WSR 00-04-083

PROPOSED RULES

SECRETARY OF STATE


[ Filed February 1, 2000, 4:02 p.m. ]

Original Notice.

Preproposal statement of inquiry was filed as WSR 99-16-117.

Title of Rule: Use of electronic imaging systems for the maintenance of public records.

Purpose: To provide standards and prescribe practices for the effective long-term storage and maintenance of public records on electronic imaging systems.

Other Identifying Information: Amending chapter 434-663 WAC.

Statutory Authority for Adoption: RCW 40.14.020(6).

Statute Being Implemented: RCW 40.14.020(6).

Summary: These proposed amendments update existing rules to reflect changes in the relevant technologies and prescribe standards and practices to protect the integrity of public records.

Reasons Supporting Proposal: Imaging and information technologies have advanced significantly since these regulations were adopted in 1994.

Name of Agency Personnel Responsible for Drafting: Donald Whiting, Legislative Building, Olympia, WA 98504, (360) 902-4148; Implementation and Enforcement: Phil Coombs, 1129 Washington S.E., Olympia, WA 98504, (360) 586-2660.

Name of Proponent: Division of Archives and Records Management, Office of the Secretary of State, governmental.

Rule is not necessitated by federal law, federal or state court decision.

Explanation of Rule, its Purpose, and Anticipated Effects: These proposed amendments update existing rules and prescribe standards and practices for the effective long-term storage and maintenance of public records on electronic imaging systems to protect the integrity of public records stored on those systems.

Proposal Changes the Following Existing Rules: A majority of the sections in chapter 434-663 WAC are amended to modernize the terminology, incorporate references to new technologies, and cite current industry standards and practices.

No small business economic impact statement has been prepared under chapter 19.85 RCW. The proposed rules will not impose costs on any businesses.

RCW 34.05.328 does not apply to this rule adoption. These rules relate only to internal governmental operations that are not subject to violation by a nongovernment party.

Hearing Location: Room 172, Department of Natural Resources Building, 1111 Washington Street S.E., Olympia, WA 98504, on March 16, 2000, at 10:00 a.m.

Assistance for Persons with Disabilities: Contact Vicki Meyer by March 14, 2000, TDD (800) 422-8683, or (360) 902-4151.

Submit Written Comments to: P.O. Box 40220, Olympia, WA 98504, fax (360) 586-5629, by March 14, 2000.

Date of Intended Adoption: March 20, 2000.

February 1, 2000

Donald F. Whiting

Assistant Secretary of State

OTS-2763.2

((LEGALITY)) THE USE OF ELECTRONIC ((IMAGING)) INFORMATION SYSTEMS ((USED)) FOR MANAGING ((AND STORING)) PUBLIC RECORDS
AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-100
Legality.

The purpose of this chapter is to establish standards and recommended practices for the creation, preservation, access to, and retention of public records on electronic imaging systems. Electronic imaging systems may ((be)) legally be used for recording, producing, reproducing, maintaining, and storing public records ((provided that they materially)) if:

(1) Those systems meet the standards set forth in this ((regulation)) chapter;

(2) The systems are used in accordance with this chapter; and

(3) The retention and disposition of the original and copies of records maintained on those systems regardless of media are scheduled, maintained, and disposed of in accordance with chapter 40.14 RCW. Nothing in this chapter can be construed to limit the admissibility of any public record as evidence ((of any public record. The purpose of this regulation is the preservation of information, and the facilitation of the migration of archival, permanent, and long-term records)).

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-100, filed 2/1/94, effective 3/7/94.]


NEW SECTION
WAC 434-663-270
Pixel.

Pixel is an abbreviated term meaning picture element. A pixel is the smallest element of an image that can be displayed on a screen or printer. Its purpose is to represent the color and light intensity value at a specific point in the image.

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NEW SECTION
WAC 434-663-280
Record series.

A group of records that are created, used, filed and disposed of as a unit because they relate to a particular subject or function, result from the same activity, or document a specific kind of transaction.

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AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-300
Quality of digital images.

Ensuring the quality of ((digital)) digitized images requires exercising control over ((six processes:)) the conversion of the original image to digital data, enhancement of the digital image if necessary, compression of the digital data for storage, decompression of digital data for retrieval, displaying the image, and printing the image.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-300, filed 2/1/94, effective 3/7/94.]


NEW SECTION
WAC 434-663-305
Scanning density.

Documents containing type fonts no smaller than six-point shall be scanned at a minimum density of 200 dots per inch (dpi). Documents containing type fonts smaller than six-point, engineering drawings, maps, line art, and similar documents with fine detail or poor contrast, shall be scanned at a minimum density of 300 dots per inch. Scanner quality control procedures shall conform to ANSI/AIIM MS44-1988, Recommended Practice for Quality Control of Images Scanners.

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AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-310
Image enhancement ((of original image)).

Digital image enhancement ((can be used to ensure readability of the documents and to improve the accuracy of the copy by scanning these documents using varying enhancement algorithm settings. Use the best scanned images as the operational criteria for acceptable image quality)) uses software algorithms to remove image data, either selectively or automatically, to improve image appearance. The use of image enhancement software may result in the loss of substantial detail and may affect a document's admissibility as evidence in court.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-310, filed 2/1/94, effective 3/7/94.]


AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-320
((Compressing image)) Compression and decompression of data ((for storage)).

Electronic imaging systems ((containing archival, permanent, or long-term information must use a compression technique that meets either a published or de facto standard. If such a technique cannot be used, the software vendor must provide a bridge to a standard)) shall use the Consultative Committee on International Telegraphy and Telephony (CCITT) Group 3 or Group 4 compression and decompression techniques without proprietary alterations to the algorithm.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-320, filed 2/1/94, effective 3/7/94.]


AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-400
Usability of image and index data over time.

Maintaining access to and usability of electronic records requires ((ensuring continuous readability and intelligibility. Readability means)) the ability to process images both on the computer system on which they were created and on ((different)) alternate computer systems without loss of information. ((Intelligibility means that humans can comprehend the information the computer reads. Ensuring readability and intelligibility of electronic records over time entails)) maintenance of proper environmental conditions, periodic recopying, and strategies to preserve data by migration from one generation of technology to another through a commitment to open architecture.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-400, filed 2/1/94, effective 3/7/94.]


NEW SECTION
WAC 434-663-405
Recordkeeping capabilities.

Electronic information systems must have the following electronic recordkeeping capabilities:

(1) Tracking information at the records series level.

(2) Ability to properly eliminate or dispose of records that exceed their retention periods as established under RCW 40.14.050 through 40.14.070.

(3) Record authentication functions as needed to meet legal, audit, and administrative requirements including maintenance of the date and time of record creation or updating, the identity of the user or system that created or updated the record, and a log of disposition actions.

(4) Protection against unauthorized access to records by means of a password hierarchy or other system security.

(5) Indexing capabilities that provide flexibility in associating a record series with multiple subject categories, that facilitate access and retrieval, and that provide links to related records or supporting documentation.

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AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-410
Defining indexing requirements.

The selection of indexing ((parameters is)) methods and terms should be based on an analysis of the retrieval requirements associated with a particular application, and must ((insure rapid)) ensure efficient and accurate retrieval of images and information for any purposes required by law. ((For systems containing archival, permanent, or long-term records, index)) The design ((must)) and content of the index should utilize standard attributes wherever available and take into account the security of the index and the retrieval requirements of both current and future users of the records((,)) including ((government)) agency personnel ((as well as)), researchers, and the ((general)) public.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-410, filed 2/1/94, effective 3/7/94.]


AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-420
Preservation strategy.

((A preservation strategy must be developed and implemented)) For ((each)) an electronic image system containing ((long-term, permanent, or)) public records with a retention period of ten years or longer or records containing archival information((. Four preservation strategy options are acceptable)), one or more of the following preservation strategies must be employed:

(1) Retain the original paper documents; ((or))

(2) Microfilm the original documents; ((or))

(3) Recopy optical media ((when necessary to insure the integrity of the information, and recopy)) and magnetic media at least every ten years; or

(4) ((Print images on microfilm.)) Digitally record the electronic images on industry standard microfilm at the same density at which they were scanned.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-420, filed 2/1/94, effective 3/7/94.]


AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-430
Header information on image files.

((A de facto or industry standard header label on image files or a gateway to a nonproprietary header label shall be used for imaging systems that contain long-term, permanent, or archival information. This will allow access to the information by dissimilar systems now and in the future.)) An electronic imaging system containing public records with a retention period of ten years or longer or records containing archival information must use a nonproprietary file header format such as Tagged Image File Format (TIFF) or a header that complies with ANSI/AIIM MS53, File Format for Storage and Exchange of Images, or Bi-level File Format: Part 1.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-430, filed 2/1/94, effective 3/7/94.]


AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-440
Security backup ((for recovery)) copies.

((In order to facilitate a recovery of lost information and the restoration of system operations in the event of a malfunction or other disaster, properly implemented backup procedures must be in place.)) Security backup ((security)) copies ((of document images and indexes through either simultaneous recording or periodic batch mode backup)) should be made of public records stored on electronic media; hard drives, floppy discs, or tapes. The methods and frequency of backup should be determined by the amount of information that would be lost if data had to be restored using the previous backup. Since backup copies are also subject to media failure, it is recommended that redundant (multiple) backup copies be made and stored at different locations, with one copy stored off-site. In order to ensure accessibility of data, at least one redundant backup copy should be recorded in a nonproprietary format. Security backup copy media should be inspected for quality using de facto or industry standards on a regular schedule and replaced before predicted failure.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-440, filed 2/1/94, effective 3/7/94.]


AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-490
((Archival, permanent, and long-term off-line)) Environmental standards or best practices for storage ((environment)) of electronic media.

Electronic media should be stored in a dust-free ((area with a stable temperature between sixty and seventy degrees Fahrenheit with a fluctuation of plus or minus two degrees, and relative humidity between twenty and forty-five percent with a fluctuation of plus or minus five percent. Media should be stored in a suitable container to protect against particulate and fingerprints. Optical disks and magnetic tapes should be stored vertically. The reliability of the data should be tested every tenyears. Magnetic tape should be precision rewound every five years and before each use. Every ten years, data stored on magnetic tape shall be transferred to pretested fresh stock)) environment under the following environmental conditions:

(1) Temperature ranges meeting standards or best practices recommended for the media stored;

(2) A relative humidity range meeting standards or best practices recommended for the media stored;

(3) Media should be in a closed container to protect from dust and fingerprints; and

(4) Magnetic tape should be rewound in accordance with de facto or industry standards, or to best practices.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-490, filed 2/1/94, effective 3/7/94.]

((FUNCTIONALITY OF)) SYSTEM ((COMPONENTS)) REQUIREMENTS
AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-530
((Technical)) System documentation.

Detailed technical documentation ((on system components, application software and operating systems is essential, and shall be maintained to facilitate long-term access to archival, permanent, and long-term records)) is needed to facilitate future system access. Minimum documentation includes:

(1) A hardware systems administrator manual specifying hardware, cabling, and communications configurations;

(2) Software applications documentation, including user manuals and design documentation;

(3) Operational procedures for scanning, indexing and verifying images;

(4) Current security and system control procedures, including access to codes and passwords, and a log of those changes, indicating the date, identity of the person making the changes and the reason for the change; and

(5) Written procedures for periodic back-ups, including schedules and secure off-site storage locations for those back-ups. Agencies will maintain one copy of current documentation on-site and one current copy in designated secure storage.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-530, filed 2/1/94, effective 3/7/94.]

RETENTION, SCHEDULING, AND DISPOSITION OF RECORDS
AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-600
Retention scheduling and disposition of public records.

Conversion to an imaging system does not automatically authorize the destruction of the ((original records)) source documents for which images have been created. Destruction of, or changes to the retention of any public records due to conversion to or the use of a new media requires legal approval of the state or local records committee of the state of Washington through the retention and disposition scheduling process in accordance with chapter 40.14 RCW and chapter 434-635 WAC.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-600, filed 2/1/94, effective 3/7/94.]


AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-610
Records retention scheduling for records on imaging system.

The retention scheduling of ((information to be placed on an imaging system must)) public records to be created, maintained, accessed, distributed, or preserved on electronic imaging systems should be done prior to the creation or copying of the records((, and may require a cost benefit analysis)). ((Decisions about the)) Retention ((value of)) schedules shall be based on the information ((stored on an imaging system are related to the value of the original information included in the system)) content and function of the record series. Schedules shall not be based on the information's format or storage medium. Record series documenting electronic information system design, operation, and maintenance must also be included on the records retention schedule approved for the agency using the system.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-610, filed 2/1/94, effective 3/7/94.]


AMENDATORY SECTION(Amending WSR 94-04-102, filed 2/1/94, effective 3/7/94)

WAC 434-663-620
Retention scheduling of security backup copies.

Security backup copies of records ((with permanent legal value, stored on electronic media should have a security backup copy on another type of media. If this is impractical, the user must obtain permission to retain electronic copies as the sole media from the state records committee or the local records committee on a case-by-case basis as part of the records scheduling process. Such permission will be granted if there are strong backup systems in place, and systems and procedures in place for periodic recopying)), regardless of format, shall be scheduled as separate record series with specific retention and disposition requirements.

[Statutory Authority: Chapter 40.14 RCW. 94-04-102, 434-663-620, filed 2/1/94, effective 3/7/94.]


NEW SECTION
WAC 434-663-640
Requests for scheduling exceptions.

Agencies may submit, for review by the state or local records committee, retention schedules for long-term or permanent records for which the primary copy will be kept in electronic format only. These requests should demonstrate the need for continued retention in electronic format based on access requirements, the agency's commitment to bear the cost of converting the electronic records to new technologies as existing ones become obsolete. Agencies may request review of electronic imaging systems and related procedures.

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NEW SECTION
WAC 434-663-770
Continued access to data.

If access to data in an existing electronic imaging system cannot be maintained for the specified retention period of the records stored in that system, the images must be migrated at the time of acquisition or implementation of a new system. Access to electronic data which has not been migrated to a new system requires preserving the data, the storage medium in which the data is kept, and whatever hardware, operating system, and applications software is needed to view and use the data.

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NEW SECTION
WAC 434-663-780
Data conversion costs.

The adoption of new electronic imaging systems may require significant expenditures for conversion of information maintained in existing electronic formats to the formats required by new imaging systems. System planning should include analysis of future information access, maintenance, data conversion, and security costs.

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NEW SECTION

The following sections of the Washington Administrative Code are recodified without amendment:


Old WAC Number New WAC Number
434-663-450 434-663-750


The following sections of the Washington Administrative Code are recodified as amended:


Old WAC Number New WAC Number
434-663-400 434-663-700
434-663-410 434-663-710
434-663-420 434-663-720
434-663-430 434-663-730
434-663-440 434-663-740
434-663-490 434-663-760


These recodified sections, together with the new sections 434-663-770 and 434-663-480 shall constitute a new subchapter in chapter 434-663 WAC to be titled, Provision for continued access.
REPEALER

     The following sections of the Washington Administrative Code are repealed:
WAC 434-663-460 Stability of media.
WAC 434-663-470 Storage media.
WAC 434-663-480 Optical media durability.
WAC 434-663-510 Backward compatibility.
WAC 434-663-520 Availability of index data base for off-line media.

Washington State Code Reviser's Office