CHAPTER 10:04:01
GENERAL PROVISIONS
Section
10:04:01:01 Definitions.
10:04:01:02 Agency records officer designation.
10:04:01:03 Duties of agency records officer.
10:04:01:04 State records manager to approve purchase of microfilm systems.
10:04:01:05 Relocation of micrographic equipment.
10:04:01:01. Definitions. Terms defined in SDCL 1-27-9 and in § 10:03:01:01 have the same meaning in this article. In addition, terms used in this article are defined as follows:
(1) "Temporary records," records with retention periods of less than 50 years, as determined by the records retention and destruction schedules approved by the state records manager and the state records destruction board;
(2) "Long-term records," records with retention periods of 50 years or longer, as determined by the records retention and destruction schedules approved by the state records manager and the state records destruction board;
(3) "Micrographics," roll microfilms, microfiche, aperture cards, and all other formats produced by any method of microphotography or other means of miniaturization, which are readable by use of magnification and illumination;
(4) "Legibility," the quality of a letter or numeral that enables the observer to identify it positively and quickly to the exclusion of all other letters or numerals;
(5) "Readability," the quality of a group of letters or numerals that makes it recognizable as words or complete numbers;
(6) "Positive image," documents or film with dark characters on a light background;
(7) "Negative image," documents or film with light characters on a dark background; and
(8) "Security copy," the original silver halide film in roll form for source documents, and in either roll or microfiche form for computer output.
Source: 11 SDR 91, effective January 15, 1985.
General Authority: SDCL 1-27-16.
10:04:01:02. Agency records officer designation. The head of a state department, bureau, board, council, or institution is responsible for the overall coordination of records management activities within the agency. He may act as the records officer for his agency to carry out this responsibility or he may designate a records officer from the management or professional level to act in his place.
Source: 11 SDR 91, effective January 15, 1985.
General Authority: SDCL 1-27-16.
10:04:01:03. Duties of agency records officer. In accordance with the provisions of SDCL 1-27, articles 10:03, 10:04, and 24:51, the records officer designated in § 10:04:01:02 shall do the following:
(1) Maintain an active, continuing program for the efficient and economical management of the recordkeeping activities of the agency;
(2) Maintain records containing complete documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency, designed to furnish information to protect the legal and financial rights of the state and of persons directly affected by the agency's activities;
(3) Submit to the state records manager the records retention and destruction schedules required by SDCL 1-27-13 and 1-27-14;
(4) Submit an inventory to the state records manager of the records in the custody or under the control of the agency on forms supplied by the state records manager;
(5) Review the inventory and the retention and destruction schedules annually and petition changes to the state records manager to make the schedules current, accurate, and complete;
(6) Supervise the preparation of records and transfer forms for conveyance to the state record center or state archives;
(7) Enforce compliance with authorized record retention and destruction schedules; and
(8) Represent the agency in all record-related matters upon request of the state records manager or the state records destruction board.
Source: 11 SDR 91, effective January 15, 1985.
General Authority: SDCL 1-27-16.
10:04:01:04. State records manager to approve purchase of microfilm systems. No state agency may purchase a microfilm system or any equipment, supplies, or services prior to the approval of the state records manager. The state records manager may approve internal microfilming by a state agency only if the microfilming may not be feasibly completed by existing state systems, equipment, supplies, or services and is necessary to a particular operation within the state agency.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12.
10:04:01:05. Relocation of micrographic equipment. The state records manager may relocate micrographic equipment within or between agencies or departments of the state if a potential economy or a substantial operating convenience for the state would result.
Source: 11 SDR 91, effective January 15, 1985.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12.
CHAPTER 10:04:02
STANDARDS FOR MICROGRAPHIC RECORDS
Section
10:04:02:01 Micrographic system requirements.
10:04:02:02 Additional micrographic requirements for long-term records.
10:04:02:03 Registration of micrographic projects.
10:04:02:04 Disposal of original documents.
10:04:02:05 Security micrographics film specifications.
10:04:02:06 Resolution specifications.
10:04:02:07 Density specifications.
10:04:02:08 Reduction ratio specifications.
10:04:02:09 Evaluation of system before use.
10:04:02:10 Preparation and arrangement of documents.
10:04:02:11 Identification and documentation of microfilm.
10:04:02:12 Identification of computer-output microfilm.
10:04:02:13 Quality control inspection.
10:04:02:14 Refilming.
10:04:02:15 Microfilm carton labels.
10:04:02:16 Integrity and use of security micrographic film.
10:04:02:17 Storage of security micrographic film.
10:04:02:01. Micrographic system requirements. A state agency acquiring micrographics system services or operating their own micrographics system shall meet the following requirements for all records:
(1) The records officer shall set forth in writing the procedures for establishment of the micrographics system in his agency, including the agencies or service bureaus responsible for operating and maintaining the system;
(2) The micrographics system must be complete and its use must be consistent with the written procedures established by the agency;
(3) The records officer shall establish procedures for appropriate documentation so a document being copied can be followed through the micrographics system;
(4) The records officer shall establish internal procedures for inspection and quality assurance;
(5) The records officer is responsible for having effective identification, processing, storage, and preservation of the micrographic record and for making it readily available for as long as the record is required to be retained by the currently authorized records retention and destruction schedule;
(6) The records officer shall keep a record of where, when, by whom, and on what equipment the micrographic record was produced. This information shall be retained for as long as the documents or images of the documents must be retained according to the currently authorized records retention and destruction schedule, whichever is longer;
(7) The records officer shall maintain a detailed index of all microfilmed records arranged in a manner that permits the immediate location of any particular record; and
(8) When displayed on a micrographics reader or viewer or reproduced on paper, the image must exhibit legibility and readability as defined in subdivisions 10:04:01:01(4) and (5).
Source: 11 SDR 91, effective January 15, 1985.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-10, 1-27-12.
Cross-Reference: Additional micrographic requirements for long-term records, § 10:04:02:02.
10:04:02:02. Additional micrographic requirements for long-term records. In addition to meeting other applicable requirements in this chapter, state agencies using micrographics as a substitute for long-term records must meet applicable industry standards and recommended practices for microfilming, processing, duplication, quality control, storage, identification, and inspection as set forth in the following:
(1) ANSI/AIIM MS1-1996, Standard Recommended Practice for Alphanumeric Computer Output Microforms-Operational Practices for Inspection and Quality Control;
(2) ANSI/AIIM MS17-2001, Rotary (Flow) Microfilm Camera Test Chart and Test Target – Descriptions and Use;
(3) ANSI/AIIM MS23-2004, Recommended Practice – Production, Inspection, and Quality Assurance of First-Generation, Silver Microforms of Documents;
(4) ANSI/AIIM MS48-1999, Recommended Practice – Microfilming Public Records on Silver Halide Film;
(5) ISO 3334:2006, Micrographics-ISO Resolution Test Chart No. 2-Decription and Use;
(6) ISO 18901:2010, Imaging Materials. Processed Silver-Gelatin-Type Black-and-White Films. Specifications for Stability;
(7) ISO 18906:2000, Imaging Materials. Photographic Films. Specifications for Safety Film; and
(8) ISO 18911:2010, Imaging Materials. Processed Safety Photographic Films. Storage Practices.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-10, 1-27-12, 19-7-12.
References:
ANSI/AIIM MS1-1996, Standard Recommended Practice for Alphanumeric Computer Output Microforms-Operational Practices for Inspection and Quality Control. Copies may be obtained from Association for Information and Image Management, 1100 Wayne Ave., Suite 1100, Silver Spring, MD 20910, http://www.aiim.org; Cost: $33.00.
ANSI/AIIM MS17-2001, Rotary (Flow) Microfilm Camera Test Chart and Test Target – Descriptions and Use. Copies may be obtained from Association for Information and Image Management, 1100 Wayne Ave., Suite 1100, Silver Spring, MD 20910, http://www.aiim.org; Cost: $33.00;
ANSI/AIIM MS23-2004, Recommended Practice – Production, Inspection, and Quality Assurance of First Generation, Silver Microforms of Documents. Copies may be obtained from Association for Information and Image Management, 1100 Wayne Ave., Suite 1100, Silver Spring, MD 20910, http://www.aiim.org; Cost: $52.00;
ANSI/AIIM MS48-1999, Recommended Practice – Microfilming Public Records on Silver Halide Film. Copies may be obtained from Association for Information and Image Management, 1100 Wayne Ave., Suite 1100, Silver Spring, MD 20910, http://www.aiim.org; Cost: $33.00;
ISO 3334:2006, Micrographics-ISO Resolution Test Chart No. 2-Decription and Use. Copies may be obtained from American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036, http://www.ansi.org; Cost: $70.00;
ISO 18901:2010, Imaging Materials. Processed Silver-Gelatin-Type Black-and-White Films. Specifications for Stability. Copies may be obtained from American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036, http://www.ansi.org; Cost: $126.00;
ISO 18906:2000, Imaging Materials. Photographic Films. Specifications for Safety Film. Copies may be obtained from American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036, http://www.ansi.org; Cost: $70.00;
ISO 18911:2010, Imaging Materials. Processed Safety Photographic Films. Storage Practices. Copies may be obtained from American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036, http://www.ansi.org; Cost: $135.00
10:04:02:03. Registration of micrographics projects. The records officer shall register all micrographics projects with the state records manager before they are begun. The registration must include, but is not limited to, the following information:
(1) The agency name and address;
(2) The record series name and number according to the approved records retention and destruction schedule;
(3) The inclusive dates of the records;
(4) The backlog volume of records and the annual accumulation of records, stated in cubic feet;
(5) A description of the physical properties of the documents;
(6) The type of camera and micrographic process (e.g. silver for long-term or electrophotographic, photoplastic, etc., for temporary retention records) to be used;
(7) A description of the filming procedures to be used;
(8) The type of camera films and duplicate films (e.g. silver, diazo, vesicular) to be used;
(9) The proposed disposition of all films and documents after filming; and
(10) The signature of the records officer.
Source: 11 SDR 91, effective January 15, 1985.
General Authority: SDCL 1-27-16.
10:04:02:04. Disposal of original documents. Following receipt of authorization under subdivision 10:03:02:05(6) or (7) from the state records destruction board to destroy the original document, or an authorized reproduction of the original document, after microfilming, the records officer must meet both of the following conditions before the destruction occurs:
(1) A duplicate copy of the micrographic record meeting all requirements of this chapter is created; and
(2) The original micrographic record and the duplicate copy are stored on separate premises. Long-term records must also be stored according to the standards in § 10:04:02:17.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-10, 1-27-12, 19-7-12.
10:04:02:05. Security micrographics film specifications. The following security film specifications for long-term records must be met by all state agencies using micrographics:
(1) The security copy of any micrographic record of documents created pursuant to this article must be the original silver halide film in roll form. The security copy of computer-output microfilm must be the original silver halide film in roll form or microfiche form;
(2) The security film of positive-image documents must be in negative image. The security film of negative-image documents must be in positive image. The security film of computer-output microfilm must be in negative image; and
(3) Security film must meet applicable industry standards and recommended practices as set forth in the following:
(a) ISO 18901:2010, Imaging Materials--Processed Silver-Gelatin-Type Black-and-White Films--Specifications for Stability; and
(b) ISO 18906:2000, Imaging Materials--Photographic Films--Specifications for Safety Film.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
References:
ISO 18901:2010, Imaging Materials--Processed Silver-Gelatin-Type Black-and-White Films--Specifications for Stability. Copies may be obtained from American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036, http://www.ansi.org; Cost $126.00.
ISO 18906:2000, Imaging Materials--Photographic Films--Specifications for Safety Film. Copies may be obtained from American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036, http://www.ansi.org; Cost:$70.00.
10:04:02:06. Resolution specifications. A micrographic system for documents shall be tested for resolution capability upon installation by use of a camera test chart as specified in subdivision 10:04:02:02(3), or the equivalent. Micrographic systems used for long-term state government records must meet the following specifications for resolution:
(1) A micrographic system for documents must produce a quality index level of not less than 5.0 for first-generation microfilm as measured according to applicable industry standards and recommended practices as set forth in subdivision 10:04:02:02(3). In applying this standard a lowercase letter "e" height of 1.4 millimeters or less must be used;
(2) 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;
(3) The film used in reading the camera test chart must be processed to the density standards of § 10:04:02:07; and
(4) A computer-output microfilm system must produce a quality index of not less than 5.0 for first-generation microfilm as measured according to applicable industry standards and recommended practices as set forth in subdivision 10:04:02:02(1).
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
Cross-References: Micrographic system requirements, § 10:04:02:01; Additional micrographic requirements for long-term records, § 10:04:02:02.
10:04:02:07. Density specifications. Micrographic systems used for long-term state government records must meet the following density specifications:
(1) Background density in first-generation negative microfilm of documents must be maintained as nearly as practical in the range of 0.92 to 1.20. No density over 1.25 or under 0.87 is allowed;
(2) If a density in first-generation negative microfilm of documents occurs in the ranges 0.87 to 0.91 or 1.21 to 1.25, the records officer shall determine by visual inspection that all such images satisfactorily reproduce all required record information;
(3) Background density in first-generation computer-output microfilm must be 1.50 or greater; and
(4) The density of microfilm in a clear area (base plus for density or Dmin) may not be greater than 0.10.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
10:04:02:08. Reduction ratio specifications. Micrographic systems used for long-term state government records must meet the following reduction ratio specifications:
(1) A reduction ratio for microfilm of documents of 25 to 1 or 24 to 1 or less is required;
(2) A reduction ratio for microfilm of documents of greater than 25 to 1 may be used only if the micrographic system can maintain the required quality index at the higher reduction; and
(3) Computer-output microfilm must be at a reduction ratio of 48 to 1 or 24 to 1.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
10:04:02:09. Evaluation of system before use. The records officer shall have a sample of the product of the micrographics system inspected and approved by the state records manager before the system is placed in regular use. If the micrographics system is modified in any manner, a new sample of the product of the system must be inspected and approved by the state records manager before the modified system is placed in use. Evaluation by the state records manager of a sample of the product of the micrographics system may not be substituted for the agency inspection specified in subdivision 10:04:02:01(4) or § 10:04:02:13.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
10:04:02:10. Preparation and arrangement of documents. State documents designated for microfilming shall be prepared and repaired before microfilming so that no required information is obscured. The arrangement must allow the quickest and simplest retrieval.
Source: 11 SDR 91, effective January 15, 1985.
General Authority: SDCL 1-27-16.
10:04:02:11. Identification and documentation of microfilm. The targets described below must appear in sequence at the start and end of each roll of microfilm used for long-term records:
(1) START. A target labeled START to be filmed at the beginning of the roll. Letters must be large enough to be readable on the finished film without magnification;
(2) BLANK SHEET OF PAPER. A blank sheet of sulfite white nonbond paper. This sheet must be fresh and free from stray marks;
(3) RESOLUTION TEST CHART. One of the test charts described in § 10:04:02:06;
(4) CERTIFICATE OF AUTHENTICITY. A certificate which identifies the microfilm roll number, the authorized state records destruction board (RDB) disposal authority number, the destruction schedule listed as number of years the film is to be retained from date of filming, the camera reduction ratio, a brief description of the first record to be filmed, the agency name starting with the highest department name and listing the descending hierarchial structure down to the legal custodian agency where the records are filed, record series name from authorized records retention and destruction schedules, contents of the series such as inclusive dates or inclusive alphanumeric designations, the date microfilmed, and the camera operator's written signature in full;
(5) DESCRIPTIVE TARGETS. A descriptive target wherever it would simplify the use of the micrographic record. Examples of these kinds of targets are alphabetical, numerical, common name, chronological, geographical, or any combination of these;
(6) DOCUMENTS TO BE FILMED. The state records to be filmed. Descriptive and informational targets may be inserted at the appropriate locations throughout the course of the documents;
(7) INFORMATIONAL TARGETS. Informational targets to indicate missing documents, blank pages, illegible original documents, misnumbered pages, corrections, or other deviations from the standard filming procedure;
(8) CERTIFICATE OF AUTHENTICITY. The same certificate filmed at the beginning of the roll complete with a description of the last document filmed and the number of exposures made obtained from the camera document counter, if available;
(9) RESOLUTION TEST CHART. The same test chart used at the beginning of the roll;
(10) BLANK SHEET OF PAPER. The same blank sheet of sulfite white nonbond paper, fresh and free from stray marks, used at the beginning of the roll; and
(11) END. A target labeled END to be filmed at the end of the roll. Letters must be large enough to be readable on the finished film without magnification.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
10:04:02:12. Identification of computer-output microfilm. Computer-output microfilm must contain the following identifying information:
(1) Fiche number;
(2) Date;
(3) Agency name;
(4) Title of record; and
(5) Other information useful to the user.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
10:04:02:13. Quality control inspection. The records officer shall inspect or have inspected the microfilm of long-term records image by image to ensure completeness, adequacys and accuracy of documentation, legibility, correct arrangement, conformity with standards, and no camera or processing defects.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
10:04:02:14. Refilming. When inspection of the microfilm for long-term records reveals that some documents were defective or missing, those documents shall be refilmed as follows:
(1) Refilming may be done on a full new roll or on a partial roll of film, but the retake must be spliced on the original roll to which the retakes apply. Retakes may either be spliced on the original roll before the start target or after the end target. A retake may never be spliced in the body of the original film roll;
(2) Documentation of refilming shall, as far as applicable, be the same as the documentation of the original film roll and must include a START OF RETAKE target at the beginning; a blank sheet of paper at the beginning and end; a resolution test chart at the beginning and end; a properly filled out certificate of authenticity at the beginning and end; and an END OF RETAKE target at the end;
(3) Refilmed documents shall be indexed in sufficient detail to enable the documents to be found; and
(4) The records officer shall inspect or have inspected refilmed documents in the same manner as the original film roll.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12, 19-7-12.
10:04:02:15. Microfilm carton labels. The microfilm carton label for long-term records must contain the following:
(1) Roll number;
(2) Agency name as listed on the certificate of authenticity;
(3) Record series name or title; and
(4) Start and end contents, e.g. beginning and ending letters or names if alphabetical, beginning and ending numbers if numerical, or beginning and ending dates if chronological.
Source: 11 SDR 91, effective January 15, 1985.
General Authority: SDCL 1-27-16.
10:04:02:16. Integrity and use of security micrographic film. All original silver film of long-term state documents must meet the following requirements:
(1) Security microfilm of documents must be in roll form and may have no breaks, cuts, or splices in the body of the film in the area following the START target and preceding the END target;
(2) Security micrographic film may not be used for reference purposes, but may be used only to produce work or reference film copies; and
(3) Security micrographic film may not be written on by any type of marking or writing instrument.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12.
10:04:02:17. Storage of security micrographic film. All original silver film of long-term state government documents must meet the following requirements:
(1) Security micrographic film shall be stored in compliance with applicable industry standards and recommended practices as set forth in ISO: 18911:2010, Imaging Materials—Processed Safety Photographic Films—Storage Practices for archival (permanent) storage;
(2) Security micrographic film may not be stored on the same premises as the original records or the working copies of the film;
(3) The records officer shall inspect or have inspected all security micrographic film by sampling once a year for any image, base, or container degradation.
Source: 11 SDR 91, effective January 15, 1985; 39 SDR 203, effective June 10, 2013.
General Authority: SDCL 1-27-16.
Law Implemented: SDCL 1-27-12.
Reference: ISO 18911:2010, Imaging Materials—Processed Safety Photographic Films—Storage Practices. Copies may be obtained from American National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY 10036, http://www.ansi.org. Cost: $135.00.
