N.M. Admin. Code § 1.14.2.15

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

Section 1.14.2.15 - IMAGING SYSTEM MANAGEMENT

To ensure the reliability and accuracy of image systems and processes, agencies shall specifically address each of these management structure components.

A. Policies and procedures shall be implemented that define proper management, maintenance and use of the system. Policies and procedures shall provide detailed information on the imaged records throughout their entire life cycle. Such procedures shall include but are not limited to:

(1) the steps leading up to the conversion of records;

(2) the methods for storage of the records;

(3) plans for disaster recovery, including plans for redressing tampering and deterioration of records;

(4) steps involved in the retrieval and disposition of records;

(5) staff roles and responsibilities;

(6) staff maintenance of operation logs and run schedules to document reliability of the system;

(7) monitoring, controlling, and verifying the accuracy and integrity of imaged records;

(8) designing, implementing, and documenting quality control;

(9) attesting to the accuracy and validity of records at the time they are created or updated;

(10) developing and following systematic steps for data entry;

(11) retaining any specially written program used to extract data from a system and producing labels for media containing electronic records that identify the exact title, creating program unit, date, purpose, source, and destination of records;

(12) documenting any problems and resolution of problems including documenting any delays in data entry by keeping records of the date the original source documents were created and the date the data were entered, and keep records of any unusual delay in producing output;

(13) documenting that procedures are being followed;

(14) maintaining records for inspection and audit for the full retention period required by law; and

(15) documenting the methods for ensuring that the imaged and converted records shall be accessible, useable, and understandable.

B. Management shall plan for the provision and maintenance of adequate facilities that ensure the converted and stored records shall be accessible, useable and understandable.

C. Management shall plan for document and test procedures for scanning and indexing records prior to implementation.

D. Management shall provide for formal instruction and training in system operation and maintenance, including image input, process and retrieval. Training and support programs shall be put in place to ensure that staff understands the policies and procedures.

E. Management shall establish controls that monitor the accuracy and authenticity of data, the continued reliability of hardware and software, and the integrity and security of the system. [see 1.13.70 NMAC Performance Guidelines for the Legal Acceptance of Public Records]

F. Management shall establish controls that provide for the testing of procedures to ensure that the procedures accomplish their purpose.

G. Management shall ensure that the proposed imaging system provides adequate information to fulfill the requirements of state and federal law.

H. Management shall ensure that the imaging process or system can be shown to be trustworthy in producing accurate results.

I. Management shall ensure that the system creates or compiles records in the normal course of business to support the described function or activity.

J. Management shall ensure that the system preserves information over time in identical or functionally equivalent form to the original information.

K. Management shall ensure that records are kept in an understandable form and insure that they can be made accessible within a reasonable amount of time, and within the time established by law through the creation and implementation of a re-inspection process or program.

L. Management shall ensure that the records are organized in a manner that facilitates retrieval.

M. Management shall determine if special equipment has to be provided to display the records or to print copies of them.

N.M. Admin. Code § 1.14.2.15

1.14.2.15 NMAC - N, 12-29-00; A, 06-01-06