiving the approval of the rehabilitation plans by the Department, the owner or his estate rehabilitates the building, with expenditures for rehabilitation exceeding fifty percent of the appraised value of the building in the case of owner-occupied property, or with expenditures for rehabilitation exceeding the appraised value of the building in the case of income-producing real property;

4. The approval of the rehabilitation work must not be rescinded (see 12-124);

5. The rehabilitation must have commenced on the property after January 1, 1987; and

6. If the property is scheduled to receive special property tax assessment as a low and moderate income rental property and has been designated historic, the rehabilitation work must be approved by the Department (see 12-124).

C. Scope. The special property tax assessment of rehabilitated historic property shall apply to the building or structure that is rehabilitated, the real property on which the building is located, and additional real property surrounding the building or structure that has been determined significant to the historic character of the building by the local governing body.

D. Annual Application. Once the local governing body has granted the special property tax assessment authorized by the act and pursuant to these regulations, the owner of the property shall make application annually to the auditor to continue the special assessment.

12-122. Designation of Property as Historic.

A. General. The local governing body shall propose a system for designation of historic properties and submit it to the Department for approval. The Department reserves the right to verify compliance with the system for designation of historic properties. Certified Local Governments are not required to resubmit their system for designation of historic properties to the Department for review under this program.

B. Eligible Properties. The following categories of property may be designated historic by the local governing body:

1. Properties listed individually in the National Register of Historic Places;

2. Properties that contribute to a district listed in the National Register of Historic Places; or

3. Properties fifty or more years old that meet the local governing body's criteria for designation (see 12-123).

C. Moved buildings.

1. General. The Department discourages the moving of historic buildings from their original sites.

2. If a building already designated historic is to be moved as part of a rehabilitation project for which certification is sought, the owner must document that the building retains the characteristics that made it eligible for historic designation on the former site. The local governing body shall verify that the historic building retains those qualities on its new site.

3. If a building not yet designated historic is to be moved as part of a rehabilitation project for which certification is sought, the local governing body shall determine whether the building meets its criteria for designation on its new site.

4. If a building listed in the National Register of Historic Places is to be moved as part of a rehabilitation project for which certification is sought, there are specific federal procedures that must be followed so that the building remains listed. The owner should contact the Department early in the planning process if moving is a necessary step in their project.

D. Removal of Historic Designation.

1. The local governing body may remove the historic designation if the property no longer possesses the qualities that made it eligible for designation.

2. In the case that a property had been designated historic based on its listing in the National Register of Historic Places and the property is removed from the National Register, one of the following must occur:

a. The property must be designated historic based on the local criteria; or

b. The property loses the historic designation as of the date of removal from the National Register of Historic Places.

3. The date of the removal of historic designation shall be the basis for the date of the end of the special property tax assessment.

E. Technical Assistance. The Department shall provide technical assistance and advice, upon request, to the local governing body in carrying out the responsibilities under this regulation.

12-123. Criteria for Designation.

A. General. The local governing body shall establish criteria for designation of historic properties.

B. Categories of Significance. Categories of significance for the criteria may include but are not limited to the following:

1. Architecture;

2. Culture;

3. Engineering; or

4. History.

C. Model Criteria and Technical Assistance. The Department shall provide model criteria, technical assistance, and advice, upon request, to the local governing body in carrying out the responsibilities under this regulation.

12-124. Review of Rehabilitation Work.

A. General. The owner of any property seeking approval of rehabilitation work pursuant to the certification process of a local government (see 12-121) shall comply with the procedures described in this regulation. The owner shall submit a completed Rehabilitated Historic Property Application with supporting documentation. A fee is charged for the review of rehabilitation work by the Department. No decisions will be issued by the Department until the fee is received. The review of rehabilitation work is based on the Standards for Rehabilitation (see 12-125). Owners are strongly encouraged to submit the application prior to undertaking any rehabilitation work. Owners who undertake rehabilitation projects without prior approval from the Department do so at their own risk. The final determination of the Department is based on the completed work.

B. Rehabilitated Historic Property Application.

1. Part A --Preliminary Review Form, shall be used by the owner to describe the historic significance of the building, and to request preliminary approval of proposed rehabilitation work.

2. Part B --Final Review Form, shall be used by the owner to request final approval of completed rehabilitation work when the Department has already issued preliminary approval.

3. Part A and B shall be used by the owner to request final approval of completed rehabilitation work when the Department has not issued preliminary approval.

C. Fee.

1. General. A $100.00 application fee must accompany each application for review. Fees are payable only by cashier's check. Checks should be made payable to the South Carolina Department of Archives and History. All fees are non-refundable.

2. Each rehabilitation of a separate historic building will generally be considered a separate project for the purposes of the fee.

3. In the case of a rehabilitation project that includes more than one historic building where the structures are judged by the Department to have been functionally related historically to serve an overall purpose, the fee shall be $100.00.

4. In jurisdictions where the Department has delegated the approval responsibility to a local governing body, the local governing body shall receive the application fee.

D. Review Process.

1. General. Upon receipt of the complete application describing the rehabilitation project, the Department shall determine if the project is consistent with the Standards for Rehabilitation. The Department shall notify the owner of this determination in writing. If the project does not meet the Standards for Rehabilitation, the owner shall, where possible, also be advised of necessary revisions to meet such Standards. The owner may appeal the Department's determination that a rehabilitation project does not meet the Standards for Rehabilitation.

2. Once a project has received preliminary approval, substantive changes in the work described in the application must be brought promptly to the attention of the Department by written statement to ensure continued conformance with the Standards for Rehabilitation; such changes should be described on an Amendment/Continuation Sheet as provided by the Department. The Department shall determine if the proposed changes are consistent with the Standards for Rehabilitation and notify the owner in writing.

3. Approval of Part B-Final Review Form--verifies that the completed rehabilitation meets the Standards for Rehabilitation and constitutes final approval of the rehabilitation work by the Department.

4. Completed projects may be inspected by an authorized representative of the Department to determine if the work is consistent with the Standards for Rehabilitation. After the Department's final approval has been issued, the owner shall notify the Department of any additional work.

E. Appeal. An appeal of a denial decision by the Department or its designee may be made by the owner, according to the procedure described in this section. The owner shall request the consideration of the Appeals Committee. In the case where the owner desires additional consideration, the final administrative appeal shall be to the Board.

1. The owner shall submit an appeal request in writing to the Deputy State Historic Preservation Officer, South Carolina Department of Archives and History, PO Box 11669, Columbia, SC 29211, within thirty days of receipt of the decision which is the subject of the appeal.

2. The Appeals Committee shall consider the appeal, based on the application, information in the files of the Department, and additional information (if any) provided. In considering the appeal the Appeals Committee shall take into account alleged errors in professional judgment or alleged prejudicial procedural errors by Department officials. The decision of the Appeals Committee may;

a. Reverse the appealed decision;

b. Affirm the appealed decision; or

c. Resubmit the matter to the Department for further consideration.

3. Only after the Appeals Committee has provided the owner a decision in writing, may the appellant request the consideration of the decision by the Board. The process of the appeal to the Board shall be as described in subsections E(1) and (2) above.

4. The decision of the Board shall be the final administrative decision on the appeal.

F. Additional Work.

1. Additional work on the property, other than ordinary maintenance and/or repair with matching materials, done after the Department's approval and before the expiration of the ten years of special property tax assessment shall be brought to the attention of the Department.

2. Upon receipt of the complete information describing the additional work, the Department shall determine if the overall project remains consistent with the Standards for Rehabilitation. The Department shall notify the owner of this determination in writing.

3. If the overall project does not meet the Standards for Rehabilitation, the owner shall be notified in writing that the Department intends to rescind its approval of the project. The owner may then withdraw the request and revise the work in consultation with the Department. The rescission shall be effective thirty days after the date of the Department's letter, unless the owner has withdrawn the proposal.

4. The Department shall notify the local governing body in writing of the decision to rescind approval of the rehabilitation work.

5. The effective date of the rescission by the Department shall be the basis for the end date of the special property tax assessment.

12-125. Standards for Rehabilitation.

A. A property shall be used for its historic purpose or be placed in a new use that requires minimal change to the defining characteristics of the building and its site and environment.

B. The historic character of a property shall be retained and preserved. The removal of historic materials or alteration of features and spaces that characterize a property shall be avoided.

C. Each property shall be recognized as a physical record of its time, place, and use. Changes that create a false sense of historical development, such as adding conjectural features or architectural elements from other buildings, shall not be undertaken.

D. Most properties change over time; those changes that have acquired historic significance in their own right shall be retained and preserved.

E. Distinctive features, finishes, and construction techniques or examples of craftsmanship that characterize a property shall be preserved.

F. Deteriorated historic features shall be repaired rather than replaced. Where the severity of deterioration requires replacement of a distinctive feature, the new feature shall match the old in design, color, texture, and other visual qualities and, where possible, materials. Replacement of missing features shall be substantiated by documentary, physical, or pictorial evidence.

G. Chemical or physical treatments, such as sandblasting, that cause damage to historic materials shall not be used. The surface cleaning of structures, if appropriate, shall be undertaken using the gentlest means possible.

H. Significant archaeological resources affected by a project shall be protected and preserved. If such resources must be disturbed, mitigation measures shall be undertaken.

I. New additions, exterior alterations, or related new construction shall not destroy historic materials that characterize the property. The new work shall be differentiated from the old and shall be compatible with the massing, size, scale, and architectural features to protect the historic integrity of the property and its environment.

J. New additions and adjacent or related new construction shall be undertaken in such a manner that if removed in the future, the essential form and integrity of the historic property and its environment would be unimpaired.

12-126. Delegation of Authority to Review Rehabilitation Work.

A. The Department may delegate its authority to review rehabilitation work by written agreement to a designated local governing body with staff professionally qualified in the fields of architectural history, historic architecture, or related fields as appropriate.

B. The local governing body shall use the procedures described in these regulations to review projects. The Department reserves the right to verify compliance with these regulations by the local governing body.

C. Technical Assistance. The Department shall provide technical assistance and advice, upon request, to the local governing body in carrying out the responsibilities under this regulation.

D. The delegation of review authority shall remain in effect provided that both parties fulfill the conditions of the written agreement. The agreement may be terminated by written notice from either party.

(Statutory Authority: Title 30, Chapter 1, Public Records Act)

12-200. Introduction.

The South Carolina Department of Archives and History (hereinafter called the Department) has the responsibility under the Public Records Act (Code of Laws of South Carolina, 1976. Section 30-1-10 through 30-1-140) to establish quality standards for microfilming and microfilm records. The Uniform Photographic Copies of Business and Public Records as Evidence Act (Acts and Joint Resolutions of the General Assembly of the State of South Carolina, Regular Session of 1978, pages 1632-34) authorizes the use of microfilm for legal purposes. The purpose of these standards is to enable the requirements of both statutes to be met and records determined to have archival or long-term retention value to be safeguarded. Some records of short-term retention value are converted to microfilm to save space or to provide quick retrieval. Minimum standards for microfilm of these short-term records are also provided here.

These quality standards for the microfilming of public records in South Carolina are derived from applicable Federal Micrographics Standards published in 36 Code of Federal Regulations, Chapter XII, Subchapter B. See the Microfilm Standards Attachment accompanying the Department's standards for reference. In general, section 1230.4 Definitions, and portions of Subpart A--Standards for Creation of Microform Records and Subpart B--Standards for the Maintenance, Use and Disposition of Microform Records of Part 1230--Micrographics, published in the Federal Register, Vol. 50, No. 125, pp. 26935-26937 are referred to in the South Carolina standards and practices which are divided into three sections below for convenience in reference and application. Where there are differences between the two, in the density ranges for example, the State standards are preferred.

The State standards are divided into the following sections:

General Standards and Practices for the Microfilming of Public Records (applicable to all public records filmed or converted to microfilm regardless of retention value).

Standards and Practices for Records of Archival Value (Perpetual Retention) and Records of Long-term Retention Value (10-100 years).

Standards and Practices for Records of Short-term Retention Value (less than 10 years).

12-201. General Standards and Practices for the Microfilming of Public Records.

The following General Standards and Practices will apply to the microfilming of all public records or confidential/restricted records created in the conduct of carrying out the responsibilities of a state or local government agency, department or institution.

A. Legibility of Microfilm Copy

The legibility of the microfilm copy shall include all the detail of the record copies. Microfilm copies shall be of proper exposure and of sufficient quality to be read on a reader screen and reproduced as a legible paper copy, according to the intended use. Intended use will determine the resolution pattern to be met as explained in section 12-202C below.

B. Identification of Records Filmed

Each microfilm roll or other microform shall be adequately identified on the actual film or unit record and on the container used to store or file the microcopy. Identification of each roll or microform shall include an eye-readable roll or unit number and the reduction ratios used for each roll or unit. (See Appendix 1.) The title of the series, file or book(s) on the roll or unit, the inclusive dates of the records filmed, and the case or file numbers should be included on the camera original film. If this cannot be done for technical reasons, the information must be included on the certificate of authenticity to be filmed at the end of the roll or unit. (See Appendix B for an example of the certificate.)

C. Microfilm Records Retrieval

Indexes or other acceptable retrieval systems are required for archival and long-term value microfilmed records. No security microfilm shall be acceptable without a workable retrieval system or index. Indexes to microfilmed records may be automated or manual, but all microfilmed records must be readily accessible from a microfilm or paper copy finding aid, regardless of the type retrieval system used.

D. Text Charts for Microfilm Quality Control

Each exposed microfilm roll or microform shall include resolution charts to test for the legibility of the filmed records. (See Appendix 2.) Photostatic or electrostatic copies of resolution charts cannot be substituted for approved printed test charts from the National Bureau of Standards or other acceptable suppliers. Approved resolution charts and density test patches of known reflectance value shall be used from roll to roll or film unit at the beginning, end, and preferably, the middle of each roll or unit.

E. Certification and Authentication of Records Filmed

1. A "Declaration of Intent and Purpose" or its equivalent will be prepared and signed by the official custodian of the records or the designated records officer of the filming state agency or political subdivision (local government) office and filmed at the beginning of each roll or microfilm unit. Any substitute proposed for the Declaration shall be approved in advance by the Department. (See Appendix A for the approved form.)

2. A "Certificate of Authenticity" will be prepared and signed by the camera operator and filmed at the end of each roll or subdivision of a filmed series or microfilm unit. Any substitute for this certificate shall be approved by the Department. (See Appendix B for the approved certificate.)

3. Any splice between the filmed records sequence will be accounted for and certified by the camera operator to be part of the original filmed record or file series.

F. Visual Inspection of Microfilm Copies

1. All microfilm rolls or other microforms shall be inspected to determine the legibility of the film, the correctness of order of filming, and all possible defects or errors in the film. The inspection results shall be reported on the form provided. (See Appendix C-1 and C-2.)

2. To prevent scratches and other damage to the film, the camera silver emulsion original or alternative security copy of the microfilm shall not be placed on a microfilm reader to inspect the film. If the camera original or the alternative security copy has to be checked on a microfilm reader and the film emulsion and/or base is scratched or damaged sufficiently to require replacement, a direct duplicate which meets the approved Standards must be substituted as the security copy. If there is any loss of the image text or document as a result of damage or scratching of the film, the source document or documents must be refilmed to meet the required standards. An exception to this is the camera original of records of short-term value for which no security or back up film copy is needed.

G. Microfilming Equipment

1. Microfilming equipment, including cameras and processing, duplicating, and testing equipment, used to produce microfilm images for state or local government agencies must be demonstrably capable of meeting these microfilm standards.

2. Acquisition of new microfilm equipment subject to the provisions of the South Carolina Consolidated Procurement Code (1976 Code, 1984 Cumulative Supplement, Sections 11-35-20 to 11-35-1240 and Rules and Regulations, 19.445.2000 to 19.445.2130 or as amended) must be approved by the Information Technology Planning and Management Office of the Division of Research and Statistical Services of the State Budget and Control Board, and be reviewed by the Department before purchase is made. When local governments have adopted ordinances to use the State Procurement Code or its equivalent, the requirements which apply to information technology equipment purchases must be followed.

3. All contracts for microfilming equipment agreed to by state or local government agencies should specify that the equipment can be returned to the vendor for full credit at the agreed upon purchase price if it does not meet the standards required for the application. Whether the equipment meets such standards must be determined within 30 days after the testing operation begins, following delivery and installation. State and local government agencies should submit test strips for evaluation to the Department's Microfilm Services division before the 30 day period ends to determine whether to accept the new equipment. Any modifications to new microfilming equipment before final acceptance to enable such equipment to meet required standards must be made at no cost to the purchaser and with no alteration of service contracts or manufacturer's warranties.

12-202. Standards and Practices for Records of Archival Value and Long-Term Retention Value.

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.

Excellent Quality Acceptable Quality

Film Generation [FN*] Resolution Pattern Resolution Pattern

1 4.0 2.5

2 4.5 2.8

3 5.0 3.2

4 5.6 3.6

5 6.3 4.0

[FN*] The ability to reproduce to three (3) film generations is the minimum

number required for archival film security copies.

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.

a. Microfilm Resolution Patterns for Records

of Archival (Perpetual) Value Requiring

Reproduction to 4 Generations [FN**]

Reduction Ratio Smallest NBS Pattern Read

8X 10.0

10X 8.0

12X 7.1

16X 5.6

20X 5.0

24X 4.5

26X 4.5

28X 4.5

30X 4.0

32X 4.0

36X 3.6

[FN**] If the microfilm application requires a paper print from the third

generation copy, the patterns listed are required for a legible print.

b. Microfilm Resolution Patterns for Records

of Long-term Value Requiring

Reproduction to 3 Generations

Reduction Ratio Smallest NBS Pattern Read

8X 8.0

10X 6.3

12X 6.3

16X 5.0

20X 4.5

24X 4.0

26X 4.0

28X 4.0

30X 3.6

32X 3.6

36X 3.2

c. Microfilm Resolution Patterns for Records

of Long-term Value Requiring Reproduction

to 2 Generations

Reduction Ratio Smallest NBS Pattern Read

8X 7.1

10X 5.6

12X 5.6

16X 4.5

20X 4.0

24X 3.6

26X 3.6

28X 3.6

30X 3.2

32X 3.2

36X 2.8

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.

a. Microfilm Resolution Patterns for

Engineering Drawings of Archival

Value

8X 10.0

12X 8.0

16X 7.1

20X 5.6

24X 5.0

28X 4.5

30X 4.5

36X 4.0

[FN1] Diazo, vesicular, other non-silver or dry silver microforms are not acceptable as security copies of engineering drawings of archival value.

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]

[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.

Acceptable

Background

Description of Documents Density Range

a. periodicals, dense typing, and high quality printed books 1.00 to 1.30

b. pencil writing with a soft lead, documents with small 0.95 to 1.25

writing

c. graph paper with pale, fine-colored lines and very small 0.90 to 1.20

printing such as footnotes, faded printing, and pencil

drawings

d. poorly printed faint documents and very weak pencil 0.85 to 1.10

manuscripts and drawings

e. old, faded ink documents on discolored paper with very 0.70 to 1.00

little contrast between the handwriting and the background

f. high contrast drawings or writing on mylar filmed with back 1.30 to 1.60

lighting

g. low contrast writing on mylar filmed with back lighting 1.00 to 1.30

h. non-white documents with black and non-black printing 0.80 to 1.10

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.

12-203. Standards and Practices for Microfilming Records of Short-Term Retention Value.

A. Short-Term Value Records

SHORT-TERM RETENTION VALUE microfilm records are filmed records that have to be kept less than ten years as determined by a duly approved Records Series Retention/Disposition Schedule or the equivalent. The fiscal, legal, reference, or administrative value is of short-term duration, but for reasons such as volume or bulk, the paper records are converted to microfilm.

B. Camera Microfilm Resolution

1. Silver halide or other films legible on a microfilm reader and from a paper copy made from a reader-printer are acceptable.

2. Resolution charts should be filmed as an aid in maintaining equipment specifications.

C. Density

No test is required, but the film must be legible when viewed on a microfilm reader.

D. Base Plus Fog Density

No test required.

E. Processing

The film must be developed in a processor that will insure legibility of the film. There is no absolute requirement for the microfilm processor to have a separate tank or container for the thiosulfate (fixer) when processing film of short-term retention value, but it is advisable to take this extra precaution whenever possible if the film is expected to last for a few years.

F. Security Film

Security copy film must be safety base film of such quality as to be capable of producing two generations of legible film. Silver-gelatin film must be used for security copies to be stored in the State Records Center film vault. The security copy must meet the requirements for: (1) processing of camera exposed film and (2) storage requirements for security microfilm as outlined in the section for archival and long-term value film above.

G. Destruction of Records

Short-term value records that have been microfilmed or converted to film may be disposed of after the Microfilm Quality Certification for Records Disposition Form (see Appendix D-1 and D-2) has been completed and approved by the state agency or political subdivision office or agency and the Department, as specified in a duly approved Records Series Retention/Disposition Schedule or its equivalent.

Microfilm Standards Attachment

MICROFILM STANDARDS ATTACHMENT

(50 Fed. Reg. 26935, June 28, 1985)

1228.188. Machine-readable records.

(a) Magnetic tape. Computer magnetic tape is a fragile medium, highly susceptible to the generation of error by improper care and handling. To ensure that permanently valuable information stored on magnetic tape is preserved, Federal agencies should schedule files for disposition as soon as possible after the tapes are written. When NARA has determined that a file is worthy of preservation, the agency should transfer the file to the National Archives as soon as it becomes inactive or whenever the agency cannot provide proper care and handling of the tapes (see Part 1234 of this chapter) to guarantee the preservation of the information they contain. The tapes to be transferred to the National Archives shall be on one-half inch 7 or 9 track tape reels, written in ASCII or EBCDIC, with all extraneous control characters removed from the data (except record length indicators for variable length records, or marks designating a datum, word, field, block, or file), blocked no higher than 30,000 bytes per block, at 800, 1600, or 6250 bpi. The tapes on which the data are recorded shall be new or recertified tapes (see Part 1234 of this chapter) which have been passed over a type cleaner before writing and shall be rewound under controlled tension.

(b) Other magnetic media. When a machine-readable file that has been designated for preservation by NARA is maintained on a direct access storage device, the file shall be written on new or recertified one-half inch 7 or 9 track tapes, written in ASCII or EBCDIC, with all extraneous control characters removed from the data (except record length indicators for variable length records, or marks designating a datum, word, field, block, or file), blocked no higher than 30,000 bytes per block, at 800, 1600, or 6250 bpi. This copy shall be transferred to the National Archives.

(c) Documentation. Documentation adequate for servicing and interpreting machine-readable records that have been designated for preservation by NARA shall be transferred with them. This documentation shall include, but not necessarily be limited to completed Standard Form 277, Computer Magnetic Tape File Properties, or its equivalent. Where it has been necessary to strip data of extraneous control characters (see paragraphs (a) and (b) of this section), the codebook specifications defining the data elements and their values must match the new format of the data. Guidelines for determining adequate documentation may be obtained from the Office of Records Administration (mailing address: National Archives (NI), Washington, DC 20408). Section 1228.198 is amended by removing in paragraph (b) the words "Regional Archives" and by revising paragraph (a) to read:

1228.198. Use of records transferred to the National Archives.

(a) In accordance with 44 U.S.C. 2108, restrictions lawfully imposed on the use of transferred records will be observed and enforced by NARA to the extent that they do not violate 5 U.S.C. 552. Statutory and other restrictions on transferred records remain in force until the records have been in existence for 30 years, unless the Archivist of the United States, after consulting with the head of the transferring agency, determines that the restrictions shall remain in force for a longer period of time for specific bodies of records. The regulations in Subchapters B and C of this title, insofar as they relate to the use of records in the National Archives or in a Federal records center, apply to official use of the records by Federal agencies as well as to the public. * * * * * 15. Parts 1230, 1232, 1234, and 1238 are added to read as follows:

PART 1230--MICROGRAPHICS

Authority: 44 U.S.C. 2907, 3302 and 3312

1230.1. Scope of part.

This part provides standards for using micrographic technology in the creation, use, storage, retrieval, preservation, and disposition of Federal records. Agencies should also consult 41 CFR Subpart 201-45.1 for GSA requirements relating to micrographic records management programs.

1230.2. Authority.

As provided in 44 U.S.C. Chapters 29 and 33, the Archivist of the United States is authorized to establish standards for the photographic and micrographic production and reproduction of records by Federal agencies with a view to disposal of the original records; to establish uniform standards within the Government for the storage, use, and disposition of processed microfilm records; and to establish, maintain, and operate centralized microfilming services for Federal agencies.

1230.4. Definitions.

For the purpose of this part, the following definitions shall apply;

Archival microfilm. Silver halide microfilm meeting the requirements of Federal Standard No. 125D, Film, Photographic and Film, Photographic Processed (for permanent records use); American National Standards Institute (ANSI) Standard PH1.25-1984 Safety Photographic Film, Specification for; PH1.28-1984 Photographic Film for Archival Records, Silver Gelatin Type on Cellulose Ester Base, Specifications for; PH1.41-1984 Photographic Film for Archival Records, Silver Gelatin Type on Polyester Base, Specifications for; when tested by ANSI Standard PH4.8-1984, Methylene Blue Method for Measuring Thiosulfate and Silver Densitometric Method for Measuring Residual Chemicals in Films, Plates, and Papers; and stored in accordance with ANSI Standard PH1.43-1983, Storage of Processed Safety Photographic Film, Practices for.

Computer Output Microfilm (COM). Microfilm containing data produced by a recorder from computer generated signals.

Facility. for equipment and operations required in the production or reproduction of microforms either for internal use or for the use of other organizational elements of the Federal Government.

(a) Microfilm. [Raw exposed and unprocessed] film with characteristics that make it suitable for use in micrographics;

(b) The process of recording microimages on film; and

(c) A fine-grain, high-resolution photographic film containing an image greatly reduced in size from the original.

Microform. A term used for any form containing microimages.

Microimage. A unit of information, such as a page of text or a drawing, that has been made too small to be read without magnification.

Permanent record. Any record (see definition in 44 U.S.C. 3301) that has been determined by the Archivist of the United States to have sufficient historical or other value to warrant its continued preservation by the Government.

Unscheduled records. Any record that has not been appraised by NARA, i.e., a record that has neither been approved for disposal nor designated as permanent by the Archivist of the United States.

SUBPART A--Standards for Creation of Microform Records

1230.10. Authorization.

(a) Agencies proposing to microfilm permanent records or unscheduled records shall submit Standard Form (SF) 115, Request for Records Disposition Authority, in accordance with Part 1228 of this chapter. The SF 115 shall provide for the disposition of original records and microforms.

(1) Agencies proposing microfilming methods and procedures meeting the standards in Section 1230.14 shall include on the SF 115 the following certification: "This certifies that the records described on this form will be microfilmed in accordance with the standards set forth in 36 CFR Part 1230."

(2) Agencies having proposed microfilming methods and procedures that do not meet the standards in Section 1230.14 shall include on the SF 115 a description of the system and standards proposed for use.

(b) The approved retention period for temporary records shall be applied to microform copies of those records; the original records shall be destroyed upon verification of the microfilm, unless legal requirements preclude early destruction of the originals. NARA approval is not required prior to implementation of this provision.

(c) Agencies proposing to retain and store the silver original microforms of permanent records after disposal of the original records shall include on the SF 115 a statement that storage conditions shall adhere to the standards of Section 1230.20. Such agencies shall also indicate when the first inspection of microfilm required by Section 1230.22 will be conducted.

1230.12. Preparation.

(a) The integrity of the original records authorized for disposal shall be maintained by ensuring that the original microforms are adequate substitutes for the original records and serve the purpose for which such records were created or maintained. Copies shall be complete and contain all record information shown on the originals.

(b) The records shall be arranged, identified, and indexed so that any individual document or component of the records can be located. At a minimum, the records shall include information identifying the agency and organization; the title of the records; the number or identifier for each unit of film; the security classification, if any; and the inclusive dates, names, or other data identifying the records to be included on a unit of film.

1230.14. Microfilming.

(a) Film stock standards. The film stock used to make microforms of permanent records for the purpose of disposal of the original shall conform to Federal Standard No. 125D and be on safety-base permanent record film as specified in ANSI PH1.25-1984, Safety Photographic Film, Specifications for; PH1.28-1984, Photographic Film for Archival Records, Silver Gelatin Type on Polyester Base, Specifications for; and tested according to PH1.29-1971, Curl of Photographic Film, Methods for Determining the; and PH1.31-1973, Brittleness of Photographic Film, Method of Determining the. Procedures for testing are covered in Federal Standard No. 170B, Film Photographic, Black and White, Classification and Testing Methods, which cites ANSI standards. To ensure protection for permanent records, agencies using microfilm systems which do not produce silver halide originals meeting these standards shall submit with the SF 115 required by Section 1230.10 a schedule for the production of silver duplicates meeting the standards.

(b) Index placement. All indexes, registers, or other finding aids, if microfilmed, shall be placed in the first frames at the beginning of a roll of film or in the last frames of a microfiche or microfilm jacket. Computer-generated microforms shall have the indexes following the data on a roll of film or in the last frames of a microfiche or microfilm jacket. Other index locations may be used only if dictated by special system constraints.

(c) Original permanent microfilm records. Systems that produce original permanent records on microfilm with no paper original; e.g., COM, shall be designed so that they produce microfilm which meets the standards of this section.

(d)(1) Microfilm Processing. Microfilms of permanent records where the original will be disposed of shall be processed so that the residual thiosulfate ion concentration will not exceed 0.007 grams per meter in a clear area. Agencies or services that conduct tests for Federal agencies shall meet this requirement by performing the methylene blue test specified in ANSI PH4.8-1984.

(2) If the processing is to be of the reversal type, it shall be full photographic reversal; i.e., develop, bleach, expose, develop, fix, and wash.

(e)(1) Quality Standards. The method for determining minimum resolution on microforms of source documents shall conform to the Quality Index Method for determining resolution and anticipated losses when duplicating as described in the Association for Information and Image Management (AIIM) Recommended Practice MS104.

(i) For permanent records, a Quality Index of five is required at the third generation level.

(ii) For nonpermanent records, a Quality Index of five is required at the level of the specific number of generations used in the system.

(iii) Resolution tests shall be performed using the NBS 1010a Microcopy Resolution Test Chart or equal and the patterns will be read following the instructions provided with the chart.

(iv) The character used to determine the height used in the Quality Index formula shall be the smallest character used to display record information.

(2) The background photographic densities on microforms shall be appropriate to the type of documents being filmed. Recommended background densities are as follows:

-------------------------------------------------------------------------------

Background

Classification Description of documents density

-------------------------------------------------------------------------------

Group 1 ...... High-quality printed books, periodicals, and dense 1.1-1.3

typing.

Group 2 ...... Fine-line originals, letters typed with a worn 1.0-1.1

ribbon, pencil writing with a soft lead, and

documents with small printing.

Group 3 ...... Pencil drawings, faded printing, graph paper with .90-1.0

pale, fine colored lines, and very small printing

such as footnotes.

Group 4 ...... Very weak pencil manuscripts and drawings, and .80-.90

poorly printed, faint documents.

Group 5 ...... COM ............................................... 1.2-1.5

-------------------------------------------------------------------------------

The procedure for density measurement is described in AIIM Recommended Practice MS104-1972.

(3) Computer Output Microforms shall meet the AIIM Standard MSI-1971, Quality Standards for Computer Output Microfilm.

(f)(1) Microforms and formats. The following formats are mandatory standards for microforms produced by or for Federal agencies:

(i) The formats described in ANSI Standard MS14-1978, Specifications for 16 and 35mm Microfilms in Roll Form, shall be used for microfilming source documents on 16mm roll film. A reduction ratio of 24:1 shall be used whenever document size permits.

(ii) The formats described in ANSI Standard MS14-1978, Specifications for 16 and 35mm Microfilms in Roll Film, shall be used for microfilming source documents on 35mm roll film. When microfilming on 35mm film for aperture card applications, format 2 prescribed in MIL-STD 399A, Military Standard Microform Formats, shall be mandatory.

(iii) Format 3 prescribed in MIL-STD 399A shall be used for aperture cards.

(iv) For microfilming source documents on microfiche, the formats prescribed in MIL-STD 399A and the standards and specifications referenced therein shall be used where appropriate for the size of documents being filmed.

(v) Mandatory Federal COM format standards are contained in Federal Information Processing Standards (FIPS) Publication Number 54.

(2) The outside dimensions for microfilm jackets shall be 148.00 +" 0.00 - 1.00mm × 105.00 +" 0.00 -0.75mm.

(g) Microfilm duplicating. The production of more than 250 duplicates from an original microform, i.e., one roll of microfilm 100 feet in length or one microfiche, requires the approval of the Joint Committee on Printing, as set forth in the Government Printing and Binding Regulations. Administrative records and accounting reports are exempted from this requirement.

SUBPART B--Standards for the Maintenance, Use, and Disposition of Microform Records

1230.20. Storage.

Nonpermanent microform records can be safely maintained under the same conditions as most paper records. The following standards as specified in ANSI PH1.43-1983 are required for storing permanent record microforms:

(a) Roll form. Microforms stored in roll form shall be wound on cores or reels made of noncorroding materials such as nonferrous metals or inert plastics. Other metals may be used provided that they are coated with a corrosion-resistant finish. Plastics and coated metals that may exude fumes during storage shall not be used for confining film on reels or cores. If paper bands are used, the paper shall meet the specifications of ANSI PH1.53-1984.

(b) Storage containers. Storage containers for microforms shall be made of inert materials such as metal or plastic. Containers made of paper products should be avoided unless the conditions prescribed in ANSI Standard PH1.53-1984 are met. The containers shall be closed to protect the microforms from environmental impurities and improper humidities.

(c) Storage rooms. Storage rooms or vaults for archival microforms shall be fire-resistant and must not be used for other purposes such as office space, working areas, or storage of other materials. The National Fire Protection Association (NFPA) publication NFPA 232, Protection of Records, provides further guidance. Protection from damage by water shall be accomplished by storing permanent record microforms above reasonably anticipated flood stages.

(d)(1) Environmental Conditions Required. The relative humidity of the storage room or vault shall range from 20 to 40 percent with an optimum of 30 percent. Rapid and wide-ranging humidity changes will be avoided and shall not exceed a 5 percent change in a 24-hour period.

(2) Temperature shall not exceed 70 ° F. Rapid and wide-ranging temperature changes shall be avoided and shall not exceed a 5 percent change in a 24-hour period. A storage temperature of 35 ° F, or below should be used for color film.

(3) Solid particles, which may abrade film or react with the image, shall be removed by mechanical filters from air supplied to housings or rooms used for archival storage. The mechanical filters are preferably of dry media type having an arrestance or cleaning efficiency of not less than 85 percent as determined by the stain test described in ASHRAE Standard 52-68 (11).

(4) Gaseous impurities such as peroxides, oxidizing agents, sulphur dioxide, hydrogen sulfide, and others which cause deterioration of microforms shall be removed from the air by suitable washers or absorbers. Archival microforms shall not be stored in the same room with nonsilver gelatin films. They also shall not be stored in another room using the same ventilation system because gases given off by the other films may damage or destroy the images on the silver archival films.

1230.22. Inspection.

(a) Master films of permanent record microforms and records microfilmed to dispose of the original record shall be inspected every 2 years during their scheduled life. The inspection shall be made using a 1 percent randomly selected sample in the following categories: 70 percent--microforms not previously tested, 20 percent--microforms tested in the last inspection, and 10 percent--control group. The control group shall represent samples of microforms from the oldest microforms filmed through the most current. The results of the inspection shall be reported to the Office of Records Administration, National Archives (NI), Washington, DC 20408, 30 days after the inspection is completed. Reports shall include (1) the quantity of microform records on hand; i.e., number of rolls and number of microfiche; (2) the quantity of microforms inspected; (3) the condition of the microforms; (4) any defects discovered; and (5) corrective action taken.

(b) The elements of the inspection shall consist of (1) an inspection for aging blemishes following the guidelines in the National Bureau of Standards Handbook 96, Inspection of Processed Photographic Record Films for Aging Blemishes; (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 shown in Section 1230.10.

(c) An inspection log shall be maintained. Information to be contained in the log shall include (1) a complete description of all records tested (title; number or identifier for each unit of film; and inclusive dates, names, or other data identifying the records on the unit of film); (2) the record category; i.e., newly tested, previously tested, or control group; (3) the date of inspection; (4) the elements of inspection; (5) the defects uncovered; and (6) the corrective action taken. In addition, the log shall contain the results of all archival film tests required by Section 1230.14.

(d) An agency having in its custody a master microform that is deteriorating, as shown by the inspection, shall prepare a silver duplicate to replace the deteriorating master.

(e) Agencies are responsible for the inspection of agency microfilm records transferred to Federal records centers.

1230.24. Use of microform records.

(a) The master microform shall not be used for reference purposes. Duplicates shall be used for reference and for further duplication on a recurring basis or for large-scale duplication, as for distribution of records on microform. Agency procedures shall ensure that master microforms remain clean and undamaged during the duplication process.

(b) Agencies retaining the original record in accordance with an approved records disposition schedule may apply agency standards for the use of microform records.

APPENDIX 1

APPENDIX 2

APPENDIX A

DECLARATION OF INTENT

AND PURPOSE

I, _______________________, the records officer or authorized representative

(Name)

of ________________________________ do hereby declare that the record series

(Agency or political subdivision

and Office)

_______________________________________________________________________________

_______________________________________________________________________________

microfilmed herein, are actual records of the _________________________________

_______________________________________________________________________________

created during its normal course of business. The destruction or other

disposition of these microphotographed records is only to be accomplished in

accordance with the Code of Laws of South Carolina, 1976, Title 30, Chapter

1, sections 30-1-10 through 30-1-140 (Public Records) and Code of Laws of

South Carolina, 1976; 1981 Cumulative Supplement, Article 9, section 19-5-510

(Uniform Business Records as Evidence Act) and Article 11, section 19-5-610

(Uniform Photographic Copies of Business and Public Records as Evidence Act)

and approved Records Series Retention/Disposition Schedule or the approved

equivalent and after inspection of the microfilm to assure completeness of

coverage, legibility of content and adherence to technical quality

requirements.

DATE _____________________________, 19___ ____________________________________

Signature

PLACE ___________________________________ ____________________________________

CITY STATE Title

SLR-1 (82)

APPENDIX B

[SEAL] South Carolina Department of Archives

and History

1430 Senate Street

Columbia, S.C.

P.O. Box 11, 669

Capitol Station 29211-1669

803--758-5816

CERTIFICATE OF AUTHENTICITY

This is to certify that the microphotographs of the records of: _______________

South Carolina

_______________________________________________________________________________

_______________________________________________________________________________

consisting of _________________________________________________________________

_______________________________________________________________________________

beginning with ________________________________________________________________

_______________________________________________________________________________

and ending with _______________________________________________________________

_______________________________________________________________________________

are complete and accurate reproductions of the records delivered to this

Department for microfilming.

_______________________________________ ______________________________________

Date Produced Microfilm Camera Operator

_______________________________________

Place (City & State)

APPENDIX C-1

APPENDIX C-2

WIDETABLE

NOTE--Some parts of this form are wider than one screen. To view

material that exceeds the width of this screen, use the right arrow

key. To return to the original screen, use the left arrow key.

MICROCOPY QUALITY CERTIFICATION REPORT

S.C. DEPARTMENT OF ARCHIVES AND HISTORY County/City: _______________

(See instruction sheet) Office: _______________

Date: _______________

------------------------------------------------------------------------------------------------------

Technical Inspection Visual Inspection

------------------------------------------------------------------------------------------------------

(1) (2) (3) (4) (5) (6) (7) (8)

Microcopy Contents of Resolution Density Residual General Content Legibility

I.D.# Microcopy Test Test Thiosulfate Technical

Inspection

------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------

Submitted by: _______________ Title: _______________ Date: ___________________________________________

Quality Inspected by Archives __________ Title: __________ Date: _____________________________________

APPENDIX D-1

MICROFILM QUALITY CERTIFICATION FOR RECORD DISPOSITION

PART I--RECORDS OFFICER

______________________________________ ______________________________________

State Agency or Political Subdivision Division, Section, Office

I certify that the microfilmed copied of the records series identified

below meet the "Standards for the microfilming of Public Records" issued by

the S.C. Department of Archives and History in accordance with the Code of

Laws of South Carolina, 1976, Section 30-1-90 and Section 30-1-130.

I further certify that the microfilmed records have been visually inspected

on a microfilm reader and are legible and correct.

An official security microfilm copy is being stored by this agency or

political subdivision office as required by the approved Records Series

Retention/Disposition Schedule or its approved equivalent.

Yes ( ) No ( )

______________________________________ ______________________________________

Record Series Title Retention/Disposition Schedule Number

______________________________________ ______________________________________

Microcopy Identification Number Inclusive Dates and/or Case Numbers

The destruction or disposition of the records microphotographed as

indicated above is recommended pursuant to the approved Records Series

Retention/Disposition Schedule or its approved equivalent.

______________________________________ ______________________________________

Date Signature and Title of State Agency or

Political Subdivision Office

Representative

_______________________________________________________________________________

PART II--MICROFILM QUALITY VERIFICATION

The following tests have been performed on the microfilm by *(this agency)

(political subdivision office or local agency) (Archives Microfilm Services

Division) (commercial microfilm service bureau) to meet the "Standards for

the Microfilming of Public Records" issued in accordance with the Code of

Laws of South Carolina, 1976,