N.M. Admin. Code § 1.14.2.16

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

Section 1.14.2.16 - IMAGING SYSTEM PLAN

The imaging system plan submitted to the administrator for approval shall address all the items in this section.

A. System description.

(1) The general purpose of the system including the identification of the official copy of record.

(2) The specific goals of system.

(3) The affected records series including record series name, records retention and disposition schedule number, retention period and valuation assessment.

(4) The technical description of the system, including:

(a) for hardware, the technical specifications for servers including, but not limited to, storage capacity, CPU(s), memory, redundancy, connectivity, related in put and out put devices such as scanner types (flatbed, planetary, etc.) as well as workstation configuration, and printers. For software, operating system and version, back up application and scheme, primary imaging application and version, including, but not limited to, data structure, indices, content, data dictionaries, enhancement algorithms, and compression techniques; and date of installation or proposed installation, upgrades, replacements, and conversions;

(b) system documentation, including, but not limited to, database entity relationship diagrams, general system architecture, network topology and protocols; security devices including bio-metrics;

(c) storage media master, including the off-site storage location of digital master(s), type and longevity such as MTBF;

(d) storage media working copy;

(e) backup process with data restoration and system recovery plan; and

(f) re-inspection plan and process.

(5) System security specifications including but not limited to, audit trails, intrusion detection, and disaster recovery.

(6) Plan for public access and finding aids.

(7) System's expected implementation date.

(8) System's expected life span.

B. Management control. The plan shall provide a description of management policies and procedures required by 1.14.2.15 NMAC, including but not limited to operating procedures, including methods for scanning or entering data; revising, updating, or expunging records; indexing; backing up disks, tapes, etc.; testing the readability of records; applying safeguards to prevent tampering and unauthorized access to protected information; and carrying out the disposition of original records.

C. Disposition of records.

(1) For disposition of original records created from 1950 to present, refer to 1.13.30 NMAC Destruction of Public Records and Non-Records.

(2) Original records of the state from 1912 to 1950, the American territorial, the Mexican Republic, and the Spanish colonial periods shall be transferred to the SRCA after the imaging and verification process is complete.

(3) For disposition of imaged records (masters and working copies), whose legal retention has been met, refer to 1.13.30 NMAC Destruction of Public Records and Non-Records.

D. Five year review, amendments and modifications.

(1) The agency shall submit to the administrator a review of their existing imaging system at least every five years. Included in the review shall be all of the management requirements of 1.14.2.15 NMAC.

(2) Prior to mastering any disks under a modified system an agency shall receive approval of a amended imaging systems plan. When an agency makes modifications to an existing imaging system, such modifications shall be incorporated into an amended plan which shall be submitted to the administrator for approval. Examples of modifications include, but are not limited to, expansion of records series being imaged, enhancement to hardware, modification to software, change in media, and changes in procedure. No records shall be destroyed that were imaged under a modified system until the amended plan has been approved.

N.M. Admin. Code § 1.14.2.16

1.14.2.16 NMAC - N, 12-29-00; A, 07-15-03; A, 06-01-06