SECTION 60:10-8-5. Standards for the creation, use, and storage of records maintained on optical imaging systems

(a)   Optical imaging systems that maintain the state office of record copy of any state government record shall meet the following minimum requirements:

(1)   All records stored in optical imaging systems shall be identified in such a manner as to enable authorized personnel to retrieve, protect, and implement approved dispositions for all records in the system.

(2)   Provide a standard interchange format when necessary to permit the exchange of records and information stored in optical imaging systems in the agency that utilize different software and/or hardware.

(3)   Provide for an approved disposition of the records, including, when appropriate, transfer to the State Archives for permanent preservation.

(b)   Agencies shall insure that no information is lost prior to the expiration of stipulated retention periods because of changing technology or deterioration of the storage media by converting storage media and taking other action as required to provide compatibility with the agency's existing hardware and software. The migration strategy used for upgrading equipment as technology changes shall be documented and include provisions for:

(1)   Periodically recopying to the same electronic media as required and/or transferring all records to new media. Data maintained on optical disks shall be recopied a minimum of once every ten (10) years onto tested and verified new media. The State Records Administrator may waive this requirement to recopy once every ten (10) years onto tested and verified new media if the following two conditions are satisfied:

(A)   The agency demonstrates that such recopying will pose an undue cost burden.

(B)   The agency and the State Records Administrator both certify in writing that all original images copied to the optical disk can still be retrieved and reproduced in their original form.

(2)   When systems are upgraded or replaced, the new system shall be backward compatible with the existing system and all records and applicable indexes in the existing system shall be transferred to the new system or converted to permanent microfilm that meets all standards for authenticity, photographic quality, and bibliographic integrity required by Commission Rule 60:10-7-2.

(c)   WORM, CD-ROM, and Rewritable optical disks may be utilized for maintaining state government records in optical imaging format. If rewritable optical disks are utilized, agencies shall maintain and regularly audit a list of all users of the system and their authorized access privileges and maintain a written record of all rewrites and deletions.

(d)   Optical disks used for the storage of state government records shall have a guaranteed minimum pre-write shelf life of at least five (5) years and a guaranteed post-write shelf life of at least twenty (20) years.

(e)   Agencies shall maintain back up/security copies of all optical disks. All back up/securities copies shall be maintained in an off site storage facility that meets the manufacturer's recommendations for temperature and humidity controls. If no recommendations are provided by the manufacturer, back up/security disks shall be stored in an area whose temperature is between 65° and 75° Fahrenheit and whose relative humidity is between 30% and 50%. As an alternative back up/security procedure, agencies may use permanent microfilm that meets all standards for authenticity, photographic quality, and bibliographic integrity required by Commission Rule 60:10-7-2.

(f)   Optical disks shall be inspected at least annually. Inspections shall include a visual examination of the medium and its housing and a reading of a statistical sample of all data to identify any loss of information and to discover and correct the cause of any data loss.

(g)   Scanning densities shall be evaluated on standard procedures enumerated in ANSI/AIIM MS 44-1988, "Recommended Practice for Quality Control of Image Scanners." The following scanning densities shall be used for state government records:

(1)   A minimum of 200 dots per inch (dpi) for records with no type fonts smaller than six point.

(2)   A minimum of 300 dots per inch (dpi) for engineering drawings, maps, and other records with background detail.

(h)   Visual quality control shall be performed for each scanned image and related index data.

(i)   Scanners and optical drives shall receive periodic maintenance as specified by manufacturers and optical drives shall be recalibrated at least annually.

(j)   Optical imaging systems shall either use CCITT Group 3 or Group 4 compression techniques without proprietary alterations to the algorithm or provide a gateway to either Group 3 or Group 4 compression techniques when proprietary compression techniques are utilized.

(k)   Nonproprietary file header labels shall be used or the system developer shall either provide a bridge to nonproprietary file header labels or provide a detailed definition of image file header label structures.

[Source: Amended at 12 Ok Reg 1331, eff 6-1-95]