This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what

changes have been made to the previous version. Because

it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.

Designation: D 3301 – 9400

Standard Specification for

File Folders for Storage of Permanent Records1
This standard is issued under the fixed designation D 3301; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (e) indicates an editorial change since the last revision or reapproval.

1. Scope
1.1 This specification covers file folders used in the storage of records and documents that are expected to have maximum, or
substantial, life expectancy.

1
This specification is under the jurisdiction of ASTM Committee D-6 on Paper and Paper Products and is the direct responsibility of Subcommittee D06.20 on Permanent
Records and Papers.
Current edition approved Sept. 15, 1994. March 10, 2000. Published November 1994. May 2000. Originally published as D 3301 – 74. Last previous edition D 3301 – 80
(1990). D 3301 – 94.

Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.

1
 D 3301 – 9400
1.2 It has been shown (1, 2, 3, 4, 5)2 that the life expectancy of paper is at least an approximate function of the pH of an aqueous
extract of the paper. Three pH levels, reflecting three levels of life expectancy, are specified.
1.3 The following would be expected to contribute significantly to the life and usefulness of folders: the use of folders with
controlled acidity, or of folders manufactured under neutral or alkaline conditions, especially with an alkaline filler, such as calcium
carbonate, that absorbs acidic gases from the atmosphere and can neutralize acidic materials formed during aging.
1.4 This specification is based on fiber sources used in the production of paper that contains no more than 1 % lignin, for papers
used in archives, libraries, and other permanent records. However, under proper conditions, (see X1.5), fiber sources containing
more than 1 % lignin may be employed for many other end uses in paper for records that are required to have a substantial life
expectancy.
1.5 As indicated in Appendix X1.4 and X1.5, this specification may be used as a guide.

2. Referenced Documents
2.1 ASTM Standards:
D 585 Practice for Sampling and Accepting a Single Lot of Paper, Paperboard, Fiberboard, or Related Products3
D 644 Test Method for Moisture Content of Paper and Paperboard by Oven Drying3
D 646 Test Method for Grammage of Paper and Paperboard (Weight per Unit Area)3
D 1030 Test Method for Fiber Analysis of Paper and Paperboard3
D 1968 Terminology Relating to Paper and Paper Products3
D 2176 Test Method for Folding Endurance of Paper by the M.I.T. Tester3
D 3424 Test Methods for Evaluating the Lightfastness and Weatherability of Printed Matter4
D 4714 Test Method for Determination of Effect of Moist Heat (50 % Relative Humidity and 90°C) on Properties of Paper and
Board3
D 4988 Test Method for Determination of Alkalinity of Paper as Calcium Carbonate Content (Alkaline Reserve of Paper)
Content of Paper3
D 5625 Test Method for Measuring Length, Width, and Squareness of Sheeted Paper and Paper Products3
D 5634 Guide for the Selection of Permanent and Durable Offset and Book Papers3
2.2 TAPPI Standards:
T 236 Kappa Number of Pulp5
T 400 Sampling and Accepting a Single Lot of Paper, Paperboard, Fiberboard, or Related Product5
T 401 Fiber Analysis of Paper and Paperboard5
T 410 Grammage of Paper and Paperboard (Weight Per Unit Area)5
T 411 Thickness (Caliper) of Paper and Paperboard5
T 412 Moisture in Paper5
T 414 Internal Tearing Resistance of Paper5
T 452 Brightness of Pulp, Paper and Paperboard (Directional Reflectance at 457 nm)5
T 489 Stiffness of Paper and Paperboard (Taber-type Stiffness Tester)5
T 509 Hydrogen Ion Concentration (pH) of Paper Extracts—Cold Extraction Method5
T 511 Folding Endurance of Paper (MIT Tester)5
T 544 Effect of Moist Heat on Properties of Paper and Board5
2.3 ANSI Standard:
IT9.2 1991 Photographic Processed Films, Plates and Papers—Filing Enclosures and Storage Containers
IT9.16 American National Standard for Imaging Media—Photographic Activity Test6
2.4 ISO Standard:
ISO 9706 Paper for Documents—Specifications for Permanence—Normative Annex—Special instructions for determining
kappa number6

3. Terminology
3.1 Definitions:—Terms used in this Specification are defined in accordance with Terminology D 1968.
3.1.1 acid-sized paper, n—paper, or paper product, that has been manufactured using a procedure or process at pH values below
7 (usually from 4.0 to 6.5) that results in paper that has resistance to water penetration.
3.1.2 alkaline-filled paper, n—a paper or paper product containing an alkaline filler, such as calcium carbonate.

2
The boldface numbers in parentheses refer to the list of references at the end of this specification.
3
Annual Book of ASTM Standards, Vol 15.09.
4
Annual Book of ASTM Standards, Vol 06.02.
5
Available from the Technical Association of the Pulp and Paper Industry, Box 105113, Technology Park, Atlanta, GA 30348.
6
Available from The American National Standards Institute, 11 W. 42nd St., 13th Floor, New York, NY 10036.

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 D 3301 – 9400
3.1.2.1 Discussion—Such carbonate, having a paper is alkaline pH value in excess of 7 (extract pH usually in the range from
7.5 to 10.0), and containsing a reserve buffering capacity that can neutralize acidic materials in the paper or acidic gases sorbed
from the atmosphere, or from the paper during degradation. atmosphere.
3.1.3 alkaline-sized paper, n—paper or paper product that has been manufactured using a procedure or process at a pH value
in excess of above 7 (usually from 7.5 to 10.0) that results in a paper that has resistance to water liquid penetration.
3.1.4 base paper, n—the fiber network existent prior to the application of any material onto the surface of that fiber network.
3.1.4.1 Discussion—An example is paper, internally sized in preparation for a coating or surface size operation.
3.1.5 folder stock, n—a paperboard used for the manufacture of folders for filing purposes.
3.1.5.1 Discussion—It usually is made of wood pulp and reclaimed paperstock, although some grades are made from rope or
jute stock. It may be surface sized to provide better wearing qualities. It is characterized by high values for tearing resistance,
stiffness, and folding endurance.
3.1.6 neutral sized paper, n—paper that has been manufactured using a procedure or process at a pH value of 7 (with a normal
range from 6.5 to 7.5) that results in a paper that has resistance to water penetration.
3.1.7 tag board, n—a paperboard used for printed forms, envelopes, shipping tags, file folders, printed forms, envelopes, etc.
3.1.7.1 Discussion—It is made from rope, jute, chemical wood pulp or mechanical wood pulp, or combinations of these. It
usually has a manila color and a smooth finish. It is characterized by high values for folding endurance, bursting strength, tensile
strength, tearing resistance, and water finish.
3.2 Definitions of Terms Specific to This Standard:
3.2.1 durability, n—of paper, the cabilpacity of a paper, or paper product, or paperboard to resist the effects of wear and tear
in performance situations.
3.2.1.1 Discussion—Durability should not be used interchangeably with permanence. For example, paper currency money
should be durable, but maximum permanence is not necessary. essential.
3.2.2 high-usage, adj—in paper folders, descriptive of any grade of folder paper designed for use in situations where the folders
are handled frequently. involving frequent handling.
3.2.3 life expectancy7 , LE, n—thfor paper, length of time that information is predicted to be retrievable in a product can be
expected to maintain its functional, that is, phystical, chemical, appearance and so forth, characteristics when stored under extended
storage prescribed conditions.
3.2.3.1 LE designation, n—for paper records, a rating in years for the life expectancy of paper, under prescribed conditions,
primarily for records.
3.2.3.2 maximum life expectancy, LE- 1000, n—for paper, the document is expected to be usable for 1000 years under
prescribed conditions.
3.2.3.3 high life expectancy, LE- 100, n—for paper, the document is expected to be usable for 100 years under prescribed
conditions.
3.2.3.4 medium life expectancy, LE- 50, n—for paper, the document is expected to be usable for 50 years under prescribed
conditions.
3.2.3.5 Discussion—These terms in 3.2.3 were developed for records and records substrates. One could substitute the word
“folder” for the word “document” in this situation.
3.2.4 paper with a minimum pH value, n—as the life expectancy of paper is an approximate function of pH, one approach to
describing a permanent paper is to specify a minimum pH value, for example, 5.5. This value can be achieved with a rosin-alum
sizing system.
3.2.5 permanence—that property ascribed, n— of paper, the tendency to a material which, under specified conditions, resists
resist changes in any or all of its properties with the passage of time.
3.2.5.1 Discussion—It is expected that the terms maximum, high, and medium permanence eventually will be replaced with
maximum, high, and medium life expectancy, or with the LE designations LE-1000, LE-100, and LE-50.
4. Significance and Use
4.1 The only completely valid way to check the life expectancy of paper, or a paper product, is to store it under the relevant
conditions for its expected lifetime, perhaps several hundred years. As this is not feasible, one must rely on observations made on
old materials, and on our current knowledge of factors, in terms of paper properties and paper composition, that increase life
expectancy. Accelerated aging also may be used.
4.2 In this specification, requirements are given in terms of the following:
4.2.1 Physical tests to identify potential durability in service,
4.2.2 Tests related to composition of the folder that are indicative of stability,
4.2.2.1 For maximum life expectancy, the presence of an alkaline filler, such as calcium carbonate, to serve as a buffering agent,
4.2.2.2 Fiber analysis, or a certificate from the supplier concerning fiber composition, and
4.2.2.3 A test for pH, within the limits described in 7.2.4.

7
Adapted from American National Standards Institute Committee IT9.1, approved December 1991.

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 D 3301 – 9400
4.3 Folders with neutral or alkaline pH generally are stable. However, an acid folder may have been treated with a surface size
containing enough calcium carbonate to give an alkaline extract pH. An acid folder may be coated with a formulation containing
calcium carbonate, although folders seldom are coated. In cases of uncertainty, the supplier should provide an affidavit concerning
the extract pH of the base folder.
4.4 An optional accelerated aging procedure is described in X1.3.
5. Classification Types
45.1 Three types of file folder stock are described, according to life expectancy level. These life expectancy levels are
differentiated by pH and type of filler or sizing, or both. For situations where the folders will be handled frequently the grade is
specified as “high usage.” A higher folding endurance requirement is specified for this category, and the purchaser may wish to
specify all or part cotton or fully bleached wood pulp, or a mixture.
45.2 Type I, Maximum Life Expectancy, LE-1000—
Neutral or alkaline-sized folder stock made with an alkaline filler, such as calcium carbonate, which will give an extract pH usually
in the range from 7.5 to 10.0.
45.2.1 Grade 1—Ordinary use.
45.2.2 Grade 2—High usage.
45.3 Type II, High Life Expectancy, LE-100—Neutral or alkaline-sized folder stock with an extract pH usually in the range from
6.5 to 8 7.5.
45.3.1 Grade 1—Ordinary use.
45.3.2 Grade 2—High usage.
45.4 Type III, Medium Life Expectancy, LE-50—Folder stock with a minimum extract pH of 5.5.
45.4.1 Grade 1—Ordinary use.
45.4.2 Grade 2—High useage.
5. Ordering Information
5.1 Orders shall specify type and grade, dimensions, color, and, if necessary, folder stock, and printing requirements.
6. Ordering Information
6.1 Orders shall specify type and grade, dimensions, color, and, if necessary, folder stock, and printing requirements.
7. Composition and Chemical Requirements
67.1 Fiber Analysis, (see Test Method D 1030)—The paper shall be made from cotton, linen, or fully bleached chemical fiber.
pulp. Virgin or recycled fiber may be used in any proportion as agreed upon between the buyer and the seller at the time of
purchase, as long as the paper meets the requirements of this specification. The kappa number (from ISO 9706) shall not exceed
five.
67.2 Hydrogen Ion Concentration (pH) Cold Extraction—See TAPPI T 509.
67.2.1 Type I, Maximum Life Expectancy, LE-1000—7.5 to 10.0.
67.2.2 Type II, High Life Expectancy, LE-100—6.5 to 7.5.
67.2.3 Type III, Medium Life Expectancy, LE-50—
Minimum 5.5.
67.2.4 Some folders may have been given an alkaline surface size or an alkaline coating. The base paper of these folders may
be acid and, therefore, of questionable stability, but would exhibit an alkaline extract pH. There is no known procedure for
measuring the extract pH of the base paper of a paper to which an alkaline surface size, or alkaline coating, has been applied.
The manufacturer should furnish an affidavit that the pH of the base paper conforms to the limits set forth. The pH test is valid
if the analyst can be ensured that the folder does not have an alkaline surface size or an alkaline coating. The accelerated aging
procedure, as described in X1.3 may be used as an indicator of stability.
67.3 Filler—Type I folder shall contain an alkaline filler such as calcium carbonate. The minimum shall be 2 %, calculated as
calcium carbonate and based on the oven-dry weight of the finished paper. Test for the presence and amount of carbonate in
accordance with Test Method D 4988.
78. Physical Properties
78.1 Grammage (Weight per Unit Area)—Use Test Method D 646 or TAPPI T 410. Weight per unit area is not a requirement
of this specification, but for convenience, the nominal weights per unit area are given in Table 1 for the various nominal thicknesses
specified.
78.2 Thickness—Use TAPPI T 411. Thickness shall be expressed as micrometres (1 3 10−6 m) or as mils (1 3 10 −3 in.). The
average thickness normally will be within the ranges given in Table 1. The variation of test unit averages within a shipment (or
lot) shall be not more than 5 % above or below the average value.
78.3 Internal Tearing Resistance—Use TAPPI T 414. The average internal tearing resistance in each direction shall be not less
than the values given in Table 1 for various nominal thicknesses of file folder stock.

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 D 3301 – 9400
TABLE 1 Requirements for File Folders for Storage of Permanent Records
Folding Endurance, MIT (Double Fold) 1
Nominal Weight Per Unit Tearing Resistance kg, min
Nominal Thickness, µmA Thickness Range,
AreaB (Basis Weight),
(mil) µm (mil) Grade I Average in Grade II Average in
g/m2(lb)C min, gf min, mN
Weaker Direction Weaker Direction
200 (8) 180 (110) 190 to 210 (7.6 to 8.4) 180 1775 300 500
240 (9.5) 210 (130) 230 to 250 (9.0 to 10.0) 260 2550 300 500
280 (11) 235 (145) 260 to 300 (10.5 to 11.5) 340 3325 300 500
260 (14) 295 (180) 340 to 380 (13.3 to 14.7) 500 4900 300 500
A
To the nearest 10 µm.
B
Weight per unit area is not a requirement of this specification.
C
Basis weight = 24 3 36-500.

78.4 Folding Endurance—The minimum folding endurance for Grade 1 folder stock, average of weaker direction, and for
Grade II folder stock, average of weaker direction, are given in Table 1.
78.5 Color—The folders shall be white or colored and the hue shall be as specified at the time of purchase.
89. Dimensions, Trim, and Grain
89.1 Dimensions and Trim—The folders shall be furnished in the size, or sizes, specified at the time of purchase. The folders
shall not be undersize, shall not be more than 1/16-in (1.6-mm) oversize in either direction, and shall be trimmed square. If
squareness is especially important, tolerances shall be specified by the purchaser. Dimensions and trim shall be measured by Test
Method D 5625.
89.2 Grain—The folder stock shall be supplied grain long or grain short at the option of the seller, unless otherwise specified
by the buyer.
910. Additional Requirements
910.1 Sizing—The folder stock shall be internally sized and surface sized so that is it shall be suitable for the intended purpose,
as indicated by the purchaser.
910.2 Printing Properties—If the folders are to be used in a printing process, a stipulation that the folder be suitable for this
purpose shall be included in the requirements.
910.3 Erasing Quality— If erasing quality is important to the buyer, it shall be evaluated as follows: Visible feathering shall
not be apparent after the folder has been written on with aqueous ink, erased, and written on again in the erased area with aqueous
ink.
910.4 Finish—The finish of file folder stock is important to durability, but a requirement has not been developed. The purchaser
might wish to specify a finish suitable for the specific end use.
910.5 Stiffness—If stiffness is important to the purchaser, a minimum stiffness value determined by TAPPI T 489 should be
agreed upon between the buyer and the seller.
910.6 Photoactivity— If the folders are to be used for storing photographs, they should pass the photographic activity test
described in ANSI IT9.2 – 1988, Section 4.
9.7 IT9.16.
10.7 Lighfastness— If lightfastness is of concern to the purchaser, use Test Method D 3424, Procedures 3 and 7, as agreed upon
between the buyer and the seller.
10. Significance and Use
10.1 The only completely valid way to check the life expectancy of paper, or a paper product, is to store it under the relevant
conditions for its expected lifetime, perhaps several hundred years. As this is not feasible, one must rely on observations made on
old materials, and on our current knowledge of factors, in terms of paper properties and paper composition, that increase life
expectancy. Accelerated aging also may be used.
10.2 In this specification, requirements are given in terms of the following:
10.2.1 Physical tests to identify potential durability in service,
10.2.2 Tests related to composition of the folder that are indicative of stability,
10.2.2.1 For maximum life expectancy, the presence of an alkaline filler, such as calcium carbonate, to serve as a buffering
agent,
10.2.2.2 Fiber analysis, or a certificate from the supplier concerning fiber composition, and
10.2.2.3 A test for pH, within the limits described in 6.2.4.
10.3 Folders with neutral or alkaline pH generally are stable. However, an acid folder may have been treated with a surface size
containing enough calcium carbonate to give an alkaline extract pH. An acid folder may be coated with a formulation containing
calcium carbonate, although folders seldom are coated. In cases of uncertainty, the supplier should provide an affidavit concerning
the extract pH of the base folder.
10.4 An optional accelerated aging procedure is described in X1.3.

5
 D 3301 – 9400
11. Sampling
11.1 The shipment shall be sampled in accordance with Practice D 585, using Plan II for all properties, or TAPPI T 400.
12. Inspection
12.1 Inspection of the folders shall be agreed upon between the buyer and the seller as part of the purchase contract.
13. Certification
13.1 Upon request of the buyer, a manufacturer’s certification that the folder stock was manufactured and tested in accordance
with this specification, together with a report of the test results, shall be furnished at the time of shipment.
13.2 Test results obtained by both the buyer and the seller shall be made available, upon request, to either party.
13.3 As the extract pH of a folder would be influenced by an alkaline surface size or by an alkaline coating, it is desirable to
request an affidavit from the manufacturer that the extract pH of the base paper conforms to the limits specified in 6 7.2.
14. Packaging and Marking
14.1 The folders shall be packaged, wrapped, and securely sealed, or packaged in boxes or cartons, in order to provide adequate
protection during shipment and storage. Each package shall be marked to show the type of paper, quantity, color, size, basis weight
(weight per unit area), and the name of the manufacturer.
14.2 Packaging in exterior containers for shipment shall be adequate to avoid damage during shipment and storage.
15. Keywords
15.1 file folders; life expectancy; maximum life expectancy; permanent file folders

APPENDIX

(Nonmandatory Information)

X1. ADDITIONAL INFORMATION

X1.1 As there are many variables in the manufacture of paper and paper products and in the use and storage of records, it is
impossible to place definitive values on the number of years that various categories of paper products and records will endure. It
has been established that the rates of both natural and accelerated aging are approximate functions of the pH of the paper. The
following information may be used as guidance.
X1.1.1 Type I Papers, Maximum Life Expectancy, LE-1000—Machine-made papers with an alkaline filler have existed,
apparently with little change, for almost 100 years. Handmade papers containing an alkaline filler have survived for almost 400
years (6). Acid papers have survived this long, but their condition is, relatively speaking, not as good, and is a function of acidity.
X1.1.2 Type II Papers, High Life Expectancy, LE-100—The probable life expectancy of these papers should lie somewhere
between the life expectancy Type I and Type III papers.
X1.1.3 Type III Papers, Medium Life Expectancy, LE-50—The relative condition of paper in old books and documents has been
correlated with pH. Barrow (1) has shown that the condition of naturally aged paper definitely is a function of pH. Manifold papers
in U.S. Government files with pH values as low as 10.2 4.2 have survived over 60 years (5), and the physical properties of these
papers are an approximate function of pH. A minimum pH of 5.5 should ensure longevity of 50 years or more.
X1.2 Papers containing cotton or linen, or both, are considered to be more durable than wood pulp papers. As both rag and
wood pulp papers may cover a broad spectrum of life expectancy and durability, generalizations on the basis of fiber content alone
are not useful. Cotton linters are not as strong as cotton fiber.
X1.3 During the development of Guide D 5634, and during the development of a National Information Standards Organization
(NISO) standard for permanent paper, about 60 papers were aged for 12 days at 90°C and 50 % relative humidity (Test Method
D 4714, TAPPI T 544). The selection of percent retention values after aging for various levels of life expectancy is subjective, but
enough information is available to make this approach attractive. The retention of tensile energy absorption, and of tearing strength,
after aging for 12 days at 90°C and 50 % relative humidity should be 90 % or higher for maximum life expectancy, about 80 %
or higher for high life expectancy, and about 70 % or higher for medium life expectancy. File folder stock was not included in this
study.
X1.4 Paper may be procured on the basis of a standard sample, on the basis of requirements other than those listed in this
specification, or one or more of the requirements may be waived. In order to obtain the degree of life expectancy required, it is
very important that the pH requirements of this specification, or the aging requirement in X1.3, be met for the type and grade of
paper purchased.

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 D 3301 – 9400
X1.5 Historically, specifications for paper for permanent records have limited fiber sources to those that would result in no more
than 1 % lignin in the papers. The use of alkaline papermaking technologies, including the use of alkaline sizing and alkaline fillers,
may change the situation for some applications. Although yellowing occurs during light exposure and dark storage, limited
laboratory data indicate that the physical strength properties of papers containing substantial quantities of lignin do not change
appreciably during accelerated aging in a moist atmosphere.
X1.5.1 There are many other end uses where alkaline papers with alkaline size and containing an alkaline filler and substantial
quantities of lignin, probably would be suitable for long-term use and, for economic reasons, desirable. The user would decide
whether yellowing during light exposure long-term storage, or both, would be acceptable. These needs should be agreed upon
between the buyer and the seller and written into standards intended for the purpose.
X1.6 Appearance properties, such as color and reflectance (brightness, and whiteness, etc.) that might be affected by light and
by dark aging may be important to the user. The traditional use of bleached chemical wood or cotton has been recognized as a way
to preserve appearance properties.
X1.6.1 As fiber sources are less uniform than in the past, it is desirable to measure the effect of light and of dark storage on
the appearance properties of paper.
X1.6.2 Test Method D 3424, Procedures 3 and 7, may be used for evaluating fading properties.

REFERENCES

(1) Barrow, W. J., Deterioration of Book Stock; Causes and Remedies, The Virginia State Library, Richmond, VA, 1959.
(2) Wilson, W. K., Harvey, J. L., Mandel, J., and Worksman, T. L., “Accelerated Aging of Record Papers Compared with Normal Aging,” TAPPI, Vol
38, No. 9, 1955, p. 543.
(3) Van Royen, A. H., “Comparison of the Accelerated Aging of Cellulose with Normal Aging at Room Temperature,” Association Technique de
L’Industrie Papetiere Bulletin , 1957, p. 223.
(4) Wilson, W. K., and Parks, E. J., “Comparison of Accelerated Aging of Book Papers in 1937 with 36 Years Natural Aging,” Restaurator, Vol 4, 1980,
pp. 1–55.
(5) Dahl, S., “Evaluation of Condition of Manifold Papers in File,” NBS Report 10429 , June 7, 1971.
(6) Hanson, F. S., “Resistance of Paper to Natural Aging,” The Paper Industry and Paper World, February 1939, pp. 1157–1163.

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