a) Records proposed for
microfilming or electronic microimaging with a view to dispose of the original
records must be on a list or retention schedule approved by the State Records
Commission.
b) In submitting lists
or schedules of records scheduled for permanent retention for which microfilm
copies are to be substituted, each agency shall certify that microfilm copies,
made in accordance with standards of the Commission, will be adequate
substitutes for the original records.
c) Computer Output Microfilm (COM) of born
digital data is to be considered an original record and not a copy of an
original record. Therefore, authentication requirements for source document
microfilm as found in subsections (f) and (g) do not apply to COM. COM of
scanned (electronic microimaging) digital images must include resolution charts
as recommended in ANSI/AIIM MS62.
d) Quality of the Film Used. The film stock
used must be silver halide and the processing of the film shall comply with the
minimum standards of quality required by the
Commission as set forth in Section
4400.60.
e) Preparation of the
Records for Filming or
Electronic Microimaging.
1) All documents in
the file shall be microfilmed or scanned, unless their size or physical form
prevents microfilming or scanning, in which case an explanation of their
omission shall be microfilmed or scanned at the appropriate point on the roll
of film and be worded substantially as follows:
"
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(Item Description)
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was omitted from this roll of film because
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.
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It may be located
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."
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2) Any
records not filmed shall be maintained by the agency or transferred to the
Archives under terms specified on the approved records retention
schedule.
f) Integrity
of the Original
Records.
1) The integrity of
the original records shall be preserved through a photographic or electronic
microimaging process so that the image on film, or exact duplicates of the
image, will be adequate substitutes for the original records in that they will
serve the purposes for which the records were created or maintained and that
the copies will contain all significant record detail needed for probable
future reference and will not permit additions, deletions or changes to the
reproductions of the original images.
2) Prior to microfilming or scanning, the
original documents shall be prepared, arranged, classified and indexed to
readily permit the subsequent location, examination and reproduction of the
photographs. Any significant characteristics of the
records that would not
reflect photographically (e.g., that the record is indistinct or that certain
figures are of a color not suited to recording on microfilm) shall be indicated
by means of an explanatory target inserted to guide the user. Any notations on
the face or reverse side of any document shall be photographed and identified
as forming an integral part of the original document. A significant
characteristic is any part of the record necessary for its interpretation,
including all words, numbers and illustrations.
A) Each film roll, camera negative, or sheet
(including 105mm continuous fiche rolls, but not COM) shall be identified by or
contain the following targets:
i) A technical
target for measuring resolution.
ii) A film density target (81/2" x 11" bond
paper).
iii) A roll number START
target in characters that can be read without magnification.
iv) A TITLE target giving name of the office
having custody of the records, a brief title of the record series, dates, file
arrangement, and the number of the schedule approved by the Commission
authorizing the project.
v) Listed
between the START file and END file targets must be explanatory targets for
omission, deletion, misfiles, retakes, or any example given in Section
4400.50(f)(2).
B) At the end of each roll/sheet
of film, after the document images, shall be targets as follow:
i) An END target containing the number of the
list or schedule approved by the Commission authorizing the project.
ii) Roll number.
iii) Brief title of the record
series.
iv) Beginning and ending
file designations.
v) A
camera/
electronic microimaging operator's certificate as follows:
"I hereby certify that I have on this
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day of
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, 20
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photographed or electronically microimaged the
documents appearing on this roll of film, that they are true copies of the
documents found in the record file described above, and that the integrity of
the above described record file has been maintained on the film by microfilming
or electronically microimaging each document in the exact order in which it was
found in the file. Reproductions designed to serve as permanent records comply
with the regulations and standards of the State Records Commission."
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vi)
Signature of camera operator.
vii)
A film density target (8½" x 11" bond paper).
viii) A technical target for measuring
resolution.
g) Security microfilm shall have no breaks,
cuts or splices in the body of the film, which shall be the area following the
START target and preceding the Camera/
Electronic Microimaging Operator's
Certificate. However, a retake of a length of film may be spliced ahead of the
START target or after the Camera/
Electronic Microimaging Operator's
Certificate, providing that the retake be given its own START target and
Camera/
Electronic Microimaging Operator's Certificate. This shall be done in
such a manner as not to overload a reel or cartridge. Exceptions to this rule
are:
1) If the trailing end of a reel shall
be fogged or unreadable, the camera or electronic microimaging operator shall
rephotograph the original documents or obtain the corresponding electronically
microimaged documents from a point 12 images in advance of the last readable
image prior to the fogged or unreadable area. The retake will include a
camera/electronic microimaging operator's certificate and will be spliced to
the trailing end of the fogged or unreadable portion of the film.
2) When a court-ordered expungement of
specific records is issued and deletions are made from the roll of film, the
court expungement order and a certificate of deletion, illustrated below, must
be photographed or electronically microimaged and the images spliced to the
beginning of the film.
CERTIFICATE OF DELETION
This is to certify the deletion of microfilm images on
this roll of
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microfilm occurred due to Court Order #
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, date
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, signed by Judge
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. No
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other images other than those listed in this order were
deleted.
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h) The camera or
microimaging system used to microfilm the records shall be one that accurately
reproduces the content of the original records with sufficient photographic
contrast and resolution to be readable through three generations of
reproduction.
i) Each roll of
original film or camera negative must be inspected after processing and before
duplicate copies are made. The inspection must be conducted in such a manner as
to reveal defects such as improper density, poor resolution, blurred or
obscured images, improper document sequence, or improper identification
targets. If a defect prohibits a clear, legible, hard copy print from the
files, the original
records must be re-photographed. One of the following
methods is a suitable means of inspection:
1)
randomly sampling the film, making sure that the samples include the beginning,
middle, and end of the roll or microform. (It is suggested that this be done on
all film as a minimum quality control.)
2) visually inspecting the film by passing
each image through a reader and checking for overlapping, double or folded
images, or other types of problems that would impair retrieving any information
on the microimages.
3) performing
all of the requirements of subsection (i)(2) plus counting the number of
microimages on the film and comparing that against the number of documents that
were to be microfilmed. (If the numbers coincide, the conclusion is made that
every document has been microfilmed.)
4) individually comparing each document with
each microimage that was actually created. (This visual verification provides
the highest assurance that every document has been properly filmed.)
j) If more than 1% of the original
images needs to be refilmed (approximately 30 images per roll), the entire roll
must be refilmed.
k) Updateable
Microfiche Systems
An agency considering using an updateable microfiche system
should first contact the State Records Unit to review the proposed application.
The application will be approved if the updateable microfiche meets the
following specifications:
1) each
microfiche must have the specified targets at the beginning and end of each
fiche as required by subsection (f)(2)(A) and (B).
2) each time a microfiche is updated, either
a camera operator's certificate must be inserted at the end of the added
documents or annotated reference to the original camera operator's certificate
must appear on each added image.
3)
only records bearing retention periods of 10 years or less may be placed on
updateable microforms.
4) if a
court ordered expungement is necessary, a certificate of deletion must appear
at the place of the deleted image.
l) Prior to the destruction of records
scheduled for permanent retention that have been microfilmed under the
authority of approved records schedules, the agency shall file a Records
Disposal Certificate with the Commission that lists all records that are to be
destroyed and certifies compliance with the rules in this Section.
m) Each film carton shall be identified by a
label or exterior marking indicating:
1) Roll
number.
2) Name of
office.
3) Title of the record
series.
4) Names of the file units
at the start of the roll, at space targets, and at the end of the
roll.
5) The number of the
application authorizing the microfilming of the record/record series.
n) Inspection
Security or master films of permanent record microforms, and
records microfilmed to dispose of the original record, shall be inspected every
2 years during their scheduled life. The inspection shall be made using a 1%
randomly selected sample in the following categories: 70% - microforms not
previously tested, 20% - microforms tested in the last inspection, and 10% -
control group. The control group shall represent samples of microforms from the
oldest microforms filmed through the most current.