Current through Register Vol. 35, No. 6, March 26, 2024
This section is limited in scope to the conversion of
documents to digitized images suitable for storage on optical, magnetic media,
or converted to COM. The standards listed in this section are intended to
maintain the integrity of the original record and to ensure that the image
produced is an adequate substitute for the original record and serves the
purpose for which such record was created or maintained.
A. All state agencies shall submit an imaging
system plan to the state records administrator for approval prior to
implementing a digital imaging system for the conversion of paper documents to
a digital format. The imaging plan shall address all of the requirements as
specified in 1.14.2.14 NMAC.
B. The
imaging system shall be an open system. Variants from an open system, such as
proprietary hardware, software or formats, shall require
justification.
C. Media life
expectancy issues.
(1) Life expectancy rating
of any media to be employed by an imaging system used for keeping of public
records shall correspond to, and not be less than, the retention period of the
records, unless otherwise approved.
(2) Where the life expectancy of media is
shorter than retention periods of records imaged, migration shall be addressed
as a part of the submitted plan for approval. The migration plan shall provide
for review of the hardware and software at least every five years. Where it has
been determined that the media are not readable by current off-the-shelf
equipment, the agency shall provide for migration to current, generally
accessible media. This includes the accessibility of the index as well as
accessibility of documents.
(3)
Digital images converted to COM shall meet all of the requirements specified in
1.14.2.12 NMAC.
D. The
agency shall verify completeness of image capture. Verification shall be
completed at point of capture and before the mastering of an optical or
magnetic disk and conversion to COM. Inspection of the images shall verify the
following:
(1) image filename;
(2) aproved file format as defined in
Subsection H of 1.14.2.14 NMAC;
(3)
300 DPI for each image type;
(4)
image quality; and
(5) indexing
terms correspond to appropriate image.
E. The agency shall test disks for
readability. During production each disk shall be tested for readability. In
addition, every year a representative sample of stored disks shall be tested in
order to early detect any deterioration.
F. Based upon the value of the records being
imaged, the agency shall provide adequate system security and audit functions
in accordance with the Performance Guidelines for the Legal Acceptance of
Public Records, 1.13.70 NMAC.
G.
Scanned images shall meet the following standards.
(1) Scanning resolution shall be 300 DPI
optical minimum, for text.
(2)
Photographic records and other halftone records shall have a scanning
resolution at least equal to the original.
(3) Resolution shall be adequate to duplicate
all details of each document in order for that document to qualify as a true
copy. Engineering, surveying and other records, the usage of which requires
precise measurement, shall be imaged at a sufficiently high resolution to
provide for that measurement.
(4)
Digitized images shall be legible for all purposes for which the original
records might be used. All characters in digitized images shall be clearly
formed and fully recognizable without regard to their surrounding
contexts.
H. Image and
media formats.
(1) Images shall be in a
standard image format such as Group IV TIFF, PDF or BMP. Compression of images
for storage is acceptable if the output resolution requirements for use are
met. GIF and JPEG are acceptable compressed formats. Plain black and white "two
level" images shall not be converted to JPEG; at least 16 gray levels are
necessary before JPEG is a useful gray scale image.
(2) Where optical media is used, file and
directory structures shall be compliant with ISO 9660 - High Sierra Level 1 -
eight dot three file naming, limited nested subdirectories. Any variance shall
be justified.
(3) Where optical
media are used for permanent records storage, they shall be of the highest
quality available. Any variance shall be justified.
I. Labeling requirements for all master
security optical media stored at the SRCA.
(1)
All master optical disc containers shall contain at a minimum the following
information:
(a) name and address of the
custodial agency;
(b) date
mastered;
(c) identification of the
first and last document on the disc;
(d) identification of the inclusive dates of
the oldest and the most recent document by month, date and year;
(e) records series names and corresponding
records retention and disposition schedule item number;
(f) disposition trigger dates (i.e., date
file closed, date contract terminated, etc.);
(g) name and address of the entity producing
the disc; and
(h) disc or other
identification number.
(2) Master security optical media that do not
contain the required information on the label shall be returned to the agency
for re-labeling. If SRCA is required to ship the master optical media back to
the agency, the custodial agency shall be responsible for the shipping
costs.
(3) For optical media not
stored at the SRCA the labeling shall consist of:
(a) agency name;
(b) date mastered;
(c) record series name and number;
(d) inclusive dates of the records series;
and
(e) the overall content of the
optical disk, independent of any index that may be contained on the disk
itself.
J.
The agency shall maintain an index for the purpose of tracking all
microphotography records. The index shall include the following:
(1) agency code;
(2) record series title and corresponding
records retention and disposition schedule item number;
(3) retention period;
(4) inclusive dates;
(5) trigger date;
(6) date filmed; and
(7) access restrictions.
K. Documents from different record series may
be imaged on a single medium (magnetic disk, optical disk, etc.) provided
destruction dates coincide, or the disposition plan provides for the
maintenance of the media for the longest retention period of any record on the
media.
L. Page counts in physical
files shall be verified in the scanned versions and certified as complete prior
to mastering or writing the optical disk. The certification of completeness
shall be kept on file by the agency.
M. Expungement. An agency shall perform
expungement of images in accordance with statutory requirements or court order.
(1) An agency shall create and maintain an
expungement certificate that details the reason for the expungement, the
authority to expunge, the date of the original scanning and the date of the
expungement. The expungement certification shall indicate that the original and
all known copies have been expunged. The potential for expungement orders shall
be addressed in the imaging plan.
(2) When expungement of records is necessary,
the plan shall provide for the remastering of all media that have been
modified.
(3) When expungement of
records is necessary, the plan shall provide for all index records and related
image files to be obliterated from the database and the image file storage, and
from all backup media.
N. Preservation: Preservation requirements
are based on the retention period of the digital image.
(1) Digital records that have an established
life cycle of fifteen years or less and are declared the official copy of
record may be stored electronically.
(2) Digital records that have a long-term
retention requirement of sixteen to fifty years shall meet the requirements
specified in Subsection C of 1.14.2.14 NMAC. If converted to COM the
requirements of Subsection C do not apply.
(3) Digital records that have a retention
period greater than fifty years or have a permanent retention shall be
converted to COM. For COM requirements see 1.14.2.11 NMAC and 1.14.2.12
NMAC.
O. Imaging systems
shall meet the imaging standards developed by ANSI and enumerated in section
1.14.2.17 NMAC. If not, adequate justification must be provided. The
requirements of the most current revision of the standard shall prevail, unless
otherwise specified in this rule.
P. New imaging system applications shall be
backward compatible with pre-existing applications, or, where they are not, a
migration plan for pre-existing images and indexes shall be provided, or dual
systems shall be run until the records retention periods for all pre-existing
imaged records have expired.
