Georgia State Laws on Optical Images
State Archivist and Records Manager:
Edward Weldon, Director
Dept. of Archives & History
330 Capitol Ave. SE, Atlanta GA 30334
404-656-2358 fax: 404-657-8427
bm.g1a@rlg.stanford.eduRobert Williams, State Records Center Mgr.
1050 Murphy Ave. SW, Atlanta GA 30310
404-756-4860 fax: 404-756-4874
9-11-30 G
*** CODE SECTION *** 10/14/96
9-11-30.
(a) When depositions may be taken. After commencement of the action,
any party may take the testimony of any person, including a party, by
deposition upon oral examination. Leave of court, granted with or
without notice, must be obtained only if the plaintiff seeks to take a
deposition prior to the expiration of 30 days after service of the
summons and complaint upon any defendant or service made under
subsection (e) of Code Section 9-11-4, except that leave is not
required if a defendant has served a notice of taking deposition or
otherwise sought discovery or if special notice is given as provided
in paragraph (2) of subsection (b) of this Code section. The
attendance of witnesses may be compelled by subpoena as provided in
Code Section 9-11-45. The deposition of a person confined in a penal
institution may be taken only by leave of court on such terms as the
court prescribes.
(b) Notice of examination.
(1) General requirements. A party desiring to take the deposition of
any person upon oral examination shall give reasonable notice in
writing to every other party to the action. The notice shall state
the time and place for taking the deposition, the means by which the
testimony shall be recorded, and the name and address of each person
to be examined, if known, and, if the name is not known, a general
description sufficient to identify the person to be examined or the
particular class or group to which he or she belongs. If a subpoena
for the production of documentary and tangible evidence is to be
served on the person to be examined, the designation of the
materials to be produced, as set forth in the subpoena, shall be
attached to, or included in, the notice.
(2) Special notice. Leave of court is not required for the taking of
a deposition by plaintiff if the notice:
(A) States that the person to be examined is about to go out of
the county where the action is pending and more than 150 miles
from the place of trial, or is about to go out of the United
States, or is bound on a voyage to sea, and will be unavailable
for examination unless the deposition is taken before expiration
of the 30 day period; and
(B) Sets forth facts to support the statement.
The plaintiff's attorney shall sign the notice, and said attorney's
signature constitutes a certification by him or her that, to the
best of his or her knowledge, information, and belief, the statement
and supporting facts are true. If a party shows that, when he or
she was served with notice under this paragraph, he or she was
unable through the exercise of diligence to obtain counsel to
represent him or her at the taking of the deposition, the deposition
may not be used against such party.
(3) Time requirements. The court may, for cause shown, enlarge or
shorten the time for taking the deposition.
(4) Recording of deposition. Unless the court orders otherwise, the
testimony at a deposition must be recorded by stenographic means,
and may also be recorded by sound or sound and visual means in
addition to stenographic means, and the party taking the deposition
shall bear the costs of the recording. A deposition shall be
conducted before an officer appointed or designated under Code
Section 9-11-28. Upon motion of a party or upon its own motion, the
court may issue an order designating the manner of recording,
preserving, and filing of a deposition taken by nonstenographic
means, which order may include other provisions to assure that the
recorded testimony will be accurate and trustworthy. Any party may
arrange for a transcription to be made from the recording of a
deposition taken by nonstenographic means. With prior notice to the
deponent and other parties, any party may designate another method
to record the deponent's testimony in addition to the methods
specified by the person taking the deposition. The additional
record or transcript shall be made at that party's expense unless
the court otherwise orders. The appearance or demeanor of deponents
or attorneys shall not be distorted through camera or
sound-recording techniques. Notwithstanding the foregoing
provisions of this paragraph, a deposition may be taken by telephone
or other remote electronic means only upon the stipulation of the
parties or by order of the court. For purposes of the requirements
of this chapter, a deposition taken by telephone or other remote
electronic means is taken in the state and at the place where the
deponent is to answer questions.
(5) Production of documents and things. The notice to a party
deponent may be accompanied by a request made in compliance with
Code Section 9-11-34 for the production of documents and tangible
things at the taking of the deposition. The procedure of Code
Section 9-11-34 shall apply to the request.
(6) Deposition of organization. A party may, in his or her notice,
name as the deponent a public or private corporation or a
partnership or association or a governmental agency and designate
with reasonable particularity the matters on which examination is
requested. The organization so named shall designate one or more
officers, directors, or managing agents, or other persons who
consent to testify on its behalf, and may set forth, for each person
designated, the matters on which he or she will testify. The
persons so designated shall testify as to matters known or
reasonably available to the organization. This paragraph does not
preclude taking a deposition by any other procedure authorized in
this chapter.
(c) Examination and cross-examination; record of examination; oath;
objections.
(1) Examination and cross-examination of witnesses may proceed as
permitted at the trial under the rules of evidence. The authorized
officer or court reporter before whom the deposition is to be taken
shall put the witness on oath and shall personally, or by someone
acting under the direction and in the presence of the authorized
officer or court reporter, record the testimony of the witness.
(2) All objections made at the time of the examination to the
qualifications of the officer taking the deposition, or to the
manner of taking it, or to the evidence presented, or to the conduct
of any party, and any other objection to the proceedings shall be
noted by the officer upon the deposition. Evidence objected to shall
be taken subject to the objections. In lieu of participating in the
oral examination, parties may serve written questions in a sealed
envelope on the party taking the deposition, and said party shall
transmit them to the officer, who shall propound them to the witness
and record the answers verbatim.
(3) Unless otherwise ordered by the court or agreed by the parties,
the officer shall retain the record of each deposition until the
later of (A) five years after the date on which the deposition was
taken, or (B) two years after the date of final disposition of the
action for which the deposition was taken and any appeals of such
action. The officer may preserve the record through storage of the
original paper, notes, or recordings or an electronic copy of the
notes, recordings, or the transcript on computer disks, cassettes,
backup tape systems, optical or laser disk systems, or other
retrieval systems.
(d) Motion to terminate or limit examination. At any time during the
taking of the deposition, on motion of a party or of the deponent and
upon a showing that the examination is being conducted in bad faith or
in such manner as unreasonably to annoy, embarrass, or oppress the
deponent or party, the court in which the action is pending or the
court in the county where the deposition is being taken may order the
officer conducting the examination to cease forthwith from taking the
deposition or may limit the scope and manner of the taking of the
deposition as provided in subsection (c) of Code Section 9-11-26. If
the order made terminates the examination, it shall be resumed
thereafter only upon the order of the court in which the action is
pending. Upon demand of the objecting party or deponent, the taking of
the deposition shall be suspended for the time necessary to make a
motion for an order. Paragraph (4) of subsection (a) of Code Section
9-11-37 applies to the award of expenses incurred in relation to the
motion.
(e) Review by witness; changes; signing. If requested by the deponent
or a party before completion of the deposition, the deponent shall
have 30 days after being notified by the officer that the transcript
or recording is available in which to review the transcript or
recording and, if there are changes in form or substance, to sign a
statement reciting such changes and the reasons given by the deponent
for making them. The officer shall indicate in the certificate
prescribed by paragraph (1) of subsection (f) of this Code section
whether any review was requested and, if so, shall append any changes
made by the deponent during the period allowed. If the deposition is
not reviewed and signed by the witness within 30 days of its
submission to him or her, the officer shall sign it and state on the
record that the deposition was not reviewed and signed by the deponent
within 30 days. The deposition may then be used as fully as though
signed unless, on a motion to suppress under paragraph (4) of
subsection (d) of Code Section 9-11-32, the court holds that the
reasons given for the refusal to sign require rejection of the
deposition in whole or in part.
(f) Certification and filing by officer; inspection and copying of
exhibits; copy of deposition.
(1)(A) The officer shall certify that the witness was duly sworn
by the officer and that the deposition is a true record of the
testimony given by the witness. This certificate shall be in
writing and accompany the record of the deposition. The officer
shall then securely seal the deposition in an envelope marked with
the title of the action, the court reporter certification number,
and "Deposition of (here insert name of witness)" and shall
promptly file it with the court in which the action is pending or
deliver it to the party taking the deposition, as the case may be,
in accordance with Code Section 9-11-29.1.
(B) Documents and things produced for inspection during the
examination of the witness shall, upon the request of a party, be
marked for identification and annexed to and returned with the
deposition and may be inspected and copied by any party, except
that the person producing the materials may substitute copies to
be marked for identification, if he or she affords to all parties
fair opportunity to verify the copies by comparison with the
originals; and, if the person producing the materials requests
their return, the officer shall mark them, give each party an
opportunity to inspect and copy them, and return them to the
person producing them, and the materials may then be used in the
same manner as if annexed to and returned with the deposition. Any
party may move for an order that the original be annexed to and
returned with the deposition to the court, pending final
disposition of the case.
(2) Upon payment of reasonable charges therefor, the officer shall
furnish a copy of the deposition to any party or to the deponent.
(g) Failure to attend or to serve subpoena; expenses.
(1) If the party giving the notice of the taking of a deposition
fails to attend and proceed therewith and another party attends in
person or by attorney pursuant to the notice, the court may order
the party giving the notice to pay to such other party the
reasonable expenses incurred by him and his attorney in attending,
including reasonable attorney's fees.
(2) If the party giving the notice of the taking of a deposition of
a witness fails to serve a subpoena upon him and the witness,
because of such failure, does not attend and if another party
attends in person or by attorney because he expects the deposition
of that witness to be taken, the court may order the party giving
the notice to pay to such other party the reasonable expenses
incurred by him and his attorney in attending, including reasonable
attorney's fees.
(h) Form of presentation. Except as otherwise directed by the court, a
party offering deposition testimony may offer it in stenographic or
nonstenographic form, but if in nonstenographic form, the party shall
also provide the court with a transcript of the portions so offered.
On request of any party in a case tried before a jury, deposition
testimony offered other than for impeachment purposes shall be
presented in nonstenographic form, if available, unless the court for
good cause orders otherwise.
16-9-92 G
*** CODE SECTION *** 10/14/96
16-9-92.
As used in this article, the term:
(1) "Computer" means an electronic, magnetic, optical,
electrochemical, or other high-speed data processing device or
system performing computer operations with or on data and includes
any data storage facility or communications facility directly
related to or operating in conjunction with such device; but such
term does not include an automated typewriter or typesetter,
portable hand-held calculator, household appliance, or other similar
device that is not used to communicate with or to manipulate any
other computer.
(2) "Computer network" means a set of related, remotely connected
computers and any communications facilities with the function and
purpose of transmitting data among them through the communications
facilities.
(3) "Computer operation" means computing, classifying, transmitting,
receiving, retrieving, originating, switching, storing, displaying,
manifesting, measuring, detecting, recording, reproducing, handling,
or utilizing any form of data for business, scientific, control, or
other purposes.
(4) "Computer program" means one or more statements or instructions
composed and structured in a form acceptable to a computer that,
when executed by a computer in actual or modified form, cause the
computer to perform one or more computer operations. The term
"computer program" shall include all associated procedures and
documentation, whether or not such procedures and documentation are
in human readable form.
(5) "Data" includes any representation of information, intelligence,
or data in any fixed medium, including documentation, computer
printouts, magnetic storage media, punched cards, storage in a
computer, or transmission by a computer network.
(6) "Financial instruments" includes any check, draft, money order,
note, certificate of deposit, letter of credit, bill of exchange,
credit or debit card, transaction-authorizing mechanism, or
marketable security, or any computer representation thereof.
(7) "Property" includes computers, computer networks, computer
programs, data, financial instruments, and services.
(8) "Services" includes computer time or services or data processing
services.
(9) "Use" includes causing or attempting to cause:
(A) A computer or computer network to perform or to stop
performing computer operations;
(B) The obstruction, interruption, malfunction, or denial of the
use of a computer, computer network, computer program, or data; or
(C) A person to put false information into a computer.
(10) "Victim expenditure" means any expenditure reasonably and
necessarily incurred by the owner to verify that a computer,
computer network, computer program, or data was or was not altered,
deleted, damaged, or destroyed by unauthorized use.
(11) "Without authority" includes the use of a computer or computer
network in a manner that exceeds any right or permission granted by
the owner of the computer or computer network.
16-9-90 G
*** CODE SECTION *** 10/14/96
16-9-90.
This article shall be known and may be cited as the "Georgia Computer
Systems Protection Act."
15-5-82 G
*** CODE SECTION *** 10/14/96
15-5-82.
(a) The commission shall be authorized to:
(1) Define, implement, and administer a state-wide courts automation
system based on but not limited to the existing Georgia Online (GO)
Network administered by the commissioner of administrative services,
including data collection and entry into the system, data storage
and processing, and information retrieval and distribution;
(2) Administer federal, state, local, and other public or private
funds made available to it for implementation of the courts
automation system;
(3) Coordinate state-wide strategies and plans for incorporating
county and local governments into the courts automation system,
including review of requirements of the several state agencies for
documents, reports, and forms and the consolidation, elimination, or
conversion of such documents, reports, and forms to formats
compatible with electronic transmittal media;
(4) Establish policies and procedures, rules and regulations, and
technical and performance standards for county and local government
access to the courts automation system network; and
(5) Offer advisory services to county and local governments to
assist in guiding their efforts towards automating their court
procedures and operations.
(b) The chairman of the commission may designate and appoint
committees to perform such functions as he may determine to be
necessary. The commission may, either by itself or through such
committees, hold hearings, conduct investigations, and take any other
action necessary or desirable to implement the courts automation
system in a deliberate, effective, and timely manner. The commission
shall make an annual report of its progress to the Chief Justice, the
Governor, the President of the Senate, and the Speaker of the House of
Representatives.
(c) The commission may use the funds available to it for providing to
the courts of this state access to data bases which are:
(1) Beneficial to the operation of the courts; or
(2) Accessible through the Georgia Online (GO) Network,
provided that access to any such data base shall be conditioned upon
the consent of the department, agency, or other entity having the
right to grant such access. The commission may also expend funds to
upgrade components of the Georgia Online (GO) Network as necessary for
appropriate access thereto by the courts.
(d) Nothing in this article shall be so construed as to require any
office of a court to accept additional workload generated by
establishment of an electronic transfer of information capability from
any other office of the county or local government, including court
offices. Each such office shall continue to have sole responsibility
for transmitting information required of it, either manually or
electronically.
STATE OF GEORGIA
DOCUMENT IMAGE MANAGEMENT WORK GROUP
PRESENTS
THE FIRST DRAFT OF
ELECTRONIC DOCUMENT IMAGING SYSTEMS
GUIDELINES
TO THE
GEORGIA STATE RECORDS COMMITTEE
FOR REVIEW
OCTOBER 25, 1995
STATE OF GEORGIA
ELECTRONIC DOCUMENT IMAGING SYSTEMS GUIDELINES
Table of Contents
1. Introduction .................................................... 3
1.1 Overview of Electronic Document Imaging ............................ 3
2. Issues and Concerns ............................................. 4
2.1 Planning and Feasibility ........................................... 4
2.2 Implementation ................................................. 5
2.3 Migration and Retention ........................................... 6
2.4 Legal Issues .................................................... 6
3. Records Retention Requirements ................................... 8
4. Technical Guidelines ............................................ 10
4.1 Documentation ................................................. 11
4.2 Hardware and Software Selection and Specification .................... 12
4.3 Data Indexing and Image Headers ................................. 13
4.4 Media Handling, Backup, and Storage .............................. 14
5. Risk Management .............................................. 15
Appendix
I. Applicable Industry Standards ..................................... 16
II. Standards Organizations/Groups Abbreviations/Acronyms ............... 23
III. Bibliography ................................................... 25
IV. Participants, Document Image Management Work Group ............... 35
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STATE OF GEORGIA
ELECTRONIC DOCUMENT IMAGING SYSTEMS
GUIDELINES
1. Introduction
The purpose of these guidelines is to provide advice in the selection, purchase, implementation, and use of Electronic Document Imaging Systems. These guidelines comprise recommendations and standards developed by a wide range of organizations, both technical and end-user. These guidelines were developed to assist in assuring that Electronic Document Imaging Systems acquired by governments in the State of Georgia meet existing legal and operational requirements. Following these guidelines offers no guarantee as to a system's integrity being questioned. However, following the recommendations outlined in this document affords a defensible system which documents the users' good faith efforts in employing the best existing standards in this field.
These guidelines, and the work group assigned to create them, recognize the timeliness and obsolescence of Information Technology. It is hoped that these guidelines will be treated as a living document, subject to change and improvement like the technology they represent.
1.1 Overview of Electronic Document Imaging
Electronic Document Imaging Systems are computer-based systems that store
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digitally encoded document images. These systems provide image retrieval and
distribut'ion on demand. They are an alternative to paper or microfilm record systems.
2. Issues and Concerns
The adoption of an Electronic Document Imaging System by a government
agency is a major administrative and operational decision carrying responsibilities and commitments. The use of Electronic Document Imaging Systems requires workflow reassessment and the documentation of information management procedures. Electronic Document Imaging Systems increase accessibility and distribution of information in a timely manner. Application software will allow accurate tracking of information for audit purposes.
Electronic Document Imaging Systems cannot solve access problems stemming
from inefficient or poorly-planned existing information management systems and practices. In fact, Electronic Document Imaging Systems may exacerbate existing deficiencies. Maximum benefits are realized when existing workflow procedures are analyzed and adapted to take advantage of the new technology, rather than just automating existing processes. Managers, in consultation with qualified records managers, should analyze the existing records systems, practices, workflow, and indexes, and correct any deficiencies before implementing an imaging system.
2.1 Planning and Feasibility
Public agencies should perform a feasibility study to ensure that an Electronic
Document Imaging System is appropriate for its information management needs before committing to a particular application. Public agencies must realize that the information being created or converted to an electronic format is a State asset which
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2.3 Migration and Retention
A retention period is the time that records are needed for administrative, fiscal, legal and historical purposes. All government records, including those stored in imaging systems, should be maintained and disposed of as part of a legally-accepted records management program in order to ensure their acceptance as legal documents. All public records to be put on an imaging system must have retention schedules approved by the State Records Committee.
Maintaining access to records stored on Electronic Document Imaging Systems requires a comprehensive migration strategy. The strategy plan should factor in vendor stability, system obsolescence and media longevity. Electronic Document Imaging Systems should consist of hardware and software that conform to non-proprietary standards and are constructed in an open system architecture.
Obsolescence is a way of life in the information technology world. Government agencies need to keep pace with constant change and improvement. This requires a proactive approach to system maintenance and upgrade. New applications should be backward-compatible with existing applications. Administrators should also plan to budget between five and ten percent of the original system, annually for the cost of upgrading and data migration.
2.4 Legal Issues
Georgia Law recognizes electronic media as capable of producing "records," if those records are produced and used in the regular course of business. (See Best Evidence Rule: O.C.G.A. 24-5-1, et. seq.; Business Records: O.C.G.A. 10-11-1, et.
6
seq.; Computer Systems Protection Act: O.C,G.A. 16-9-90, et. seq.; Miscellaneous Offenses concerning Public Officers and Employees, 45-11-1, et. seq.; Inspection of Public Records, O.C.G.A. 50-18-70, et. seq.; Georgia Records Act, O.C.G.A. 50-18-90, et. seq. and others).
Adopting Electronic Document Imaging Systems requires careful and consistent documentation of all record actions and the technical process which convert traditional paper-based documents to a digitized, electronic format. An agency utilizing Electronic Document Imaging should prepare a formal statement describing the mission and function of the office and the procedures and digital standards employed. An agency's reliance in the new electronic format, and its documentation of strict established conversion procedures will ensure that the information and the system generating it satisfy the rules of evidence.
2.4.1 Expungement. The system capability to expunge (erase all traces of) images and their related index entries will be required in some instances. The potential for expungement orders must be must be considered in planning and feasibility studies. AIIM TR28-1991, The Expungement of Information Recorded on Optical Write-Many (WORM) Systems, will offer guidance for meeting these requirements. This technical report is now (1995) being updated to include rewritable optical media.
2.4.2 Redaction of Confidential Information. To comply with Georgia's Inspection of Public Records Law (O.C.G.A. 50-18-70, et. seq.) an image systems must have the capability to redact (mask or hide) confidential portions of documents or indexes from public inspection. In Georgia, all public records, except those specifically exempted by law or court order, shall be open to public inspection.
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3. Georgia Records Retention Requirements
The records retention requirement, the period of time the documents must be
stored and maintained accessible, is a critical element in the planning of an imaging system. The length of that retention period will determine in part the access, maintenance, and migration activities that must be factored as part of the imaging system's ongoing costs. Those costs will continue to accrue for as long as the documents must be retained.
Georgia's government agencies, state and local, are required by law to have a State Records Committee approved records retention schedule (records life-cycle plan) for each records series (file group) created, maintained, or received (See the "Georgia Records Act": O.C.G.A. 50 - 18 - 90 et. seq.).
Many, if not most, agency programs considering the application of imaging technology will already have approved records retention schedules for the program records. Most of these schedules, however, will have been approved for the program's paper-based records series; the aggregation of documents to be stored in an imaging system likely will not correspond to the file groups (records series) on which the existing retention schedule was based.
Therefore it is recommended that a re-evaluation of the retention requirements be done as part of the required feasibility study for an imaging system.
The Georgia Records Act mandates that the records retention schedule shall be determined by the values the information in the records has for administrative, legal, fiscal, and historical purposes. To develop a retention schedule, the agency will analyze the values of the information in the records for the following purposes: The interests of the program, the agency overall, the state, and the public will be considered in this analysis:
Administrative: A record/document has administrative value for as long as the information it holds is necessary for program operations or for the continued administration of the program or the agency.
Legal: A record/document has legal value for as long as the information it holds serves as evidence of the legal rights or obligations of the program, the agency, the state, or the citizens; or for as long as the information ensures compliance with relevant laws and regulations.
Fiscal: A record/document has fiscal value for as long as the information it holds is necessary to document the expenditure of public funds or fulfill financial obligations.
Historical: A record/document has historical value if the information it holds is of continuing interest to the program, the agency, the state, or the citizens, and that interest is sufficient to warrant the costs of continued access and maintenance. The Department of Archives and History will assist the agency in determining historical values.
Once the agency has determined the 'retention values of the records/documents file group(s), the findings together with the agency's proposed records retention schedule (life-cycle plan) will be submitted to the State Records Committee, through the Georgia Department of Archives and History.
The Committee will then review, approve, disapprove, modify, or amend the proposed records retention schedule. The agency head has the right to appeal the decisions of the Committee.
For assistance in conducting an analysis of records retention requirements, contact the Records and Information Management Division of the Georgia Department of Archives and History (404 657-3848).
4. Technical Guidelines
Digital imaging technologies have developed rapidly in the last five years and will continue to develop into the next century. As no system is generally regarded as a standard, it is important to acknowledge that certain proprietary and non-proprietary standards will emerge as generally accepted by the industry and system developers, integrator users, and records managers.
Because of the rapid changes in technology and the entry and exit of firms in the marketplace, it is important to set base guidelines for the responsible implementation of these technologies. The long-term nature of these digital storage mechanisms and the significant value held in information assets of the various agencies using these mechanisms motivates the adherence to international, national,
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and industry standards relative to quality, storage, security, indexing, and access. Records managers, systems administrators, program managers, and systems vendors need to be familiar with current standards that are applicable to this area of information technology.
This subject is discussed in detail in a technical report issued by the Association for Information and Image Management (AIIM), The Use of Optical Disks for Public Records. (AIIM TR25-1990).
The following are general guidelines of key areas of interestto anyone working with imaging systems. Attention to these key areas will help ensure successful implementation of systems and long-term responsibility for valuable records.
4.1 DOCUMENTATION
System documentation: If you wish to maintain an effective operation and continue to retrieve data as your operating environment changes over time, you must keep full documentation of:
4.1.1 Hardware and software, including brand names, version numbers and dates of installation, upgrades, replacements, and conversions.
4.1.2 Data structure and content, including the file layout and data dictionaries.
4.1.3 "Enhancement" algorithms. These are techniques for processing an image so that the result is visually clearer than the original image.
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4.1.4 Operating procedures, including methods for scanning or entering data; revising, updating, or expunging records; indexing; backing up disks, tapes, microfilm, etc.; testing the readability of records; applying safeguards to prevent tampering and unauthorized access to protected information; and carrying out the disposition of original records. In addition, to provide audit trails, you should document procedures for logging and tracking. Full documentation of your operating procedures will contribute to the legal acceptability of your records management program and will help to make the data you produce from optical disks admissible as evidence in legal proceedings.
4.2 HARDWARE AND SOFTWARE SELECTION AND SPECIFICATION
4.2.1 System Selection. When you are selecting a system, strongly consider those with open rather than proprietary designs; open systems will give you most flexibility when you are choosing equipment and will support interconnection, information system integration, and information sharing.
4.2.2 Prepare specifications for hardware and software that will require your vendors to continue to support and maintain their products.
4.2.3 Establish performance standards, incorporate them into your specifications for hardware and software, and require vendors to support them with a substantial performance bond.
4.2.4 Select systems that provide a scanning resolution with enough density to produce a high-quality image. Scanners should have verifiable quality and should be at
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a density of at least 200 dots per inch for textual documents and 300 dots per inch for engineering drawings, maps, and other documents. Calibration and maintenance of the scanners should be as per the manufacturers recommended schedule. Verification and inspection: Include visual inspection in your operational procedures to verify the completeness and accuracy of the scanning process once documents have been transferred to a disk.
4.2.5 Seek vendors who use standard rather than proprietary compression algorithms to make future migrations of data more certain and reliable. Imaging systems shall utilize the Consultative Committee on International Telegraphy and Telephony (CCITT) Group 3 or Group 4 compression techniques without proprietary alterations to the algorithm. If the use of a proprietary compression algorithm is unavoidable, the system must provide a gateway to either Group 3 or Group 4 standards.
4.2.6 Require vendors to supply programs or provide services to test the readability of your disks periodically. Government entities must ensure readability of electronically stored images. A sampling of images from both primary and backup storage media must be read annually to verify continued accessibility.
4.3 DATA INDEXING AND IMAGE HEADERS
4.3.1 Indexing. When information is stored in a medium that is not eye-readable,
complete and accurate indexes are essential. Your system design, therefore, must
include provisions for appropriate indexing. When information will be retrieved for many
years from records that will be retained and used over a long period, for example, you
must develop and document indexes with future users in mind and include in your
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operational procedures an index check for accuracy at the time the index is created. The index storage method should be based on standard relational database technologies with access using standard SQL queries.
4.3.2 Image headers. A standard image file header such as TIFF or vendor supplied image file header should be used. If a proprietary header is used, the system must provide a bridge to a non-proprietary header label standard such as ANSI/AIIM MS53, File Format for Storage and Exchange of Images, or Bi-level File Format. Part 1.
4.4 MEDIA HANDLING, BACKUP, STORAGE
4.4.1 Labeling: Label disks, tapes, and other storage containers with particular care since it is impossible to determine content merely by looking at a disk or tape. Labeling is critical when the disk and its index are stored on differentmedia. Security copies shall be marked with appropriate external labels that identify the government entity, system and software used, and any access restrictions. The government entity shall maintain specific, detailed documentation of the contents and the system specifications needed to access each backup tape or disk.
4.4.2 Back-up and storage: It is vital to make full, frequent, and regular backups of optical records and magnetic indexes. Store your security copies in secure and suitable facilities, preferably off-site, and since environmental conditions for the storage of optical disks have not been established, follow the manufacturers' specifications. Government entities shall adhere to the manufacturer's recommendations for temperature and humidity conditions for the storage of security copies of optical media. Backups for indexes, images, and other system components stored on magnetic media
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or optical media should be housed in an area with stable environmental conditions. Room temperatures (between 65 and 75 degrees Fahrenheit) and relative humidity (40 to 45 percent) are the current standard for magnetic media. These should also be observed for security copies of optical media.
4.4.3 Refreshment, migration, and conversion plans: Prepare an appropriate plan for "refreshing" data and for migrating and converting images and corollary indexes to new storage media as needed to preserve the records in an accessible form. Data maintained on electronic media must be recopied onto new media at least once every '10 years.
5. RISK MANAGEMENT
5.1 Develop a comprehensive risk or disaster prevention and recovery plan. (Detail to be added in next draft).
APPENDIX
Appendix I. Applicable Industry Standards
Image File Standards
ANSI/AIIM MS53-1993- Standard Recommended Practice, File Format for Storage
and Exchange of Images; Bi-Level Image File Format: Part I. This standard
addresses bi-level electronic images that are coded using CCITT
Recommendations T.4 and T.6 (Group 3 and 4) as well as bit-mapped images
(having no compression). MS53 will put into one standard a self-contained file
format for bi-level image file transfer environments other than facsimile.
Approved in March 1993 to replace TIFF bi-level format for applications that
require file transfer across different platforms. Part 2 and Part 3 are undergoing
development for continuous tone and color images.
I/O Interface Standards
ANSI X3.131-1986 -American National Standard for information systems, Small Computer Systems Interface (SCSI).
Digital Image Display and Output Standards/Guidelines AIIM/TR19-1993 - Electronic Imaging Output/Display Devices. AIIM/TR29-1993 - Electronic Imaging Output/Printers. CBEMA/X3W1 - Image Printer Specifications.
Legal Admissibility Standards
AIIM/TR31-1992 - Part 1: Performance Guidelines for Admissibility of Records Produced by Information Technology Systems as Evidence.
AIIM/TR31-1993 - Part 2: Performance Guidelines for the Legal Acceptance of
Records Produced by Information Technology Systems for Regulatory Purposes.
Optical Character Recognition Standards/Guidelines
ISO 1073/1-1976 - Alphanumeric Character Sets for Optical Recognition, Part I:
"Character Set of OCR-A- Shapes and Dimensions of the Printed Image."
ISO 1073/2-1976 - Alphanumeric Character Sets for Optical Recognition, Part I1: "Character Set OCR-B- Shapes and Dimensions of the Printed Image."
FIPS PUB 32-1 - Character Sets for Optical Character Recognition, Adopted 13
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September, 1989. Incorporates OCR-A and OCR-B. Adopts ANSI X3.2-1970 (R1976), ANSI X3.49-1975 (R1982).
ANSI X3.93M-1981 (R1989) - Optical Character Recognition Positioning.
ANSI X3.99-1983 (R1991) - Guideline for Optical Character Recognition Print Quality.
Compact Disc Standards and Industry Guides
ISO/IEC 9660, 1988 - Information Processing - 120 mm (4.75-inch)Volumeand File Structure of CD-ROM for Information Interchange.
Red Book - A CD-ROM Color Book Drive Standard for audio compact disc (CD Audio) drives.
Yellow Book - A CD-ROM Color Book Drive Standard for compact disc read only memory (CD-ROM) drives. This standard also applies to the CD-ROM XA compatible drives used to read Kodak's Photo CD media.
Green Book - A CD-ROM Color Book Drive Standard for compact disc interactive (CD-I) drives.
Orange Book - A developing CD-ROM Color Book Drive Standard for magneto-optical (MO) and recordable (CD-R) drives. This book defines a CD-ROM/MO hybrid device, and includes single-session and multi-session CD-R.
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Miscellaneous Standards
AIIM/TR17-1989 - Facsimile and Its Role in Electronic Imaging.
ANSI/EIA 527-1986 - Screen Definition for Color Picture Tubes.
ANSI/HFS 100-1988 -American National Standard for Human Factors Engineering of Visual Display Terminal Work Stations.
ANSI/ISO 5807-1985 -Information Processing-Documentation Symbols and Conventions for Date, Program and System Flowcharts, Program Network Charts, and System Resource Charts.
ANSI X3/TR-7-89 - Information Processing Systems Technical Support- User Documentation for Consumer Software Packages.
MIL-STD-28000, MIL-M-28001, MIL-R-28002 - Department of Defense standards in
wide use in the CALS engineering data systems (DSREDS/EDCARSIEDMICS)
Draft/Emerging Standards and Projects
The following proposed standards and projects are under development, and are provided here for informational purposes only:
AIIM/TR31-Part 4: Model Rule and Model Law (Draft document under review).
data which can be used across application boundaries. There are also definitions of parsers, generators, and format converters to enhance open image communication. Part 2 of the IPI standard is the Imaging Kernel System (PIKS) and is located in the IIF Gateway which controls the import/export of image data to/from applications as well as the PIKS. The IIF may serve as a future image content architecture of the Open Document Architecture (ODA).
ISO/IEC DIS 13346 (ECMA 167) - Information technology - Volume and File Structure of Write-Once and Rewritable Media using Non-Sequential Recording for information Interchange.
ISO DIS 13490 (ECMA 168) - (Also known as the "Frankfort Specification") Draft International Standard and Draft ECMA Standard for read only and write once compact disc media which promises equal enrichment for Unix, Macintosh, OS/2, and Windows NT. Frankfort also supports the incremental update capability that is lacking in ISO 9660. ECMA 168 will conform to the Orange Book Specification.
CGATS 3.9-199X - Proposed Specification for the Calibration and Use of a Color Monitor for Comparison to Hard Copy for Color Proofing of Graphics Arts Images.
ANSI/AIIM MS60 - Proposed standard (in production): Electronic Folder Interchange Datastream.
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dpANS X3.131-199X - Draft proposed American National Standard for Information Systems, Small Computer Systems Interface - 2 (SCSI-2).
ISO DIS 9316-1 - Draft International Standard, Small Computer Systems Interface - 2 (SCSI-2).
ANSI/NISO Z39.72-199X - Proposed American National Standard for CD-ROM Mastering.
AIIM/MS57- Proposed standard (in production): CD-ROM Application Profile for ElM.
ANSI/AIIM MS59-199X - Proposed ANSI Standard for Information Systems - Use of Media Error Monitoring and Reporting Techniques for Verification of the Information Stored on Optical Digital Data Disks.
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