New Mexico Administrative Code
Title 1 - GENERAL GOVERNMENT ADMINISTRATION
Chapter 13 - PUBLIC RECORDS
Part 3 - MANAGEMENT OF ELECTRONIC RECORDS
Section 1.13.3.12 - PERMANENT ELECTRONIC RECORDS MAINTAINED BY THE CUSTODIAL AGENCY
Universal Citation: 1 NM Admin Code 1.13.3.12
Current through Register Vol. 35, No. 18, September 24, 2024
If the custodial agency opts to maintain their permanent electronic records on-site, the custodial agency shall develop and implement guidelines and procedures that address the following elements of an on-site archival program.
A. Policy. Develop an archives repository written policy for access to agency permanent electronic records that addresses the following areas:
(1) program objectives;
(2) system reliability;
(3) custody - legal and physical;
(4) rationale for alternatives
adopted;
(5)
processibility;
(6)
migration;
(7) archives repository
or outsource implementation; and
(8) audit for compliance.
B. Quality control. Develop written quality control procedures that take into account the following:
(1) utilization of the functionalities of an
archival preservation system software;
(2) document any action taken with regard to
facilitating long-term access to electronic records;
(3) insert documentation records into the
encapsulation wrapper that contains the relevant electronic records;
and
(4) periodic quality control
audits.
C. Environmental control and monitoring program recommendation. Ensure the continued readability of electronic records by putting in place a program that provides for a stable storage environment and good care and handling procedures. Such a program should include the following:
(1) maintain a
stable storage environment in which the temperature is 59 plus or minus 5
degrees fahrenheit and the relative humidity (RH) is 40 percent;
(2) install a filter system to remove
airborne dust particles and gas pollutants;
(3) prohibit the consumption of food and
beverages and smoking in the storage facility;
(4) implement a program to read annually a
statistical sample of the storage media to identify real or impending
catastrophic loss of information;
(5) select all storage units (e.g.,
videocassette tapes, computer disks) annually if there are fewer than 50 of
them;
(6) select a 20 percent
random sample of the storage media when the total number of storage units.
ranges between 50 and 1809;
(7)
select a random sample of 381 items of the storage media when the total number
of storage media is 1810 or greater; and
(8) rewind all tapes under constant tension
after processing.
D. Transfer of records. Guidelines for the transfer of electronic records that include the following:
(1) select up to three
storage media that are widely used by agencies in their current operations
(e.g., 3480 tape cartridges, digital linear tape, and CR-ROM) that may be used
to transfer electronic records to the archives repository;
(2) select a standard archival storage medium
and encourage agencies and organizations to use it when transferring electronic
records; and
(3) all electronic
records transferred shall be encoded with a standard encoding scheme such as
ASCII.
E. Reformat electronic records. Guidelines for the reformatting of electronic records that include the following:
(1) select either
digital linear tape or other suitable tape cartridges as the storage
medium;
(2) reformat electronic
records at the time of their transfer to the archives repository or when new
storage devices and media are installed;
(3) ensure the authenticity of reformatted
electronic records by employing a strict quality control procedure that may
include bit or byte comparisons, comparisons of hash-digest, or digital time
stamping;
(4) utilize the
functionalities of an archival preservation system software where possible in
order to document fully all actions taken when reformatting electronic records;
and
(5) at the time of
reformatting, create two copies, one of which would be considered a "backup"
that is stored at an off-site location.
F. Copy electronic records. Guidelines for the periodic copying of electronic records that include the following:
(1) copy electronic records at the time of
their transfer to the archives repository;
(2) copy electronic records every ten years
in the absence of the installation of new storage devices and media;
(3) copy electronic records when the annual
readability sample discloses ten or more temporary or read "errors" in a
dataset;
(4) ensure the
authenticity of copied electronic records by employing a strict quality control
procedure that may include bit/byte comparisons, comparisons of hash-digest, or
digital time stamping;
(5) utilize
the functionalities of an archival preservation system software where possible
in order to document fully all actions taken when copying electronic records;
and
(6) at the time of copying,
create two copies, one of which would be considered a "backup" that is stored
at an off-site location.
G. Convert electronic records. Guidelines for the conversion of electronic records that include the following:
(1) the conversion of authentic electronic
records from one software environment to another shall not result in the loss
of any structure, content, or context;
(2) convert authentic electronic records
whenever there is a software upgrade or a new software application environment
is installed;
(3) adopt TIFF, PDF
or SGML as a standard storage format; at the time of conversion encapsulate
aggregated electronic records along with relevant documentation as SGML
records;
(4) ensure the
authenticity of converted electronic records by employing a strict quality
control procedure that may include bit/byte comparisons, comparisons of
hash-digest, or digital time stamping; utilize the functionalities of an
archival preservation system software where possible in order to document fully
all actions taken when converting electronic records;
(5) exercise the option of non-conversion of
authentic electronic records only as a last resort when the risk of the loss of
authenticity or processibility is acceptable; and
(6) at the time of conversion, create two
copies, one of which would be considered a "backup" that is stored at an
off-site location.
H. Migrate electronic records. Procedures for the migration (or non-migration) of electronic records that include the following:
(1) establish guidelines that unambiguously
delineate the circumstances under which migration of electronic records will be
carried out;
(2) establish
guidelines that unambiguously delineate the circumstances under which
non-migration of electronic records will be carried out;
(3) incorporate into the migration procedure
the following ten steps for migrating electronic records from legacy
information systems:
(a) incrementally analyze
the legacy information system;
(b)
incrementally decompose the legacy information system structure;
(c) incrementally design the target
interfaces;
(d) incrementally
design the target applications;
(e)
incrementally design the target database;
(f) incrementally install the target
environment;
(g) incrementally
create and install the necessary gateways;
(h) incrementally migrate the legacy
databases;
(i) incrementally
migrate the legacy applications;
(j) incrementally migrate the legacy
interfaces;
(k) incrementally cut
over to the target information;
(4) establish migration quality control
procedures that include testing the migration software with a sample of records
to confirm that no degradation in the records occurs;
(5) validate migrated electronic records with
records in the source legacy information system to ensure that no errors
occur;
(6) if financial or
technical resources preclude the migration of electronic records without some
loss in content, structure, or context, document all the activities undertaken
in order to establish the reliability of the new records that come into
existence;
(7) in executing a
"non-migration" option that transfers electronic records to paper or microfilm
a visual inspection of a sample of these records should be compared with their
electronic counterparts.
I. Starting a long-term electronic records access program. Guidelines and procedures that include the following:
(1) develop a policy that calls for an
integrated information technology plan that serves the overall goals and
mission of the archival repository;
(2) develop a five to seven year information
technology plan that is based upon a realistic assessment of the financial
resources that are likely to be available to the organization;
(3) design a system that is geared to the
specific needs and resources of the archival repository and for which computer
literate and technically competent staff is available; and
(4) assess the long-term costs and benefits
of a "scaled back program" and where the benefits are marginal consider other
storage alternatives such as paper or microfilm.
J. Multi-institutional cooperative programs. Guidelines and procedures that include the following:
(1) develop a formal organizational structure
for the participating archives repositories and a formal agreement (and legally
binding) with the cooperative electronic records archives repository;
(2) guarantee funding of the program for five
years;
(3) delineate explicitly the
tasks to be carried out within specified time periods;
(4) require that the findings and
recommendations of this report be incorporated into the policy and procedures;
and
(5) contract with a competent,
independent third party to conduct an annual information technology audit of
the cooperative electronic records repository and deliver a report with
recommendations to the participating archives repositories.
Disclaimer: These regulations may not be the most recent version. New Mexico may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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