Rule 6 - Court Records Media Storage Standards(A) Application of Standards. All courts and clerks of court in the State of Indiana shall meet the standards set forth under this rule regarding the use of: (1) microfilm for the preservation of any record of a court or a court agency; (2) digital imaging technology for the storage and preservation of any record of a court or of a court agency; (3) hybrid systems producing both digital images and microfilm; and, (4) any related system created by advances in technology for the preservation of any record of a court or of a court agency. These standards shall apply to all records, regardless of medium, kept by courts, their clerks, and court agencies, including the methods used to reproduce or create records electronically and to the methods, systems, and formats used to store, archive, and reproduce records electronically for the purpose of maintenance and preservation of records. Only those records or record series which have been approved for microfilming under Administrative Rule 7 shall be eligible for microfilming.(B) Definitions. The following definitions shall apply to this Administrative Rule 6: (1) "Archival," as this term applies to records maintained in electronic form, means that point at which a document is no longer subject to modification and is maintained to ensure reasonably its preservation according to the appropriate record retention schedule. (2) "Clerk" means the Clerk of the Indiana Supreme Court, Court of Appeals, and Tax Court, the Clerk of a Circuit, Superior, Probate, or County Court, the Clerk of a City or Town Court, and the Clerk of a Marion County Small Claims Court, including staff. (3) "Court" means the Indiana Supreme Court, Court of Appeals, Tax Court, and all Circuit, Superior, Probate, City, Town, or Small Claims Courts.(4) "Court Agency" means a section, division, or department performing duties for the Court or Clerk and which has been created by statute or court rule or works at the direction of the court or clerk of court. (5) "Court Case Record" has the same meaning as "Case Record" that is defined in Access to Court Records Rule 3.(6) "Digital Image" means an electronic file consisting of digital data, which, when reconstructed on a display screen, a hard copy print, or on microfilm, appears as the original document. (7) "Digital Imaging" means the process by which a document or photograph is scanned by a computer and converted from analog format to a computer-readable digital format. (8) "Digital Duplicate" means any copy of digital images used for reference or communication. (9) "Digital Imaging File Format" means the program used to store Digital Masters of Digital Images. (10) "Digital Master" means the record copy of an electronic record transferred directly from a computer onto an electronic storage medium. (11) "Digital Media" refers to the physical method for storing digital records and images. There are two types: magnetic and optical. Examples of the former are magnetic disks, tape, and Digital Audio Tape (DAT). Examples of optical media include Compact Disk (C-D, CD-ROM), Write-Once, Read-Many (WORM) disk, Erasable Optical Disk (EO), and Digital Versatile Disk (DVD). (12) "Division" means the Indiana Office of Judicial Administration (IOJA).(13) "DPI" means dots per inch and is used as a measure of the number of dots recorded in either a vertical or horizontal plane for each inch. It is used to measure scanning resolution. (14) "Hybrid Imaging System" means a system that produces both micrographic and digital images, either simultaneously or one from the other. (15) "Image Enhancement" means the process of manipulating a scanned image with software, to lighten or darken the image, to increase sharpness, alter contrast, or to filter out data elements appearing on the document. (16) "Index" means descriptive locator information attached to a digital image that enables a requestor to identify the file and retrieve it from the electronic storage medium. (17) "In electronic Form" means any information in a court record in a form that is readable through the use of an electronic device, regardless of the manner in which it was created. (18) "ISO" means International Standards Organization.(19) "Metadata" means a standardized structure format and control vocabulary which allows for the precise description of record content, location, and value. (20) "Microfilm" means a photographic film containing an image greatly reduced in size from the original, or the process of generating microphotographs on film. (21) "Microform" means any form, usually film, which contains microphotographs. (22) "Migration" means the process of upgrading electronic systems to new technologies while preserving accessibility to existing records. It includes transferring one electronic data format to another when a new computer or data management system is incompatible with its existing system. It also means the process of moving electronic data from one storage device or medium to another.(23) "Noise" means background discoloration of paper and stains on paper caused by aging, handling, and accidental spilling of fluids.(24) "Open System Standard" means a published and commonly available interface specification that describes services provided by a software product. Such specifications are available to anyone and have evolved through consensus and are open to the entire industry. (25) "Record Series" means a group of related documents, either as to form or content, which are arranged under a single filing system; are kept together as a unit because they consist of the same form, relate to the same subject, result from the same activity; or which have certain similar physical characteristics such as computer magnetic tapes or disks, or as microforms. (26) "Record Retention Schedules" means a series of documents governing, on a continuing basis, the retention and disposal of records of a Court, Clerk, or Court Agency. (27) "Refreshing" means the copying of an image or of a whole storage medium for the purpose of preserving or enhancing the quality of a digital image. (28) "Reproduction" means the process of making an exact copy from an existing document in the same or a different medium. (29) "Scanning Resolution" means the quality of a digital image resulting from its initial scanning. It is represented in the number of dots per inch ("dpi"), used to represent the image. (30) "Specifications" means a set of requirements to be satisfied, and whenever appropriate, the procedure by which it may be determined whether the given requirements are satisfied. (31) "Standard" means a uniformly accepted set of specifications for a predefined norm. "ANSI/AIIM" means the American National Standards Institute and the Association for Information and Imaging Management. "CCITT" means the Consultative Committee on International Telegraphy and Telephony. Specific standards appear both by number and by name. (32) "Target" means any document or chart containing identification information, coding or test criteria used in conjunction with microfilming. A target is an aid to technical or bibliographical control, which is photographed on the film preceding or following a document or series of documents. (33) "Thresholding" refers to the level at which data elements are removed from the scanned document. During thresholding, individual pixels in an image are marked as object pixels if their value is greater than some threshold value and as background pixels otherwise. Thresholding is used in eliminating background discoloration of paper and stains on paper caused by aging, handling, and accidental spilling of fluids. (34) "WORM" means Write-Once, Read-Many.(C) Official Case Record. (1) A microfilm record produced and documented in accordance with the provisions of this rule, or a duplicate copy of such microform kept by the court, is the official record of the Court or Court Agency, regardless of whether or not an original paper document exists. (2) A document generated from a digital image produced in accordance with the provisions of this rule is the official record of the Court or Court Agency, regardless of whether or not an original paper document exists.(D)Microfilm Specifications. Specifications for microfilm equipment, film, and photographic chemicals must meet appropriate standards referenced in section (G) of this rule. However, before a court, clerk, or court agency shall install such a system to create an official record, systems specifications must be forwarded to the Division, in writing, to determine compliance with Trial Rule 77(J). (E)Digital Imaging Specifications. Specifications for digital imaging systems must meet appropriate standards referenced in section (H) of this rule. However, before a court, clerk, or court agency shall install such a system to create an official record, systems specifications must be forwarded to the Division, in writing, to determine compliance with Trial Rule 77(J).(F)General Standards. (1) Courts, Clerks and Court Agencies shall ensure that records generated by, or received by, the courts are preserved in accordance with the applicable record retention schedules in Administrative Rule 7.(2) Records required to be placed in the Record of Judgments and Orders (RJO) as paper or in electronic format, and records with a retention schedule of fifteen (15) years or more, are classified as permanent. Such records must be scanned using a dpi as specified in Administrative Rule 6(H)(2)(a)(ii).(3) Microform and Digital Media used for the storage of court records shall be inspected at least annually to verify that no deterioration has occurred, incorporating the appropriate ANSI/AIIM standard for microfilm or for digital data deterioration in accordance with Administrative Rule 6(H)(3)(i). Such inspection results shall be forwarded to the Division on a form available from the Division. (G)Microfilm Standards. (1)Documentation. A formal written documentation file shall be created by the Clerk or the appropriate public agency and retained for the microfilm process, incorporating the following: (a) That every stage of the microfilm process is covered by a written procedure and kept in the documentation file including: (i) Authority to microfilm specific records; (ii) A preparation guide concerning the arrangement of the originals on microfilm; (iii) Any policy to select which filed documents will be placed on microfilm; (iv) Any contracts with in-house record custodians or agents of vendors who will perform the actual microfilming (either in-house or through a vendor); (v) Maintenance of the "Certificate of Destruction" form and approval correspondence from the Division. (b) The reproduction processes employed to assure accuracy. (c) Verification of each microfilm image against the original for completeness and legibility. The verification process shall be part of the certification procedure submitted to the Division. (d) The justification for the microfilming of originals (i.e., space reduction, security) and the written process for the destruction of originals as authorized by an approved retention schedule. (e) The identity of supervisors of the microfilming procedures who are capable of giving evidence of these procedures. (f) The retention schedule from Administrative Rule 7 for the documentation matching the expected longevity of the microform.(g) Certification of compliance with this documentation procedure to the Division. (2)Legibility. (a) If a standard is updated or superseded, the most current one applies to those records preserved after its effective date.(b) Resolution. A microform system for source documents shall be tested for resolution capability under procedures set forth in the appropriate section of ANSI/AIIM MS23-2004, both upon installation of the system and at the beginning and end of each roll of microfilm, by use of a camera test chart, such as the "Rotary Camera Test Chart," ANSI/AIIM MS 17-2001; "The Planetary Camera Test Chart," ANSI/ISO Test Chart No. 2, arranged one in each of the four corners of the image area and one in the center; or any equivalent chart incorporating the appropriate camera test charts. Where camera-generated roll microfilm is not used, a microform of the appropriate camera test chart must be generated weekly. Micrographic systems used for court records must meet the following standards for resolution: (i) A micrographic system for source documents must produce a quality index level of not less than 5.0 for third-generation microfilm as measured according to American National Standard Practice for Operational Procedures/Inspection and Quality Control of First-Generation, Silver-Gelatin Microfilm of Documents. ANSI/AIIM MS23-2004. In applying this standard, a lower-case letter "e" height of 1.4 millimeters or less must be used; (ii) All pattern groups on the camera test chart must be read. The smallest line pattern (highest numerical designation) in which both horizontal and vertical line direction is clearly discernible is the resolving power of that pattern group. The lowest numerical resolving power of all the pattern groups on the camera test chart is the resolving power of the micrographic system; (iii) The film used in reading the camera test chart must be processed to the density standard of Administrative Rule 6(G)(2)(c)(i); (iv) A computer-output microfilm system must produce quality index of not less than 5.0 for third-generation microfilm as measured according to American National Standard Practice for Operational Practices/Inspection and Quality Control for Alphanumeric Computer-Output Microforms. ANSI/AIIM MS1-1996. (v) Conversion of archival data stored on a Digital Master [(H) (1) (g)], may occur at a quality index level of 4.0, upon written pre-approval from the Division, (c) Density. Microfilm systems used for court records must meet the following density standards: (i) The background ISO standard visual diffuse transmission density on microforms shall be appropriate to the type of documents being filmed. The procedure for density measurement is described in ANSI/AIIM MS23-2004 and the densitometer shall be in accordance with ANSI/NAPM 18-1996, for spectral conditions and ANSI/NAPM IT2.19-1994, for geometric conditions for transmission density. Recommended visual diffuse transmission background densities for images of documents are as follows: | | Background |
| Class | Description of documents | Density |
| Group 1. . . . | High-quality, high-contrast printed books, periodicals, and black typing | 1.3-1.5 |
| Group 2. . . . | Fine-line originals, black opaque pencil writing, and documents with small high-contrast printing. | 1.15-1.4 |
| Group 3. . . . | Pencil and ink drawings, faded printing, and very small printing such as footnotes at the bottom of a printed page. | 1.0-1.2 |
| Group 4. . . . | Low-contrast manuscripts and drawing, graph paper with pale, fine-colored lines; letters typed with worn ribbon; and poorly printed, faint documents. | 0.8-1.0 |
(ii) Background density in first-generation computer-output microfilm must meet ANSI/AIIM MS1-1996. (iii) Base Plus Fog Density of Films. The base plus fog density of unexposed, processed films should not exceed 0.10. When a tinted base film is used, the density will be increased. The difference must be added to the values given in the tables in Administrative Rule 6(G) (2)(c)(i). (iv) Line or Stroke Width. Due to optical limitations in most photographic systems, film images of thin lines appearing in the original document will tend to fill in as a function of their width and density. Therefore, as the reduction ratio of a given system is increased, the background density shall be reduced as needed to ensure that the copies produced will contain legible characters. (d) Reduction Ratio. Microfilm systems used for court records shall meet the following reduction ratio standards: (i) A reduction ratio for microfilm of documents of 25 to 1 or 24 to 1 or less is required; (ii) A reduction ratio for microfilm of documents of greater than 25 to 1 may be used only if the micrographics system can maintain the required quality index at the higher reduction; (iii) Computer-output microfilm must be at a reduction ratio ranging from 48 to 1 to 24 to 1. (3) Permanency. For records requiring retention of over fifteen years based on an approved retention schedule under Administrative Rule 7, the following standards shall apply:(a) Raw stock microfilm shall be of safety-based permanent record film meeting specification of ANSI/NAPM IT9.6-1991 (R 1996). (b) The camera generated master negative microfilm shall be silver-halide silver gelatin, meeting the permanency requirements of ANSI/NAPM IT9.1-1996. Microforms shall be processed in accordance with ANSI/NAPM IT 9.1-1996 and in accordance with processing procedures in ANSI/AIIM MS196 and ANSI/AIIM MS23-2004. (c) The master microfilm record meeting the above standards shall be stored at a site other than the producing Clerk, Court, or Court Agency's structure, in a fireproof vault, meeting ISO 18911:2010.(d) In addition to the master microfilm record, which is a security copy, the agency may provide working copies of the microfilm. These may be on silver, diazo, vesicular, dry silver, or transparent electro-photograph film on a safety base of cellulose ester or polyester material. (H)Digital Imaging Standards. (1)Documentation. A formal written documentation file shall be created by the Clerk or the appropriate public agency and retained for the life of the information stored on the digital medium based upon an approved record retention schedule documenting the following: (a) that every stage of the digital imaging process is covered by a written procedure and kept in the documentation file, including: (i) authority to implement digital imaging technology, (ii) any selection policy to determine what documents from any file will be imaged. The indexing process shall also identify documents which are subject to approved criteria for purging prior to conversion to a permanent storage medium, and (iii) any contracts with agents of record custodians who will perform the actual digital imaging process; (iv) the metadata for each digital record. (b) the imaging process employed to assure accuracy; (c) verification of the image on a computer screen against the original for completeness and legibility; (d) definition of the indexing system employed with storage in multiple places on the optical disk for security and integrity; (e) the identity of supervisors of the digital imaging procedures and who are capable of giving evidence of these procedures; and (f) written certification of compliance with this documentation procedure to the Division. (g) Archival data stored on a digital master shall be converted to microfilm. Retention schedules will be applied to all documents prior to conversion to microfilm. This excludes the scanning system implemented by the Division as follows:(i) Archived data is maintained on systems that allow upgrade without degradation or loss of data.(ii)Archived data is geo-redundantly stored for disaster recovery purposes.(iii) Archived data is in a file format that can be read by generally available computer systems without proprietary software.(2)Legibility. The following standards on legibility apply for digital imaging. If a standard is updated or superseded, the most current one applies to those records preserved after its effective date. (a) Scanner input shall: (i) Scan office documents at a density of at least 200 dpi, (ii) Scan records deemed permanent according to the retention schedule and as required for placement in the Record of Judgments and Orders, at a minimum of 300 dpi; and (iii) Use a higher scanning resolution, as needed, for poor contrast documents, those containing faded text and those containing fine handwriting or lines, based upon a verification test that includes hard copy reproduction from such scanned documents at various densities, and (iv) Scanning quality must adhere to the standards presented in Recommended Practices for Quality Control of Image Scanners ANSI/AIIM MS44-1988 (R1993), incorporating scanner resolution target X441 or X443, depending upon the application. (b) Image enhancement is permissible for lightening or darkening a digital image, improving sharpness or contrast, but applying threshold software to eliminate noise requires prior approval of the Division. (3)Permanency. The following standards on permanency shall apply for digital imaging: Storage and quality control standards apply only to Digital Masters and not to digital duplicates. (a) Digital imaging systems will be built from hardware and software components that are nonproprietary and are based upon open systems architecture. (b) Digital imaging systems will use the Digital Imaging File Format known as TIFF Group 4 digital imaging file format meeting ISO Standard 12639:2004 (or as updated or superseded), Portable Document Format (PDF), or Portable Document Format for Archive (PDF/A) (c) (Deleted eff. July 1, 2015)(d) System upgrades will provide backward compatibility to existing system or digital data will be converted to the upgrade at the time of such upgrade. (e) The digital master will employ WORM technology as the digital medium. (f) If a CD-ROM is used as a storage medium, it must comply with ISO 9660-1988, Volume and File Structure of CD-ROM for Information Interchange. CD-ROM, EO, and DVD media shall not be used for storage of the digital master but may be used for digital duplicates. (g) Digital media will have a pre-write shelf life of at least five years and post-write life of twenty years based upon accelerated aging test results that reports on specific disk areas. (h) The digital master shall be stored in a dust-free, temperature and humidity-controlled environment, meeting ANSI/AIIM TR25-1995, Use of Optical Disks for Public Records. (i) The digital media shall be monitored for deterioration using ANSI/AIIM MS59-1996 Media Error Monitoring and Reporting Techniques for Verification of Stored Data on Optical Digital Data Disks, and duplicating data to a new or replacement medium when data deterioration reaches the point of loss as described in this standard. (j)The scanning system implemented by the Division is excluded from standard digital media and digital master standards so long as: (i) Archived data is maintained on systems that allow upgrade without degradation or loss of data.(ii) Archived data is geo-redundantly stored for disaster recovery purposes.(iii) Archived data is in a file format that can be read by generally available computer systems without proprietary software.(I) Hybrid Systems That portion of a hybrid system producing microforms will be governed by Section (G) of this rule; that portion of a hybrid system producing digital images will be governed by Section (H) of this rule.
(J) Access. Access to a court record created or stored in either or both a microfilm or digital format will be governed according to the Rules on Access to Court Records.(K) Disposal of Records. Court records which have been preserved in accordance with the standards set out in this rule may be destroyed or otherwise disposed but only after the court or its clerk files a "Destruction Certificate" with the Division certifying that the records have been microfilmed or digitized in accordance with the standards set out in this rule, and the Division issues a written authorization for the destruction of such records. The Division shall make available a form "Destruction Certificate" for this purpose. It is not necessary for a clerk or court to file a "Destruction Certificate" when a clerk or court converts a conventionally filed document into an electronic record as required by Trial Rule 87(D).Amended effective 2/1/2007; amended Sept. 10, 2007, effective 1/1/2008; amended September 20, 2011, effective 1/1/2012; amended March 19, 2015, effective 7/1/2015; amended effective 9/1/2016; further amended effective 2/9/2017; amended Nov. 1, 2017, effective 1/1/2018; amended November 15, 2019, effective 1/1/2020; amended December 19, 2019, effective 1/1/2020; amended July 15, 2021, effective 7/15/2021.