Section 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 1.14.2 NMAC 13 (15) documenting the methods for ensuring that the imaged and converted records shall be accessible, useable, and understandable. B ated 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 1.14.2 NMAC 13 (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 e 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. [1.14.2.15 NMAC - N, 12-29-00; A, 06-01-06] 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 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. 1.14.2 NMAC 14 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 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. [1.14.2.16 NMAC - N, 12-29-00; A, 07-15-03; A, 06-01-06] 1.14.2.17 ADDITIONAL MICROPHOTOGRAPHY STANDARDS 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. [1.14.2.16 NMAC - N, 12-29-00; A, 07-15-03; A, 06-01-06] 1.14.2.17 ADDITIONAL MICROPHOTOGRAPHY STANDARDS. In addition to those non-SRCA standards already incorporated into this rule, it is recommended that agencies employing or anticipating the use of a microphotography system refer to and consider the following national or international standards: A. ANSI/AIIM MS1-1996 Recommended Practice for Alphanumeric Computer Output Microforms - Operational Practices for Inspection and Quality Control: This recommended practice describes operational and quality control guidelines for alpha-numeric computer output microfilm (COM) recorders and microforms using black & white film as well as duplicates made from such films. B. ANSI/AIIM MS5-1992 Micrographic Microfiche: This standard applies to microfiche produced as a result of source document and computer-output microfilming. C. ANSI/AIIM MS6-1993 (R1999) Microfilm Package Labeling: This standard outlines the required and optional information that should be placed on unexposed photographic material packaging. D. ANSI/AIIM MS14-1996 Specifications for 16 and 35 mm Roll Microfilm: This standard applies to 16mm and 35mm roll microfilm produced as a result of source document and computer output microfilming. E. ANSI/AIIM MS17-1992 Micrographics -- Rotary (Flow) Microfilm Camera Test Chart and Test Target Descriptions and Use: This standard determines the optical performance of rotary microfilm cameras by using test chart outlined in this standard. F. ANSI/AIIM MS18-1992 Splices for Imaged Film -- Dimensions and Operational Constraints: This standard covers the requirements for splicing processed microfilm and leaders and trailers independent of film width or type of base support. G and Test Target Descriptions and Use: This standard determines the optical performance of rotary microfilm cameras by using test chart outlined in this standard. F. ANSI/AIIM MS18-1992 Splices for Imaged Film -- Dimensions and Operational Constraints: This standard covers the requirements for splicing processed microfilm and leaders and trailers independent of film width or type of base support. G. ANSI/AIIM MS19-1993 Recommended Practice for Identification of Microforms: This document provides methods for identifying the contents of microforms. H. ANSI/AIIM MS23-1998 Practice for Operational Procedures/Inspection and Quality Control of First-Generation Silver-Microfilm of Documents: This document discusses equipment, supplies, and recommended practices necessary to establish and operate a satisfactory micrographics program. I. ANSI/AIIM MS24-1996 Test Target for Use in Micro recording Engineering Graphics on 35mm Microfilm: This standard specifies the minimum test target elements, their composition and other criteria which is utilized by a 35mm planetary microfilm camera when micro recording engineering drawings. J. ANSI/AIIM MS26-1990 35mm Planetary Cameras (top light) -- Procedures for Determining Illumination Uniformity of Microfilming Engineering Drawings: This standard specifies the minimum test target elements and their criteria used in determining the uniformity of illumination on the copy board of a 35mm planetary camera. 1.14.2 NMAC 15 K. ANSI/AIIM MS35-1990 Requirements and Characteristics of Original Black and White Documents That May Be Microfilmed: This standard practice describes the essential requirements and characteristics for the creation of documents that will facilitate microfilming. L. ANSI/AIIM MS36-1990 Reader-Printers for Transparent Microforms-Performance Characteristics: This standard specifies the essential performance to view and make hardcopies from roll microfilm. M Original Black and White Documents That May Be Microfilmed: This standard practice describes the essential requirements and characteristics for the creation of documents that will facilitate microfilming. L. ANSI/AIIM MS36-1990 Reader-Printers for Transparent Microforms-Performance Characteristics: This standard specifies the essential performance to view and make hardcopies from roll microfilm. M. ANSI/AIIM MS38-1995 Recommended Practices for the Micro recording of Engineering Graphics -- Computer Output Microfilm: Specifies the procedures, dimensions, and quality values governing the micro recording of engineering documentation with a 35mm computer-output microfilmer (COM). N. ANSI/AIIM MS39-1987 Information and Image Management - Operational Procedures, Quality Control and Inspection of Graphic Computer Output Microforms: This document describes operational and quality control guidelines for graphic (COM) recorders and microforms using black and white film and duplicates made from such films. O. ANSI/AIIM MS42-1989 Recommended Practice for the Expungement, Deletion, Correction or Amendment of Records on Microforms: This recommended practice applies to the removal of images from microforms when document expungement is ordered. P. ANSI/AIIM MS43-1998 Recommended Practice for Operational Procedures/Inspection and Quality Control of Duplicate Microforms of Documents and From COM: This document provides guidelines for the production of duplicate microforms. Q. ANSI/AIIM MS44-1988 (R1993) Recommended Practice for Quality Control of Image Scanners: This practice provides procedures for the ongoing control of quality within a digital document image management system. R. ANSI/AIIM MS45-1990 Recommended Practice for Inspection of Stored Silver Gelatin Microforms for Evidence of Deterioration: This practice applies to all forms of silver-gelatin microfilm whether in roll, aperture card, jacket or microfiche format. S y Control of Image Scanners: This practice provides procedures for the ongoing control of quality within a digital document image management system. R. ANSI/AIIM MS45-1990 Recommended Practice for Inspection of Stored Silver Gelatin Microforms for Evidence of Deterioration: This practice applies to all forms of silver-gelatin microfilm whether in roll, aperture card, jacket or microfiche format. S. ANSI/AIIM MS48-1999 Recommended Practice for Microfilming Public Records on Silver Halide Film: This practice covers original first-generation microforms including rolls, microfiche, aperture cards, and jacket film. T. ANSI/AIIM MS51-1991 Micrographics -- ISO Resolution Test Chart No.2 Description and Use: This standard specifies a method of determining resolution by measuring the minimum size of detail recognizable in processed microform. U. ANSI/AIIM MS52-1991 Recommended Practice for the Requirements and Characteristics of Documents Intended for Optical Scanning: This standard describes the physical characteristics of paper documents that facilitate black and white optical scanning. V. ANSI/AIIM MS61 - 1996 Application Programming Interface (API) for Scanners in Document Imaging Systems. W. ANSI/AIIM MS62-1999 Recommended Practice for COM Records Systems Having an Internal Electronic Forms Generating System: This standard provides operational practices for inspection and quality control. X. ANSI/AIIM MS111-1994 Recommended Practice for Microfilming Printed Newspapers on 35mm Roll Microfilm: The purpose of this practice is to establish consistent formats and criteria for microfilming printed newspapers. Y. ANSI/NAPM IT9.1-1996 Imaging Materials - Processed-- Silver -- Gelatin Type - Black and White Film Specifications for Stability: Specifies the manufacturing and processing requirements for silver-gelatin film. Z ed Practice for Microfilming Printed Newspapers on 35mm Roll Microfilm: The purpose of this practice is to establish consistent formats and criteria for microfilming printed newspapers. Y. ANSI/NAPM IT9.1-1996 Imaging Materials - Processed-- Silver -- Gelatin Type - Black and White Film Specifications for Stability: Specifies the manufacturing and processing requirements for silver-gelatin film. Z. ANSI/PIMA IT9.2-1998 Imaging Media -- Photographic Processed Films, Plates, and Papers Filing Enclosures and Storage Containers: This standard sets forth the principal physical and chemical requirements for filing enclosures and containers designed for storing processed films, plates, and papers in sheet form. AA. ANSI/NAPM IT9.6 1991 (R1996) Photographic Films -- Specifications for Safety Film: This international standard provides specifications and test procedures for establishing the safety of photographic films with respect to hazards from fire. BB. ANSI/NAPM IT9.7 1993 Photography - Photographic Films and Papers Wedge Test for Brittleness: This standard specifies a method for determining and expressing quantitatively the brittleness of photographic film. It is applicable to film with or without a gelatin backing and may also be applied to either raw or processed film, although the brittleness of a particular film may be quite different after processing than it was before processing. This is a revision of PH1.31-1973. 1.14.2 NMAC 16 CC. ANSI/PIMA-IT9.11 1998 Imaging Media -- Processed Safety Photographic Film Storage: The recommendations contained in this standard deal with the storage conditions, storage facilities, and handling and inspection procedures for processed safety photographic film in roll, strip, card, or sheet form, regardless of size. DD t was before processing. This is a revision of PH1.31-1973. 1.14.2 NMAC 16 CC. ANSI/PIMA-IT9.11 1998 Imaging Media -- Processed Safety Photographic Film Storage: The recommendations contained in this standard deal with the storage conditions, storage facilities, and handling and inspection procedures for processed safety photographic film in roll, strip, card, or sheet form, regardless of size. DD. ANSI/NAPM IT9.14 1992 (R1997) Imaging Media -- (Photographic film and papers) -- Method for Determining the Resistance of Photographic Emulsions to Wet Abrasion: This standard, a revision and redesignation of ANSI/NAPM IT11 1993, establishes a laboratory test method for determining the resistance of photographic emulsion or gelatin backing to abrasion damage during processing. EE. ANSI/NAPM IT9.15-1993 Imaging Media -- Photography -- The Effectiveness of Chemical Conversion of Silver Images Against Oxidation -- Method for Measuring: This standard describes methods for evaluating the effectiveness of chemical conversion treatment intended to increase the resistance of wet processed silver images to oxidation. FF. ANSI/NAPM IT9.17-1993, ANSI/ISO 417-1993 Micrographics - Photography --Determination of Residual Thiosulfate and Other Related Chemicals in Processed Photographic Materials--Methods Using Iodine- Amylose, Methylene Blue and SilverSulfide. GG. ANSI/NAPM IT9.21 1996 Life Expectancy of Compact Disks (CD-ROM): This standard provides a method for estimating the life expectancy of compact disks, based on the effects of temperature and relative humidity. HH. ANSI/PIMA IT9.26 1997 Imaging Materials - Life Expectancy of Magneto-Optic (MO) Disks: This standard provides a method for estimating the life expectancy of magneto-optic disks, based on the effects of temperature and relative humidity. II. ISO/IEC 1544:2001 Information Technology - Digital compression and coding of continuous-tone still images: Standard for JPEG 2000. JJ. Compuserve, Inc ity. HH. ANSI/PIMA IT9.26 1997 Imaging Materials - Life Expectancy of Magneto-Optic (MO) Disks: This standard provides a method for estimating the life expectancy of magneto-optic disks, based on the effects of temperature and relative humidity. II. ISO/IEC 1544:2001 Information Technology - Digital compression and coding of continuous-tone still images: Standard for JPEG 2000. JJ. Compuserve, Inc. 1990 GIF Graphics Interchange Format (tm) - A standard defining a mechanism for the storage and transmission of raster-based graphics information, version 89a. KK. ISO/IEC 10918-1:1994 Information technology - Digital compression and coding of continuous- tone still images: Requirements and guidelines. This is the basic JPEG standard. LL. ISO/IEC 10918-2:1995 Information technology - Digital compression and coding of continuous- tone still images: Compliance testing. This provides testing requirements for JPEG formats. MM. ISO/IEC 10918-3:1997 Information technology - Digital compression and coding of continuous- tone still images: Extensions. This standard provides for extensions on the basic JPEG standard. NN. ISO/IEC 10918-3:1997/Amd 1:1999 Provisions to allow registration of new compression types and versions in the SPIFF header. This is an extension of the basic JPEG standard. OO. ISO/IEC 10918-4:1999 Information technology - Digital compression and coding of continuous- tone still images: Registration of JPEG profiles, SPIFF profiles, SPIFF tags, SPIFF colour spaces, APPn markers, SPIFF compression types and Registration Authorities (REGAUT) PP. ISO 9660:1988 Information Processing - Volume and File Structure of CD-ROM for Information Interchange. QQ sic JPEG standard. OO. ISO/IEC 10918-4:1999 Information technology - Digital compression and coding of continuous- tone still images: Registration of JPEG profiles, SPIFF profiles, SPIFF tags, SPIFF colour spaces, APPn markers, SPIFF compression types and Registration Authorities (REGAUT) PP. ISO 9660:1988 Information Processing - Volume and File Structure of CD-ROM for Information Interchange. QQ. ISO 9848:1993 Photography -- Source Document Microfilms -- Determination of ISO Speed and ISO Average Gradient: This international standard ANSI/NAPM specifies a method for determining the ISO speed and ISO average IT2.51-1993 gradient of black-and-white camera negative photographic films used for first generation microfilming of source document at exposure times typically found with tungsten sources, including any handwritten or printed alphanumeric and line documents such as books, periodicals, business correspondence, and engineering drawings. RR. ISO 12639:1998 Graphic Technology - Prepress Digital Data Exchange - Tag Image File Format For Imaging Technology.