N.M. Admin. Code § 1.14.2.10

Current through Register Vol. 35, No. 23, December 10, 2024

Section 1.14.2.10 - STANDARD FOR MICROFILM

This standard applies to the production of traditional microfilm in which source documents are photographed utilizing a camera and images are captured on film. The measures outlined in this section are required to maintain the integrity of the original records and to ensure that the microfilm produced is an adequate substitute for the original record and serves the purpose for which such records were created.

A. Agencies utilizing a service provider for the filming, processing, duplication or the production of microforms shall have a written agreement in place to provide for compliance with this standard.

B. A microfilm system shall be determined to meet minimum standards if the combined results of the consumables (i.e. film, chemicals, etc.) and microfilm equipment meet the standards developed or approved by the American national standards institute for the production of microfilm (see 1.14.2.17 NMAC). The requirements of the most current revisions of said standard shall prevail unless otherwise specified in this rule.

C. Preparation for microfilming: Materials to be microfilmed require careful analysis and preparation to ensure the creation of quality microfilm that is readily usable and easily understood. Important factors to be considered in determining which record series should be filmed include retention period and volume. Only records in large volume or with long retention periods should normally be considered. Before microfilming, materials must be properly organized and collated.

(1) Records shall be carefully inspected for completeness and the description and retention period of the record verified.

(2) The proper order of the materials shall be determined before microfilming.

(3) Active records shall not be filmed with inactive records.

(4) Documents from different record series may be filmed on a single roll provided retention periods are the same.

D. Microfilm qualifications: Agencies shall produce a master negative microfilmand a working copy. An agency shall have a re-inspection program and process in place for all master microfilm produced.

(1) Master microfilm shall:

(a) be of a silver gelatin composition;

(b) meet the minimum standards for the production of master microfilm specified in this section for density, resolution, targeting and spacing;

(c) shall be re-filmed if it fails inspection;

(d) be stored off-site (for security purposes) for the full period prescribed by the agency's records retention and disposition schedule.

(2) Working copy microfilm is designated for reference or everyday use in an office and may be of silver halide, diazo, or of a vesicular composition. An agency shall produce a minimum of one working copy of microfilm.

(3) If multiple working copies of security or preservation microfilm are needed, it is recommended that the production of such microfilm conform to a three-generation system as noted in section 7.1 of ANSI/AIIM MS48-1990. Such a system consists of master negative; a second-generation copy of the master negative that serves as a duplicate negative to be used for producing additional copies; and one or more third-generation working copies produced from the second-generation film.

(4) Agencies using microfilm systems that do not produce an original silver gelatin film shall make a silver gelatin duplicate negative that meets this standard before depositing such film for storage at the SRCA.

E. Microfilm targets. All microfilm shall have the following targets to be in compliance with this rule:

(1) Statement of intent and purpose. A statement of intent and purpose shall be filmed at the beginning and end of each roll of film and shall contain the following information:

(a) authority under which microfilming is being done;

(b) name of the agency for which the microfilming is being done;

(c) statement indicating the records microfilmed are in the legal custody of the agency, and that the records were created as part of the normal course of business;

(d) statement certifying the agency is microfilming in accordance with an approved microphotography plan on file with the SRCA;

(e) statement certifying that it is the policy of the agency to microfilm the specified records and that the microfilm is an accurate representation of the original copy which will be maintained as the legal copy of record in lieu of paper, and that the paper records are destroyed after microfilming in accordance with all requirements of the Public Records Act; and

(f) name, title, and signature of records custodian or microphotography program manager.

(2) Resolution target. Each roll of film will contain a photographic image of a standard resolution test card or chart. ISO test chart no. 2 as specified by ANSI/AIIM MS51-1991 (American National Standard for Microcopying--ISO Test Chart No. 2--Description and Use in Photographic Documentary Reproduction), must be filmed at the beginning and ending of each roll. These chart images should be used to monitor resolution as filming progresses. The line patterns must be read in each corner and in the center of each chart (or on a diagonal for rotary cameras) and the lowest resolution reading must be posted to the film container and to the guide sheet or other laboratory record. The cause of a substandard resolution must be identified and corrected prior to further production filming. All substandard film shall be corrected before shipping to the SRCA for storage.

(a) Rotary cameras. A minimum resolving power of 2.5 shall be read on the required test chart.

(b) Planetary cameras. A minimum resolving power of 4.0 shall be read on the required test chart.

(c) Resolution readings shall be determined by following the procedures for determining microfilm resolution as set forth in ANSI/AIIM MS23.

(3) Density target. The required background transmission density maximum (Dmax) for source document microfilm is based on filming a target consisting of a blank sheet of 20 lb white bond paper.

(a) Paper records dated prior to 1960, the relative Dmax shall read between .9 and 1.19.

(b) Paper records dated 1960 and after, the relative Dmax shall read between .85 and 1.29.

(c) Density targets shall appear at the beginning and end of each roll.

(d) Density readings shall be measured at the center of the density target.

(e) Density minimum (Dmin). The required base plus fog density (relative Dmin) for unexposed processed microfilms shall not exceed 0.10.

(4) Start of roll target. Start of roll target shall contain the following information:

(a) roll number;

(b) name of agency and office to which the records belong;

(c) record(s) or file(s) being microfilmed;

(d) date of filming;

(e) name of camera operator; and

(f) description of first record image on the roll of film.

(5) End of roll target. End of roll target shall contain the following information:

(a) roll number;

(b) name of agency and office to which the records belong;

(c) record(s) or file(s) being microfilmed;

(d) date of filming and name of camera operator; and

(e) description of last record image on the roll of film.

F. Microfilm image sequence and spacing. The following image sequence and spacing shall be used:

(1) Start of roll:

(a) film leader;

(b) a single statement of intent and purpose;

(c) a single resolution target;

(d) a single density target;

(e) a single start of roll target; and

(f) four spaces.

(2) Record images. Source documents are to be filmed between the start and end of roll targets.

(3) End of roll:

(a) four spaces;

(b) a single end of roll target;

(c) a single density target;

(d) a single resolution target;

(e) a single statement of intent and purpose; and

(f) film trailer.

G. Chemical testing of processed film will be required in order to comply with the standards set forth in ANSI/NAPM IT9.17-1993, ANSI/ISO 417-1993 (American National Standard for Photography--Determination of Residual Thiosulfate and Other Related Chemicals in Processed Photographic Materials--Methods Using Iodine-Amylose, Methylene Blue and SilverSulfide). Methylene blue test will be used to meet this requirement.

(1) For records possessing a permanent retention, a methylene blue test shall be conducted on a six inch unexposed clear strip of leader cut from a processed roll of microfilm. The methylene blue test shall be conducted on the microfilm strip within two weeks after the processing of the microfilm.

(2) Systems producing more than 10 rolls per week, shall maintain proof of biweekly test results.

(3) Residual thiosulphate ion shall not exceed 1.4 micrograms per square centimeter as tested by the methylene blue test.

(4) Test results shall be maintained for the retention period of the records on microfilm produced (until film is eligible for destruction) or until the microfilm is regenerated.

(5) Annual proof of methylene blue testing shall be submitted to the state records center and archives by the end of each fiscal year in which microfilm is produced.

H. Splicing and erasures. Roll form master negative microfilm shall have no splicing or erasures between certification statements, unless expungement of a particular image or images is authorized in writing by the custodial agency.

I. Post-film inspection:

(1) Master negative microfilm shall be inspected by state agencies or by vendors filming for agencies. Inspection shall consist of verification of the following:

(a) targets;

(b) indexing;

(c) labeling;

(d) document accountability;

(e) density;

(f) resolution; and

(g) visual observation of major defects and errors.

(2) Agencies shall inspect duplicate film for the following:

(a) major defects and errors;

(b) indexing accuracy;

(c) document accountability; and

(d) legibility.

(3) Microforms failing to pass inspection shall be refilmed.

J. Master microforms stored at the state records center are subject to audit by the SRCA at any time and shall comply with the standards set out in Subsection I of 1.14.2.10 NMAC. In the event densitometer readings by an agency or vendor consistently vary from those of the SRCA, the agency or vendor shall calibrate their densitometers to correspond to readings obtained by densitometers at the SRCA.

K. Microfilm container identification.

(1) All master microfilm roll containers shall contain the following minimum information:

(a) name and address of the custodial agency;

(b) date filmed;

(c) identification of the first and last document on the roll of film;

(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 date (i.e., date file closed, date contract terminated, etc.);

(g) name and address of the entity producing the roll of film; and

(h) roll number.

(2) Master microfilm rolls 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 microfilm rolls back to the agency, the custodial agency shall be responsible for the shipping costs.

L. Indexing requirements. 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.

M. Destruction of original copy.

(1) Prior to the final destruction of any microfilmed paper records, all requirements of this rule shall be met.

(2) Agencies shall submit a request for destruction which includes the following information:

(a) a statement that the records for destruction have been microfilmed;

(b) that the microfilm has been filmed in accordance to 1.14.2. NMAC microphotography standards;

(c) roll numbers;

(d) record series; and

(e) shall be signed by the records custodian for destruction approval.

N.M. Admin. Code § 1.14.2.10

9-8-77, 5-27-79, 1-7-81, 1-13-82, 3-29-92, 4-6-92, 7-29-96, 8-24-96, 1-12-98; 1.14.2.10 NMAC - Rn, 1 NMAC 3.2.60.1.9& A, 12-29-00; A, 04-30-02; A, 07-15-03; A, 06-01-06; A, 06-30-09