N.M. Admin. Code § 1.14.2.14

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

Section 1.14.2.14 - STANDARD FOR IMAGING

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.

N.M. Admin. Code § 1.14.2.14

7-29-96, 8-24-96, 1-12-98; 1.14.2.14 NMAC - Rn, 1 NMAC 3.2.60.1.11 & A, 12-29-00; A, 07-15-03; A, 06-01-06; A, 06-30-09; A, 07-15-10