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
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)
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
(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.]
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.
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.
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.]
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.
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.]
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
[Statutory Authority: Chapter 40.14 RCW. 94-04-102, § 434-663-320, filed 2/1/94, effective 3/7/94.]
Maintaining access to and usability of electronic records
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
[Statutory Authority: Chapter 40.14 RCW. 94-04-102, § 434-663-400, filed 2/1/94, effective 3/7/94.]
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.
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.]
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; ((
(2) Microfilm the original documents; ((
(3) Recopy optical media ((
when necessary to insure the
integrity of the information, and recopy)) and magnetic media at
least every ten years; or
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.]
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.]
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
[Statutory Authority: Chapter 40.14 RCW. 94-04-102, § 434-663-440, filed 2/1/94, effective 3/7/94.]
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
(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.]((
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
Conversion to an imaging system does not
automatically authorize the destruction of the ((
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.]
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.]
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
[Statutory Authority: Chapter 40.14 RCW. 94-04-102, § 434-663-620, filed 2/1/94, effective 3/7/94.]
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.
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.
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.
The following sections of the Washington Administrative Code are recodified without amendment:
|Old WAC Number||New WAC Number|
The following sections of the Washington Administrative Code are recodified as amended:
|Old WAC Number||New WAC Number|
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.
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.|