Maryland State Laws on Optical Images

State Archivist and Records Manager:

Edward C. Papenfuse, State Archivist

350 Rowe Blvd., Annapolis MD 21401

410-974-3867 fax: 410-974-3895

Kevin Swanson, State & Local Records Director

410-974-3914 fax: 410-974-2525

Rule - 5-1001. DEFINITIONS '

In this Chapter the following definitions apply except as expressly other;. wise provided or as necessary implication requires:

(a) Writings and Recordings. -- '"Writings" and 'Ľecordings" consist of letters, words, numbers, or their equivalent, set down by handwriting, type-* writing, printing, photostating, photographing, magnetic or optical impulse, mechanical or electronic recording, or other form ofdata compilation.

Committee note: Thie is not intended to discretion to change the common law regarding the court's treat chattels inscribed with let-' ters or numbers as writings.,

(b) Photographs. -- "Photographs" include still photographs, X-ray films, video. tapes, and motion pictures.

recording itself or any. counterpart intended to have the same effect by a

person executing or issuing it. An "original" of a photograph: includes the

negative or any print therefrom. If data are stored in a computer or similar

device, any printout .or other output readable by sight, shown to reflect the

data accurately, is: an "original".

(d) Duplicate. -- A "duplicate" is a counterpart produced by the same' impression as the original, or from the same matrix, or by means of photography, including enlargements and miniatures, or by mechanical or electronic re-recordings, or by chemical reproduction, or by other equivalent 'technique which accurately reproduces the original.

Rule 5-1002. REQUIREMENT OF ORIGINAL

To prove the content of a writing, recording, or photograph, the original writing, recording, or photograph is required, except as otherwise provided in these rules or by statute.

Source: This Rule is derived from F.R.Ev. 1002.

Rule 5-1003. ADMISSIBILITY OF DUPLICATES

A duplicate is admissible to the same extent as an original unless (1) a genuine question is raised as to the authenticity of the original or (2) in the circumstances it would be unfair to admit the duplicate in lieu of the original.

Source: This Rule is derived from F.R. Ev. 1003.

Rule 5-1004. ADMISSIBILITY OF OTHER EVIDENCE OF CONTENTS

The contents of a writing, recording, or photograph may be proved by evidence other than the original if:

(a) Original Lost or Destroyed. -- All originals are lost or have been destroyed, unless the proponent lost or destroyed them in bad faith;

(b) Original Not Obtainable. -- No original can be obtained by any reasonably practicable, available judicial process or procedure;

was under the control of the party against whom offered, that party was put on notice, by the pleadings or otherwise, that the contents would be a subject of proof at the hearing or trial, and that party does not produce the original at the hearing or trial; or

(d) Collateral Matters. -- The writing, recording, or photograph is not closely related to a controlling issue.

Cross reference: For admissibility of dupli- Source: This Rule is derived from cates, see Rule 5-1003. 1004.

Rule 5-1005. PUBLIC RECORDS

The contents of an official record, or of a document authorized to be recorded

or filed and actually recorded or filed, including data compilations, if other wise admissible, may be proved by copy, certified as correct in accordance with Rule 5-902 or testified to be correct by a witness who has compared it with the original. If a copy that complier with the foregoing cannot be obtained by the exercise of reasonable diligence, other evidence of the contents may be given.

Rule 5.1006. SUMMARIES

The contents of voluminous writings,recordings, or photographs, otherwise admissible, which cannot conveniently be examined in court may be presented in the form of a chart, calculation, or other summary. The party intending to use such a summary must give timely notice to all parties of the intention to use the summary and shall make the summary and the originals or duplicates from which the summary is compiled available for inspection and copying by other parties at a reasonable time and place. The court may order that they be produced in court.

Source: This Rule is derived from F.R.Ev. 1006.

Rule 5-1007. TESTIMONY OR WRITTEN ADMISSION OF PARTY

Contents of writings, recordings, or photographs may be proved by the testimony or deposition of the party against whom offered or by the party's written admission, without accounting for the nonproduction of the original.

Source: This Rule is derived from F.R.Ev. 1007.

Rule 5-1008. FUNCTIONS OF COURT AND JURY

(a) Generally. -- Except as otherwise provided in section (b) of this Rule, when the admissibility of evidence other than the original of contents of writings, recordings, or photographs under these rules depends upon the fulfillment of a condition of fact, the question whether the condition has been fulfilled is for the court to determine in accordance with the provisions of Rule 5-104 (a).

(b) Exceptions. --The following issues, if raised, are for the trier of fact to determine as in the case of other issues of fact: (1) whether the asserted writing, recording, or photograph ever existed, (2) whether another writing, recording, or photograph produced at the trial is the original, or (3) whether evidence of contents other than the original correctly reflects the contents.

Source: This Rule is derived from F.R. Ev. 1008.

Part III. Access to Public Records.

§ 10-611. Definitions.

(a) In general. -- In this Part III of this subtitle the following words have the meanings indicated.

(b) Applicant. -- "Applicant" means a person or governmental unit that asks to inspect a public record.

(2) any other authorized individual who has physical custody and control of a public record.

(d) Official custodian. -- "Official custodian" means an officer or employee of the State or of a political subdivision who, whether or not the officer or employee has physical custody and control of a public record, is responsible for keeping the public record.

(e) Person in interest. -- "Person in interest" means:

(1) a person or governmental unit that is the subject of a public record or a designee of the person or governmental unit;

(2) if the person has a legal disability, the parent or legal representative of the person; or

(3) as to requests for correction of certificates of death under § 5-310 (d) (2) of the Health-General Article, the spouse, adult child, parent, adult sibling, grandparent, or guardian of the person of the deceased at the time of the deceased's death.

(f) Public record. -- (1) "Public record" means the original or any copy of any docu. mentary material that:

(i) is made by a unit or instrumentality of the State government or of a political subdivision or received by the unit or instrumentality in connection with the transaction of public business; and

(ii) is in any form, including:1. a card;

2. a computerized record; 3. correspondence; 4. a drawing;

5. film or microfilm; 6. a form; 7. a map;

8. a photograph or photostat; 9. a recording; or 10. a tape.

(2) "Public record" includes a document that lists the salary of an employee of a unit or instrumentality of the State government or of a political subdivision.

(3) "Public record" does not include a digital photographic image or signature of an individual, or the actual stored data thereof, recorded by the Motor Vehicle Administration. (An. Code 1957, art. 76A, § 1; 1984, ch. 284, § 1; ch. 285, § 8; 1992, ch. 547; 1994, ch. 365.)

Effect of amendments. -- The 1994 amendment, approved May 2, 1994, and effective from date of enactment, added (f) (3).

Editor's note. -- Section 2, ch. 547, Acts 1992, provides that "the Chief Medical Examiner, in consultation with the Office of Administrative Hearings, shall adopt final regulations for the purpose of implementing this Act, to be effective January 1, 1993."

Section 3, ch. 547, Acts 1992, provides that "this Act shall be construed retroactively and shall be applied to and interpreted to affect all certificates of death for individuals who died on or after May 1, 1987. Notwithstanding the restrictions of § 5-310 (d) (2) (i) of the HealthGeneral Article as enacted by § i of this Act, persons in interest may request corrections to certificates of death for individuals who died on or after May 1, 1987, by filing a request with the Office of the Chief Medical Examiner no later than,June 30, 1993."

Maryland Law Review. -- For article, "Survey of Developments in Maryland Law, 1983-84," see 44 Md. L. Rev. 281 (1985).

For article, "Survey of Developments in Maryland Law, 1984-85," see 45 Md. L. Rev. 836, 916 (1986).

§ 10-102. Maryland Uniform Photographic Copies of Business and Public Records as Evidence Act.

(a) In general. -- If a business, institution, member of a profession or calling, or a department or agency of government, in the regular course of business or activity has kept or recorded a memorandum, writing, entry, print, representation, or a combination of them, of an act, transaction, occurrence, or event, and in the regular course of business has caused any or all of them to be recorded, copied, or reproduced by a photographic, photostatic, microfilm, microcard, miniature photographic, or other process which accurately reproduces or forms a durable medium for so reproducing the original, the original may be destroyed in the regular course of business unless its preservation is required by law. The reproduction, when satisfactorily identified, is as admissible in evidence as the original itself in a judicial or administrative proceeding whether the original is in existence or not and an enlargement or facsimile of the reproduction is likewise admissible in evidence if the original reproduction is in existence and available for inspection under direction of the court. The introduction of a reproduced record, enlargement, or facsimile does not preclude admission of the original.

(b) Uniformity of interpretation. -- This section shall be interpreted and construed to effectuate its general purpose of making uniform the law of those states which enact it.

(c) Short title. -- This section may be cited as the Maryland Uniform Photographic Copies of Business and Public Records as Evidence Act. (An. Code 1957, art. 35, § 60; 1973, 1st Sp. Sess., ch. 2, § 1; 1974, ch. 691, § 8.)

§ 10-103. Admissibility of duplicate in evidence.

(a) Definitions. -- In this section, the following words have the meanings indicated:

(1) "Writing" means letters, words, or numbers, or their equivalent, set down by handwriting, typewriting, printing, photostating, photographing, magnetic impulse, mechanical or electronic recording, or other form of data compilation.

(2) "Photographs" include still photographs, X-ray films, video tapes, and motion pictures.

(3) (i) "Original" of a writing means the writing itself or any counterpart intended to have the same effect by a person executing or issuing it.

(ii) "Original" of a photograph includes the negative or any print there-from.

(iii) "Original" includes, if data is stored in a computer or similar device, any printout or other output readable by sight that reflects the data accurately.

(4) "Duplicate" means a counterpart produced by the same impression as the original, or from the same matrix, or by means of photography, including enlargements and miniatures, or by mechanical or electronic rerecording, or by chemical reproduction, or by other equivalent techniques which accurately reproduce the original.

(b) Limits on admissibility. -- A duplicate is admissible in evidence to the same extent as an original unless: (1) A genuine question is raised as ,to the authenticity of the original; or (2) Under the circumstances, it would be unfair to admit the duplicate in lieu of the original. (1981, ch. 720; 1985, ch. 10, § 3.)

The following rules and regulations are presented for information purposes only. The only legally binding copy of these rules and regulations is that published in the Maryland Register and codified in COMAR and shouM be obtained from the Secretary of State's Division of State Documents (1)SD).

Title 14

INDEPENDENT AGENCIES

Subtitle 18 STATE ARCHIVES

Chapter 04 Electronic Records

Authority: State Governmere Article, §§9-1007 and 10-632, Annotated Code of Maryland

Editor's Note On Incorporation By Reference

Pursuant to State Governmere Article, §7-207, Annotated Code of Maryland, the Spatial Data Transfer Standard (SDTS) (FIPS Pub 173, 1992 August 28); Conent Standards for Digital Spatial Metadata (March 31, 1994); Code for Information Imerchange, Its Represenation, Subsets, and Extensions (FIPS Pub 1-2, 1984 November 14); Terminal Equipment and Protocols for Telematic Services (14-25 November 1988); Vital Records Protection Plan (Revised: January, 1993); State Computerized Record System Security Requirements and Recommendations (Revised: June 2, 1993); and "Information Processing - Volume and File Structure of CD-ROM for Information Interchange (ISO 9660, 1988 September 1)" have been declared documents generally available to the public and appropriate for incorporation by reference. For this reason, they will not be primed in the Maryland Register or the Code of Maryland Regulations (COMAR). Copies of these documents are filed in special public depositories located throughout the State. A list of these depositories was published in 21:1 Md R. 13 (January 7, 1994). These documents may also be inspected at the office of the Division of State Documents, Old Armory Building, 11 Bladen Street, Annapolis, Maryland.

.01 Purpose.

A. These regulations establish the minimum requirements to create, use, maintain, appraise, preserve, store, make accessible, and dispose of electronic records.

B. All electronic media are highly perishable. Electronic media do not last as long as traditional record keeping media such as paper or microfilm.

C. At a time when public records increasingiy are created, maintained, and made accessible only in electronic form, it is vital that standards and procedures be established to identify and preserve these records in order to:

(1) Provide for the regular and timely appraisal of electronic public records to ensure that records of permanent historical, administrative, fiscal, legal, or other archival value are identified and preserved;

(2) Make these records accessible to government and to the public in perpetuity;

(3) Safeguard govemment's legal and fiscal accountability through the preservation of important records; and

(4) Document the administrative history of government by preserving those records that illustrate agency goals and accomplishments.

.02 Scope.

These regulations apply to:

A. All agencies or offices of the State, county, and local governments, or any private vendor under contract with the agency or office to collect, maintain, or disseminate public information in an electronic form;

B. All numeric, graphic, textual, and cartographic information recorded on machine readable media that includes, but is not limited to, magnetic media, such as tapes and disks (hard or floppy), and optical disks; and

C. All electronic records systems, including, but not limited to, microcomputers, minicomputers, main-frame computers, or optical image recording systems, regardless of storage media, in network or stand-alone configuration.

.03 Definitions.

A. The following terms have the meanings indicated.

B. Terms Define:

(1) "Agency" means any unit of State, county, or local government.

(2) "Archives" means the State Archives.

(3) "Database" means a set of data, consisting of at least one file or a group of integrated files, usually maintained in one location and stored for security purposes in another and made available to several users for various applications.

(4) "Database management system" means a software system used to access and retrieve data stored in a database.

(5) "Datafile" means:

(a) An organized collection of related data that are stored together and treated as a unit by a computer or,

(b) Related numeric, textual, graphic, or cartographic information organized in a strictly required format.

(6) "Division" means the Records Management Division of the Maryland Department of General Services

(7) "Electronic record" means any government information recorded in machine readable form.

(8) "Electronic records system" means any information system that produces, processes, or stores government records by using a computer.

(9) "Information system" means the organized collection, processing, transmission, and dissemination of information in accordance with defined procedures, whether automated or manual

(10) "Life cycle" means the regular and systematic progression of an electronic record from one storage medium to another as necessary to ensure its preservation and accessibility from the time the record is created through to its ultimate disposition.

(11) "Nonpermanent electronic record" means any electronic record created or received by an agency or office in connection with the transaction of' public business and appraised by the Archives as not having sufficient value to warrant preservation.

(12) "Office" means a part of an agency.

(13) "Periodic" means any time within the 5-year cycle established for the regular review of all agency record keeping practices (State Government Article, § 10-634, Annotated Code of Maryland).

(14) "Permanent electronic record" means any electronic record created or received by an agency or office in connection with the transaction of' public business and appraised by the Archives as having sufficient historical, administrative, legal, fiscal or other archival value to warrant preservation by the Archives beyond the item that the record is needed by the agency that created it.

(15) "Schedule" means a Records Retention and Disposition Schedule, an official document that lists and describes all records of an agency or office, authorizes the permanent retention by the Archives of those records considered by statute or by the Archives to be of permanent value, and authorizes the destruction of those records not essential to operations after the lapse of a stated period of time.

(16) "Security copy" means an exact duplicate copy of an electronic record stored off-site in a secure facility that can be used to replace lost or destroyed records.

(17) "System architecture" means the organizational structure of an electronic records system, including necessary application systems, computer equipment, a communications network, and related software which defines the nature, content, and interrelation of input, files, procedures, and output.

.04 Agency Duties and Responsibilities.

A. Electronic Records to be covered by Records Retention and Disposition Schedules.

(1) All agencies are required to develop official records retention and disposition schedules according to COMAR 14.18.02. The unauthorized destruction or alienation of any public record is a criminal misdemeanor subject to penalties (Article 27, §45A, Annotated Code of Maryland).

(2) All agencies shall identify and preserve permanently valuable records, safeguard their legal and fiscal accountability, document their administrative history, and ensure ongoing public access to the public records of government by adopting official schedules.

(3) The head of each agency or office shall ensure that all electronic records created by that agency or office are covered by an official schedule according to COMAR 14.18.02.

(4) The schedule clearly should outline regular agency procedures to recopy, reformat, and maintain electronic records to ensure the record's retention and usability throughout the record's authorized life cycle.

(5) As part of the scheduling process, the head of each agency or office shall submit to the Archives and the Division an electronic records inventory (DGS 550-6) to document each electronic records system.

(6) The electronic records inventory shall:

(a) Identify all inputs and outputs of the system;

(b) Define contents of files and records, policies on access and use, purpose and' function of the system, and updating cycles or conditions and rules for revising information in the system;

(c) Provide for the ultimate disposition of the information, including periodic transfer of permanent electronic records to the Archives;

(d) Specify the location and media in which electronic records are maintained through the electronic records life cycle; and

(e) Provide current technical documentation for each electronic records system as it is modified or updated, which includes the following:

(i) Narrative description of the system,

(ii) Description of the physical and technical characteristics of the records with a record layout that defines each field giving its name, size, starting, or relative position, and description of the form of the data (such as alphabetic, decimal, or numeric), or a data dictionary or the equivalent information associated with a database management system, including a description of the relation between data elements in databases,

(iii) For geographic information systems, description of the physical and technical characteristics of the records, including a data dictionary, a quality and accuracy report, and a description of the graphic data structure, such as recommended by the "Spatial Data Transfer Standard (SDTS) (FIPS Pub 173, 1992 August 28)" and "Content Standards for Digital Spatial Metadata (March 31, 1994)" which are incorporated by reference, and

(iv) Description of the backup security plan by means of which permanent and nonpermanent electronic records shall be preserved and made accessible to government and the public throughout the electronic records life cycle, including any additional technical information, software, or platforms needed to read, copy, or process the records.

B. Electronic Records to be Appraised Regularly.

(1) Given the highly perishable nature of all electronic media it is necessary that these records be appraised periodically in order to identify and preserve those records that require permanent preservation.

(2) This preservation safeguards the agency's legal and fiscal accountability and documents the agency's administrative history.

(3) To ensure the timely appraisal of all electronic records, the head of each agency or office shall:

(a) Provide for the periodic complete review of the agency's schedules; or

(b) Periodically submit to the Archives a copy of the Information Processing Plan prepared for the Department of Budget and Fiscal Planning, as part of the Division's Analysis of State Government Records conducted every 5 years according to COMAR 14.18.02.

C. Electronic Records to be Maintained Properly.

(1) To maintain the official record copy of electronic records systems for use by government and the public, the head of each agency or office shall:

(a) Provide a method for all authorized users of the system to retrieve desired documents;

(b) Provide an appropriate level of security to ensure the integrity of the documents;

(c) Identify the standard interchange format, when necessary, to permit the exchange of documents on electronic media between agency computers using different software or operating systems, and the conversion or migration of documents on electronic media from one system to another; and

(d) Provide for the disposition of the records, including a plan by means of which permanent electronic records will be preserved and made accessible to government and the public through periodic transfer to the Archives, including any additional technical information, software, or platforms needed to read, copy, or process the records.

(2) In the absence of conversion capabilities different from those in §c(1)(c) of this regulation, the following standards shall apply:

(a) A word processing or text creation system shall be able to import and export files in American Standard Code for Information Interchange (ASCII) format as required by the "Code for Information Interchange, Its Representations, Subsets, and Extensions (FIPS Pub 1-2, 1984 November 14)" which is incorporated by reference.

(b) Cartographic or graphic file systems shall be able to import and export files in Group III or Group IV compressed facsimile transmission format as specified in "Terminal Equipment and Protocols for Telematic Services (The International Telegraph and Telephone Consultative Committee, Blue Book Volume VII - Fascicle VII.3, 14-25 November 1988)" which is incorporated by reference.

D. Electronic Records to Bear Unique Identification.

(1) Before a record is created on electronic records systems, the head of each agency or office shall ensure that the record be uniquely identified to enable authorized personnel to retrieve, protect, and carry out the disposition of records in the system.

(2) Agencies shall ensure that records maintained in these systems can be correlated easily with related records on paper, microfilm, or other media.

(3) Electronic storage media shall be externally labeled in a manner that provides unique identification, including:

(a) Organizational unit responsible for the data;

(b) System title, including the version number of the application;

(d) Soilware in use at the time of record creation;

(e) Date, place, and time of record creation; and

(f) Official schedule number that governs the retention of the records stored on that

media.

E. Integrity of Electronic Records to be Maintained throughout Their Life Cycle. To ensure the legal admissability of electronic records and to safeguard the legal and fiscal accountability of government the head of each agency or office shall;

(1) Document that similar kinds of records generated and stored electronically are created

by the same processes each time and have a standardized retrieval routine;

(2) Substantiate that security procedures prevent unauthorized addition, modification, or deletion of a record and ensure systems protection against such problems as power interruptions;

(3) Identify the electronic media on which records are stored throughout their life cycle, the maximum time span for records to remain on each storage media, the official retention requirements mandated in the agency's schedule, and the plan by means of which permanent and nonpermanent electronic records will be preserved and made accessible to government and the public, including any additional technical information soilware, or platforms needed to read, copy, or process the records; and

(4) Maintain for each media storing electronic records:

(a) File title, Co. Date, or dates of file creation, (c) Inclusive dates of files, (d) Recording density,

(e) Type of internal labels,

(f) Volume serial number, if applicable,

(g) Number of tracks,

(h) Character code or software dependency,

(i) Block size, and

(j) Sequence number, if the file is part of a multi-media set.

F. Electronic Records to be Stored Properly and Made Accessible. For the storage of electronic records throughout their life cycle, the head of each agency or office shall select appropriate media and systems that:

(1) Permit easy and accurate retrieval in a timely fashion;

(2) Retain the records in a universally accessible format until authorized disposition, transfer to the Division or appropriate county records center, or periodic transfer of permanent electronic records to the Archives;

(3) Ensure that all authorized users can identify and retrieve information stored on various media by means of external labelling of the contents of diskettes, disks, tapes, or'optical disks;

(4) Ensure that information is not lost due to changing technology or deterioration of storage media by developing a security plan by means of which permanent and nonpermanent records will be preserved and made accessible to government and the public throughout their life cycle, including any additional technical information, software, or platforms needed to read, copy, or process the records; and

(5) Produce security copies of electronic records to be transferred to secure storage areas located in buildings separate from the location where the electronic records are maintained in order to safeguard against the loss of information due to equipment malfunctions or human error as outlined in the "Vital Records Protection Plan (Revised: January 1993)" which is incorporated by reference.

G. Electronic Records to be Secured and Preserved.

(1) The head of each agency or office shall provide for the security and longevity of electronic records by implementing the procedures outlined in the "State Computerized Record System Security Requirements and Recommendations (Revised: June 2, 1993)", which is incorporated by reference.

(2) The head of each agency or office shall also:

(a) Read periodically a statistical sample of all electronic media containing records in order to identify any loss of information, and to discover and correct the cause of data loss;

(b) Establish regular procedures to copy all electronic media frequently onto tested and verified new media and the test will verify that the media are free of errors:

(d) Rewind electronic tapes with extreme cases of degradation when they are discovered to avoid more permanent damage;

(e) Prohibit smoking, eating, or drinking in electronic media storage, testing or evaluation areas;

(f) Establish a plan by means of which permanent electronic records are preserved and made accessible to government and the public through periodic transfer to the Archives; and

(g) Provide any additional technical information, software, or platforms needed to read, copy, or process the permanent electronic records so transferred.

H. Electronic Records on Compact Disk-Read Only Memory (CD-ROM) to Meet Certain Standards. If an agency or office head decides to transfer records on CD-ROM, which include fielded data files or text files, the following standards shall apply, as recommended by "Read Only Memory (CD-ROM) Medium to Transfer Records to the National Archives (NARA Bulletin No. 94-4, 1994 July 20)":

(1) Files shall comply with "Information Processing Volume and File Structure of CD-ROM for Information Interchange (ISO 9660, 1988 September 1)" which is incorporated by reference;

(2) Files shall comply with the American Standard Code for Information Interchange (ASCII) format as required by the "Code for Information Interchange, Its Representations, Subsets and Extensions (FIPS Pub 1-2, 1984 November 14)" which is incorporated by reference in §c(2)(a) of this regulation;

(3) Files may not depend on control characters or codes undefined in the ASCII character set;

(4) Files may not be compressed unless software to decompress the files is provided;

(5) Files shall be individually addressable; and

(6) Files shall comply with the documentation requirements of this chapter.

The following rules and regulations are presented for information purposes only. The only legally

binding copy of these rules and regulations is that published in the Maryland Register and codified in COMAR and shouM be obtained from the Secretary of State's Division of State Documents (DSD).

Title 14

INDEPENDENT AGENCIES

Subtitle 18 STATE ARCHIVES

Chapter 02 Records Retention and Disposition Schedules

Authority: State Government Article, §§9-1007 and 10-632, Annotated Code of Maryland

.01 Definitions.

A. In this chapter, the following terms have the meanings indicated.

B. Terms Defined.

(1) "Agency" means any unit of State, county, or local government.

(2) "Archives" means the State Archives.

(3) "Division" means the Records Management Division of the Department of General Services.

(4) "Office" means a part of an agency.

(5) "Record" means any documentary material in any form or format including paper, microform, electronic record, or other medium, that is:

(a) Created by an agency or office; or

(b) Received by an agency or office in connection with the transaction of public business.

(6) "Record series" means a set of file units or documents maintained on paper, microform, magnetic disk, magnetic tape, or other medium and related to a particular subject or function of an agency or office or is derived from a particular activity of an agency or office.

(7) "Schedule" means a records retention and disposal schedule which is an official document listing and describing all records of an agency or office, and providing:

(a) Authorization for the destruction of those records that are not essential to its operations after the lapse of a stated period of time; and

(b) For the permanent retention of those records deemed by statute or considered by the Archives to be of permanent value, or both.

(7) Current location or locations of the record series; and

(8) A record series description, which includes the following:

(a) Brief description of the typical types of documents found in the record series, (b) Activity or function documented by the record series, (c) Forms, if any, included in the record series,

(d) Type of filing system, such as alphabetical, chronological, numerical, geographical, or other,

(e) Type and explanation of indexing system, if any, including a brief description of any hardware or software, or both, used to provide index access.

(f) If the record series or index is duplicated in whole or in part elsewhere, the name of the agency or office having a copy,

(g) Access restrictions, if any, based on laws or regulations, with the citations, and (h) Audit requirements, if any.

F. Records Appraisal. Records appraisal is the process of determining how long, in what format, and under what conditions a record series ought to be preserved. Records appraisal is based upon the information contained in the records inventory. Records series shall be either preserved permanently or disposed of when no longer required for the current operations of an agency or office, depending upon:

(1) Historical value;

(2) Administrative value;

(3) Legal value;

(4) Fiscal value, and;

(5) Other archival value.

G. Schedule Preparation. The schedule shall be prepared by completing a records retention and disposal schedule form (DGS 550-1) which shall include the following information:

(1) Name of the agency and, if applicable, office.

(2) Description of each record series, which shall include the record series title and the record series description, as specified on the records inventory.

(3) Retention period for each record series. The following apply:

(a) For records to be preserved permanently, the schedule shall provide for periodic transfers to the Archives or to a depository designated by the Archives;

(b) For permanent records that are microformed, the schedule shall state that the master security microform shall be transferred annually or more frequently to the Archives;

(c) For disposable records, the schedule shall state the length of time the records will be kept in the agency or office and, if applicable, the length of time the records will be stored in a records center;

(d) For records with audit requirements, the schedule shall state the length of time the records shall be kept after the audit.

H. Legal Authorization and Implementation of Schedules.

(1) Proposed schedules shall be approved in writing by a legally designated official of the agency or office before they are submitted to the Division.

(2) Three signed copies of any proposed schedule and one copy of the records inventory accompanying each proposed schedule shall be submitted to the Division for review.

(3) Proposed revisions made by the Division and approved by the agency or office shall be incorporated into the proposed schedule and signed by a legally designated official of the agency or office.

(4) The Division shall assign a control number (Schedule No.) and forward to the Archives all three copies of the proposed schedule, as amended or revised, and the records inventory.

(5) The Archives shall review the proposed schedule and respond within 15 working days.

(6) If the State Archivist approves the schedule as submitted, two copies signed by the State Archivist shall be returned to the Division for transmittal to the agency or office.

(7) If the State Archivist disapproves the proposed schedule in whole or in part, the Archives shall return all copies to the Division with a statement of the reasons for disapproval.

(8) The Division shall request the agency or office to modify the schedule and resubmit it to the State Archivist for approval. The Archives shall respond within 15 working days.

(9) A schedule does not constitute legal authorization for the disposal of records until it has been approved in writing by the State Archivist.

.03 Amendments and Revisions.

A. A schedule may be amended or revised at any time by an agency or office, or at the request of the Division or the Archives. Reasons for amendments or revisions include the creation of new record series, changes in record-keeping practices, changes in formats, and reorganization of an agency or office. To amend or revise a schedule the steps outlined in Regulation .02E-pH

State Archives Regulations shall be followed.

B. At least once every 5 years an agency or office shall review its retention schedule or schedules to determine if they encompass all current record series. Based upon the review, an agency or office may be required to amend or revise its schedule or schedules by following the steps outline in Regulation .02A-pD.

C. An agency submitting legislation that will change the manner or nature of record keeping within that agency shall submit in advance a copy of the proposed legislation to the State Archives for review. This legislation shall be accompanied by any relevant Attorney General opinions.

.04 Certificate of Records Destruction.

When records are destroyed in accordance with the terms of an approved schedule, the agency, office, or records center shall submit a certificate of records destruction (DGS 550-2) to the Archives. The certificate shall contain the following information:

A. Title of each record series;

B. Schedule number or numbers, as assigned by the Division;

C. Inclusive dates for each record series;

D. Quantity of material for each record series;

E. Date of destruction;

F. Method of destruction; and

G. Signature of a legally designated official of the agency, office, or records center. Administrative History

Effective date: July 12, 1987 (14:14 Md. R. 1574)

Chapter revised effective July 4, 1994 (21:13 Md. R. 1159)

.02 Procedures.

A. A public record may not be disposed of without authorization from the State Archivist. The authorization shall be obtained by means of filing the schedules and obtaining approval of the State Archivist.

B. Schedules shall be prepared by each agency or office for all record series it creates and maintains.

C. The Division shall assist agency and office personnel in the development of schedules and provide any necessary forms, and the Archives will also provide assistance upon request from the agency, office, or Division with respect to the determination of what records may or may not be deemed permanent.

D. Schedules shall be prepared:

(1) In the following four steps: (a) Inventorying the records, (b) Appraising the records,

(d) Obtaining legal authorization for use of the schedule;

(2) According to §§E-H of this regulation.

E. Records Inventory. A records inventory form (DGS 550-4), or an electronic records inventory form (DGS 550-6) shall be completed for each record series. The records inventory forms shall be submitted to the State Archivist with the schedule (DGS 550-1) in order to obtain legal authorization for the schedule. The following information is required for each record series described in the inventory:

(1) A record series title and an accurate description that reflects the activity or function documented by the record series;

(2) The year of the earliest and latest documents in the record series;

(3) Physical form or forms of the record series, such as letter size paper, legal size paper, bound book, audio tape, video tape, film, computer tape, floppy disk, or other medium;

(4) The total quantity of materials contained in the record series, stated in terms of the number of units, such as cubic feet, number of reels of film, or number of tapes, etc.;

(5) Estimated annual growth of the record series;

(6) Frequency of reference to the record series, stated in terms of daily, weekly, or monthly usage;

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