Supplemental Notice to WSR 00-04-083.

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 stored on electronic imaging systems.

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

Name of Agency Personnel Responsible for Drafting, 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: Department of Natural Resources Building, Room 172, 1111 Washington Street S.E., Olympia, WA 98504, on August 3, 2000, at 10:00 a.m.

Assistance for Persons with Disabilities: Contact Vicki Meyers by August 1, TDD 800-422-8683, or (360) 902-4151.

Submit Written Comments to: P.O. Box 40238, Olympia, WA 98504, fax (360) 586-5629, by August 2, 2000.

Date of Intended Adoption: Monday, August 7, 2000.

June 20, 2000

Donald F. Whiting

Assistant Secretary of State

OTS-2763.3

((LEGALITY)) THE USE OF ELECTRONIC IMAGING 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.]

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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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.]

Bitonal images of documents containing type fonts no smaller than six-point shall be scanned at a minimum density of 200 dots per inch (dpi). Bitonal images of 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. Until an ANSI or AIIM standard for color images using a lossless nonproprietary compression algorithm is established, it is recommended that color documents be scanned at a minimum density of 150 dots per inch (dpi) and use TIFF, Group 5, specifications. Scanner quality control procedures shall conform to ANSI/AIIM MS44-1988, Recommended Practice for Quality Control of Images Scanners.

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Digital image enhancement 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 as described in AIIM TR3-1992, Performance Guideline for the Admissibility of Records Produced by Information Technology Systems as Evidence.

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Electronic imaging systems for bitonal images 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. For the storage of electronic images of records for which the state or local records committee has approved a retention period of six years or less from the date of creation, a nonproprietary lossless compression algorithm may be used if a utility program or application software option is maintained to convert images to the TIFF Group 3 or Group 4 standard. For the compression and decompression of color images a lossless algorithm, such as TIFF, Group 5, is recommended.

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Maintaining access to and usability of electronic records requires ((ensuring continuous readability and intelligibility.      Readability means)) the ability to process images and indexes both on the computer system on which they were created and on ((different)) their replacement computer systems without loss of information for the full retention period approved for that record.      ((Intelligibility means that humans can comprehend the information the computer reads.))      Ensuring the readability ((and intelligibility)) of electronic records over time ((entails)) requires the 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.]

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 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.]

((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)) Migrate optical media ((when necessary to insure the integrity of the information, and recopy)) and magnetic media at least every ten years or sooner as is necessary to avoid technical obsolescence, loss of readability, and excessive read error rates; or

(4) ((Print images on microfilm.)) 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.]

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 must include:

(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 change control procedures, including logs 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 the location of secure off-site storage 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.]

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 period 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)) under chapter 40.14 RCW ((and)), chapter 434-635 WAC, and other applicable state laws.

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

The required retention scheduling of public records to be created, maintained, accessed, distributed, or preserved by government entities on electronic imaging systems should be done prior to the creation or copying of images of those records. Retention schedules shall be based on the information content and function of the record series. Record series documenting electronic information system operation, and maintenance must also be included on the records retention schedule approved for the agency using the system. Electronic image media rendered obsolete through the verified accurate migration of its images to a more current media for readability may be considered a redundant version and disposed of as directed by chapter 40.14 RCW.

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Public records that are designated "archival" or "potentially archival" by the state or local records committee may not be destroyed without committee approval, even where images of those records have been produced and stored on an electronic imaging system.

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Electronic imaging systems must have the following security and retention features or 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 automatic, computer-generated 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 system-enforced 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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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.

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Security backup copies must be made of public records stored on electronic media. 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 must be inspected for quality using de facto or industry standards on a regular schedule and replaced before predicted failure. If the primary backup copy of an operational imaging system is found to deviate from the primary production copy due to suspected corruption or read errors, the production system must be stopped and not restarted until the discrepancy is located and both the production and backup copies contain accurate versions of the original images.

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Electronic media should be stored in a dust-free 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 stored 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.

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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, without loss to the images or indexes, 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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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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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

These recodified sections, together with the new sections 434-663-770 and 434-663-780 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 434-663-310	Enhancement of original image.
WAC 434-663-320	Compressing image data for storage.
WAC 434-663-430	Header on image files.
WAC 434-663-440	Backup for recovery.

WAC 434-663-460	Stability of media.
WAC 434-663-470	Storage media.
WAC 434-663-480	Optical media durability.
WAC 434-663-490	Archival, permanent, and long-term off-line storage environment.
WAC 434-663-510	Backward compatibility.
WAC 434-663-520	Availability of index data base for off-line media.
WAC 434-663-610	Records retention scheduling for records on imaging system.
WAC 434-663-620	Security copies.

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