Pennsylvania State Laws on Optical Images
State Archivist and Records Manager:
Frank Suran, Director
Bureau of Archives & History
717-783-9872 fax: 717-878-4822
Diane Smith Wallace, Chief
Archival & Records Management Services
717-783-9874 fax: 717-787-4822
Kathy Smith, Records Mgmt.
State Records Ctr. Bldg.
1825 Stanley Dr., Harrisburg PA 17103
717-783-7330 fax: 717-772-5279
Uniform Rules of Evidence
Editor's Note: Pennsylvania has not adopted any version of the Uniform Rules of Evidence.
Uniform Photographic Copies of Business and Public Records as Evidence Act
42 Pa. Cons. Star. Ann. § 6109 adopts a version of the Uniform Photographic Copies of Business and Public Records as Evidence Act (LIPA). The UPA permits the destruction of an original document if, in the regular course of business, the original has been reproduced by "...microfilm...or other process which accurately reproduces or forms a durable medium for so reproducing the original .... "Furthermore, "[s]uch reproduction, when satisfactorily identified, is as admissible in evidence as the original itself in any judicial or administrative proceeding .... "
§ 6109. Photographic Copies of Business and Public Records
(a) Short title of section. This section shall be known and may be cited as the "Uniform Photographic
Copies of Business and Public Records as Evidence Act."
(b) General rule. If any business institution, member of a profession or calling, or any department or agency of government, in the regular course of business or activity, has kept or recorded any memorandum, writing, entry, print, representation, or combination thereof, of any act, transaction, occurrence or event, and in the regular course of business has caused any or all of the same to be recorded, copied or reproduced by any photographic, photostatic, microfilm, microcard, miniature photographic or other process which accurately reproduces or forms a durable medium for so reproducing the original, the original may be destroyed, in the regular course of business, unless its preservation is required by law. Any such reproduction in order to comply with this section must accurately reproduce all lines and markings which appear on the original. Such reproduction, when satisfactorily identified, is as admissible in evidence as the original itself in any judicial or administrative proceeding, whether the original is in existence or not, and an enlargement or facsimile of such reproduction is likewise admissible in evidence if the original reproduction is in existence and available for inspection under direction of the tribunal. The introduction of a reproduced record, enlargement or facsimile does not preclude admission of the original.
Uniform Business Records as Evidence Act
42 Pa. Cons. Star. Ann. § 6108 adopts a version of the Uniform Business Records as Evidence Act.
§ 6108. Business Records
(a) Short title of section. This section shall be known and may be cited as the "Uniform Business Records as Evidence Act."
(b) General rule. A record of an act, condition, or event shall, insofar as relevant, be competent evidence if the custodian or other qualified witness testifies to its identity and the mode of its preparation, and if it was made in the regular course of business at or near the time of the act, condition, or event, and if, in the opinion of the tribunal, the sources of information, method and time of preparation were such as to justif? its admission.
(c) Definition. As used in this section, "business" includes every, kind of business, profession, occupation. calling, or operation of institutions whether carried on for profit or not.
Editor's Note: The scope of the business records exception to the hearsay rule, as codified by Sec. 6108. has been extended beyond private business entities. See Silver v. City of Harrisburg, 422 A.2d 704, 54 Pa.
Commw. Ct. 303 (1980); Joseph v. Krull Wholesale Drug Co., 147 F. Supp. 250 (E.D. Pa. 1957) aff'd per curtam 245 F.2d 231 (3d Cir. 1957). The purpose of the Uniform Business Record as Evidence Act is to create an additional exception to the hearsay' rule.
Special Statutes
Pa. Star. Ann. tit. 7 § 108 requires banks, trust companies, savings banks. building and loan associations. etc.. to preserve certain records for seven years from the date of last entry. Film, photographic, photostatic "...or other copies which accurately reproduce all lines and markings on the original..." are authorized for most of the types of records required to be retained; and any such copy "...shall be admissible in evidence in any proceeding with the same effect as though it were the original."
Editor's Note: Pa. Stat. Ann. tit. 7 Sec. 6020-11 below is a similar provision relating to banks, trust companies, savings banks, building and loan associations, etc.
§ 108. Retention of Records and Admissibility of Copies in Evidence
(a) Requirement of retention. Every institution and every national bank located in this Commonwealth shall retain in such form and manner that they may be readily produced upon proper demand each record of original or final entry, and each deposit or withdrawal slip or ticket, for a period of seven years from the date of making of the last entry thereon, except that coupons accompanying deposits in a club account. such as a Christmas club or a vacation club, need not be so retained for more than two years from the date of closing of such account
(b) Originals required and copies permitted. All records required to be retained under subsection (a) of this section shall be retained in their original form except that, in lieu of the originals, film, photographic, photostatic or other copies which accurately reproduce all lines and markings on the original may be kept of:
(i) Any ledger or other record of final entry with respect to deposit accounts, any deposit slip or ticket or any record with respect to accounts held in a fiduciary or other representative capacity, and
(ii) Any withdrawal slip or ticket or other record not covered by clause (i) of this subsection (b) at any time
after two years from the date of the making of the last entry thereon.
(c) Admissibility of copies in evidence. Any copy of a record permitted to be kept in lieu of the original under subsection (b) of this section shall be admissible in evidence in any proceeding with the same effect as though it were the original.
Pa. Stat. Ann. tit. 7 § 6610 sets forth certain banking requirements. Subsection (d) provides that if copies are kept pursuant to this statute, the copies "...may be photostatic, microfilm or electronic copies .... "
§ 6610. Licensec Requirements: Records; Reports; Examinations; Receipts; Information to Be Furnished Borrower
(d) If copies of instruments, documents, accounts, books or records are maintained under subsection (a)(2), they may be photostatic, microfilm or electronic copies or copies provided in some other manner approved by the secretary, as long as access to information required by the secretary. exists electronically at all times within this Commonwealth.
§ 6020-11. Retention of Records and Admissibility of Copies in Evidence
(a) Every association shall preserve in such form and manner that they may be produced upon proper demand, all of its records of original or final entries for a period of seven years from the date of making the last entry thereon, except that coupons accompanying deposits in a club account, such as a Christmas club or a vacation club, need not be so retained for more than two years from the date of closing of such account.
(b) All records required to be retained under subsection (a) of this section shall be retained in their original form except that. in lieu of the originals, film, photographic, photostatic or other copies which accurately reproduce all lines and markings on the originals may be retained.
(c) Any copy of a record permitted to be kept in lieu of the original under subsection (b) of this section shall be admissible in evidence in any proceeding with the same effect as though it were the original.
13 Pa. Cons. Star. Ann. § 9409 is the Uniform Commercial Code section that authorizes the making and preservation of "...microfilm, photographic, photostatic or other copies..." of financing statements and other documents required to be filed under code provisions relating to secured transactions.
§ 9409. Retention of Microfilm or Other Copies in Lieu of Originals; Admissibility of Copies in Evidence;
Duties of Filing Officer
In lieu of retaining the originals of any or all papers filed with him, a filing officer may make microfilm. photographic. photostatic or other copies of them which accurately reproduce such originals and may thereafter dispose of the originals so copied, and any copy so made shall be admissible in evidence in any proceeding with the same effect as though it were an original. If a filing officer upon making a copy of a paper shall have disposed of the original, then upon the filing of a termination statement the filing officer shall be relieved of the duties imposed upon him by .Sec. 9404(b) (relating to duties of filing officer). but instead shall note the termination statement on the index and shall send to the secured party an acknowledgment of the filing of the termination statement.
Pa. Stat. Ann. tit. 40 § 910-7 provides that a title insurance company must retain the abstract of title or the report of the examination resulting from each examination of record title. The section further provides that in lieu of retaining the original abstract or report, the company may retain a reproduction of the original on microfilm "or other process which accurately produces or forms a durable medium for so reproducing the original."
Pa. Shat. Ann. tit. 43 § 113 specifically permits the use of microfilm in the keeping of the wages and hours records required by the state labor laws.
§ 113. Posting Abstract of Act; Records of Hours of Work; Microfilm
(a) Every person employing or permitting any female to work in any establishment shall keep posted, in a conspicuous place, where such female employee may read, a printed abstract of the provisions of this act. Provided, that when any female shall be employed or permitted to work in connection with any establishment, but not in such establishment, the aforesaid abstract shall be kept posted in a conspicuous place in the office of such establishment. The Department of Labor and Industry shall prepare the abstract of the provisions of this act. Copies of such abstract shall be printed, in accordance with the laws of this Commonwealth regulating printing and publishing, and the Department of Labor and Industry shall supply the same, upon application, to all persons required to post the abstract.
(b) Every person employing or permitting any female to work in any establishment shall maintain a true and accurate record of the hours worked by each such female. Such record shall contain the name of the female employee, the hours of commencing and stopping work, the hours when the time allowed for meal or rest periods shall begin and end for each day of the week, and the total daily hours and total weekly hours for each such female employee.
Where records are maintained at a central, record-keeping office, other than in the place of employment, such records shall be made available for inspection at the place of employment within seven calendar days following verbal or written notice from the Secretary of Labor and Industry or his authorized representative. Such records shall be maintained for a period of three years.
The use of microfilm for record-keeping purposes is permitted: Provided, however, that employers who use such microfilm shall make available to authorized representatives of the Department of Labor and Industry the equipment which is necessary to facilitate review of the records.
Public Records
Pa. Shat. Ann. tit. 15 § 136(d) authorizes the Department of State to make copies "on microfilm or otherwise" of any document filed with the department pursuant to any statute; and thereafter, the department may destroy the original.
(d) Copies. The department may make a copy, on microfilm or otherwise, of any document filed in, with or by it pursuant to this title, or any statute hereby supplied or repealed, and thereafter destroy the document or return it to or upon the order of the person who delivered the document to the department.
Pa. Stat. Ann. tit. 21 § 451 provides that a certified copy of an affidavit stating facts relating to the title to real estate duly recorded in the office of the recorder of deeds or the commissioner of records and certified by a member of the bar of the highest court in the Commonwealth shall be admissible evidence of the facts therein stated.
§ 451. Recording of Affidavits; Admissibility into Evidence
An affidavit, stating facts relating to the matters hereinafter named, which may affect the title to real estate in this Commonwealth, made by any person having personal knowledge of the facts and competent to testify concerning them in open court, may be recorded (even though not acknowledged) in the Office of the Recorder of Deeds or Commissioner of Records in the county. in which such real estate is situated; and when so recorded, such affidavit, or a certified copy thereof, shall be admissible evidence of the facts therein stated, insofar as such facts affect title to real estate, provided a member of the bar of the highest court of this Commonwealth shall have signed a certification, appended thereto, that he or she relied upon such affidavit in passing on the title to such real estate.
Pa. 'Star. Ann. tit. 43 § 769 authorizes the Department of Labor to make photographs or reproductions of its records "for the effective and economical preservation of the information contained therein." The statute specificallyauthorizes the destruction of originals; and provides that duly authenticated copies are admissible if the originals would have been.
§ 769. Obsolete Files, Records, etc.
The department may cause to be made such summaries, compilations, photographs, duplications or reproductions of any records, reports, or transcripts thereof, as it may deem advisable for the effective and economical preservation of the information contained therein. Original documents so photographed, duplicated or reproduced may be destroyed. Such summaries, compilations, photographs, duplications or reproductions, duly authenticated, shall be admissible in any proceedings under this act if the original record or records would have been admissible therein.
The provisions of § 524 of the Administrative Code of 1929, as amended. to the contrary notwithstanding. the department may provide by regulation for the destruction, after reasonable periods, of any records. reports. wanscripts, other papers in its custody, or reproductions thereof. the preservation of which is no longer necessary for the establishment of contribution liability. or of benefit rights or for any other purpose necessary to the proper administration of this act, including any required audit thereof. Contribution reports of employers or the photographs thereof shall be retained for a period of at least two years from the date of filing.
Pa. Star. Ann. tit. 53 § 9008 allows the original of any public record held by any municipal to be microfilmed if approval is granted by the Local Government Records Committee; if so microfilmed, the originals may be destroyed and the microfilm "shall be receivable in evidence in any court or proceeding, and shall have the same force and effect as though the original public record had been there produced and proved."
§ 9008. Photocopies, etc. of Records; Destruction of Originals: Copies as Evidence
Whenever any officer. commission or agency of any municipality shall have photographed. microphotographed or microfilmed any public record with the approval of and in conformance with standards
Pa. Stat. Ann. tit. 65 §§ 65. I through 65.5 authorize public officers of certain counties of the first class and cities of the first class to record documents by photographic process, authorize photographing of documents previously recorded by other processes, and provide that copies are admissible as originals.
§,65.1. Recording, Copying, etc., by Photostatic, Photographic, etc., Process Authorized Whenever any officer of any county of the first class or of any city of the first class is required or authorized by law to record, copy, recopy, or replace any document, plat paper, written instrument, or book, on file or of record in his office, he may do so by photostatic, photographic, microphotographic, microfilm, or other mechanical process which produces a clear, accurate, and permanent copy or reproduction of the original document, plat, paper, written instrument, or record, in accordance with standards not less than those approved for permanent records by the National Bureau of Standards.
§ 65.2. Certification as True and Original Copy
In any case where an original document, plat, paper, written instrument, record, or book of record, previously filed or of record in the office of such officer is, whether because of the worn or injured condition thereof or for any other reason, copied and replaced by such process, and where such officer is required by law to certify in or on the paper or book replacing the original so copied that the replacement is a true and correct copy of the original, a copy of such certification by such officer, similarly made and produced and included at the end of the replacement, shall be sufficient compliance with such law.
§ 65.3. Copies, How Considered; Effect; Evidence
Copies, records, reproductions and replacements, or enlarged reproductions thereof, thus produced, shall be considered as original copies, records, papers, or books of record, for all purposes, shall have the same effect in law and equity, and shall be admissible in evidence in like manner and under the same conditions as original copies, records, papers, or books of record, produced or copied in any other manner authorized by law.
§ 65.4. Transcripts or Certified Copies
Transcripts or certified copies of such copies, records, reproductions and replacements shall be considered as transcripts or certified copies of the originals.
§ 65.5. Correction, AIteration, Endorsement or Entry
In any case where any record or replacement thereof in the office of any such officer is produced by such process, any correction, alteration, endorsement, or entry, required or authorized to be made of or on any instrument or paper or on the record thereof, may be made by filing or inserting copies or recopies produced by the same process, of the pages, page, or part of the page, so corrected, altered, or on which such endorsement or entry is made, next to the place wherein the copy or record of such instrument or paper is contained or in such other manner as such officer shall deem advisable or practicable.
Pa. Star. Ann. tit. 71 § 205 authorizes any administrative department, board or commission, upon requisite approval, to microfilm correspondence, records or other papers, including "any returns, reports, claims or other papers pertaining to the administration, settlement, payment or collection of taxes, license fees, and other monies or property due the Commonwealth or rebates payable." The provision adds that "[m]icrofilm reproductions of such papers shall be admitted into evidence in any proceedings in place of the original papers in accordance with the 'Uniform Photographic Copies of Business and Public Records as Evidence Act.'"
§ 205. (Adm. Code § 525). Microfilm Records
Any administrative department. board or commission may. with the approval of the Executive Board. have microfilm records made of any correspondence, records or other papers for the purpose of protecting and safeguarding the original correspondence, records or other papers. or for the purpose of conserving filing space. and such microfilm reproduction shall, when properly identified, be admitted in evidence in any proceedings in place of the original correspondence, records or other papers. In any case where original correspondence, records or other papers are microfilmed under the provisions of this section for the purpose of conserving filing space, the administrative department, board or commission concerned may, with the approval of the Executive Board. destroy such original correspondence. records or other papers.
The provisions of this section expressly include. but are not limited to, any returns. reports. claims or other papers pertaining to the administration, settlement, payment or collection of taxes. license fees. and other moneys or property due the Commonwealth or rebates payable. Microfilm reproductions of such papers shall be admitted into evidence in any proceedings in place of the original papers in accordance with the "Uniform Photographic Copies of Business and Public Records as Evidence Act."
42 Pa. Cons. Star. Ann. §§ 4321-4324 set forth the standards and procedures for the disposition of obsolete
judicial records that are deemed by the applicable governing authority to be of permanent value. Such records shall not be destroyed prior to being "reproduced by an',' photostatic. photographic, microphotographic. microfilm. video tape. magnetic tape or other mechanical process...in accordance with standards...approved...by the National Bureau ofStandards." Such copies shall be admissible in evidence in any matter, and shall have the same force and effect as theoriginal.
8. POLICY AND GUIDELINES FOR THE RETENTION AND DISPOSITION OF
ORIGINS----COUNTY RECORDS COPIED ONTO OPTICAL IMAGING AND
DATA STORAGE SYSTEMS
(a) Purpose
Establish and clarify a records management policy for
county officers with respect to the retention and ultimate
disposition of original records copied onto optical imag-
ing and data storage systems and to records stored on
optical disks in order to enable officers to incorporate
information retention and retrieval considerations at the
earliest possible time into their plans to acquire optical
imaging and data storage systems.
(b) Objectives
(i) To integrate records maintained on optical disks
into county records management programs.
(ii) To provide information needed by county officers
to properly evaluate the effect of optical imaging
and data storage systems on their operations.
(iii) To ensure that information stored on optical imaging
and data storage systems will be accessible in con-
formance with records retention and disposition
schedules and procedures approved by the County
Records Committee.
(iv) To reduce the risks associated with optical imag-
ing and data storage system hardware and software
obso!escence.
(c) Scope
Applies to all county officers covered by the County
Records Act and by Supreme Court Rule of Judicial Adminis-
tration Pa.R.J.A. No. 507(a).
(d) Policy
(i) Records relating tc optical imaging and data
storage systems, including systems documentation,
may be disposed of only in accordance with sched-
ules approved by the County Records Committee.
5/96 1-OPT-1
OPTICAL IMAGING GUIDELINES (Continued)
(1) All information retention requirements
and procedures established by the County
Records Committee are addressed during
the system planning.
(2) Where possible, systems should be built
from hardware and software components
that conform to non-proprietary and/or
commonly accepted standards, and
(3) Vendors should deposit a copy of computer
source code and associated documentation
with the county for use in the event of
the vendor's business failure.
B. Preservation Strategy
To ensure that records stored on optical
media are preserved, a county officer must:
Maintain proper care and handling proce-
dures for optical media by keeping a
clean, dust-free environment for all
equipment and prohibit eating, drinking
or smoking in the area.
C. Migration Strategy
To ensure access to long-term records, a
county officer must provide a means to:
(!) Upgrade equipment as technology evolves
and periodically recopy optical media as
required, or
(2) Recopy optical media (based upon projected
longevity of the optical disk) every ten
years, or
(3) Transfer data from an obsolete generation
of optical technology to a newly emerging
generation, in some cases bypassing the
generation that is mature, but at risk of
becoming obsolete.
OPTICAL IMAGING GUIDELINES (Continued)
A. Input Quality Control
Regular equipment maintenance is a necessary
process control procedure under which optical
imaging and data storage systems should operate.
A county officer must:
(1) Ensure that the optical system receives
periodic maintenance,
(2) Ensure that the optical drives are recali-
brated annually or more frequently based
upon an "hours in use" formula,
(3) Ensure that quality control evaluation of
each scanned image and related index data
is performed prior to writing image data to
optical media,
(4) Evaluate the scanner quality based on
standard procedures recommended in
ANSi/AIIM MS44-!988, Recommended Practice
for Quality Control of Imaqe Scanners
(ANSI- American National Standards Insti-
tute). ANSI is composed of representatives
from industry, technical societies, consum-
er organizations and government agencies.
AiIM-Association for Information and Image
Management (formerly National Micrographics
Association - NMA).
B. Scanning Density
Scanning density is vital to ensure image
legibility. A county officer must:
(1) Employ a scanning density of 200 dots per
inch (dpi) for office documents that con-
tain no type fonts smaller than six (6)
point,
(2) Employ a higher scanning density (300
dpi or 600 dpi) as needed for engineering
drawings, maps, and documents with type
fonts smaller than six (6) point or
significant background detail, and
(3)Validate the selected scanning density
with actual document tests.
OPTICAL IMAGING GUIDELINES (Continued)
F. Compression Techniques
There are two broad categories of compres-
sion techniques - proprietary and standard.
Proprietary compression techniques tend to
be fast and offer higher compression capa-
bilities but the stored images might not be
transportable between different systems.
Standardized compression techniques, al-
though they may not be as powerful, support
image data transfer between systems that
otherwise might be incompatible. There are
two international standard compression
techniques currently available-CCITT Group 3
and Group 4. Therefore a county officer
must:
(1) Require that digital imaging and data
storage systems support the prevailing
CCITT standards, but
(2) If a proprietary compression technique
is unavoidable, require the vendor to
specify compression / decompression
algorithms that ensure that no informa-
tion is "lost" during the transmission.
(iii) County officers must provide for the continuing
functionality of system components over time by:
A. Open Systems
Open systems architecture is defined as a
systems design approach that permits users to
interchange system hardware components with
minimal impact on the primary operating
software and to upgrade the system over time
without risk of data loss. A county officer
must:
(!) Require an open systems architecture for
new optical media applications, or
(2) Require vendors to provide a bridge to
systems with non-proprietary
configurations.
OPTICAL IMAGING GUIDELINES (Continued)
E. Technical Documentation
To ensure that all technical information will
be available, a county officer must:
(1) Require delivery of a complete set of
documentation (including source code,
object code, and maintenance documenta-
tion) to the organization responsible
for operation of an optical media appli-
cation system, and
(2) Document all aspects of the design and use,
including administrative procedures for
digital imaging, retrieval, and storage;
technical system specifications; problems
encountered over time; and measures taken
to address them, including hardware and
software modifications.
(iv) County officers must provide for the stability of
optical media by:
A. Recording Performance
Write once, read many times (WORM) and
rewritable optical media recording
technologies each offer advantages and
disadvantages. The selection of WORM or
rewritable recording must be linked to the
user's application requirements, available
resources, and the level of standardization
achieved by the optical media technologies.
It is possible that accidental or intentional
erasure of data stored on rewritable media
could occur and this must be taken into
account, particularly when the records have
substantial legal, financial, or other !ong-
term value. A county officer must:
(1) Require the use of WORM technology for
records of long-term legal, financial or
archival research value, and
(2) Ensure that read/write privileges are
carefully controlled and that an audit
trail of rewrites is maintained when
rewritable technology is used.
OPTICAL IMAGING GUIDELINES (Continued)
E. Storage Environment
Optical media should be stored in a
protected environment. Therefore a county
officer must:
(1) Store optical media in areas with stable
room temperatures (65 to 75 degrees
Fahrenheit) where the relative humidity
does not exceed 50 percent and does not
fall below 30 percent.
(2) Not locate optical systems near areas of
electromagnetic radiation, such as
transformers, or areas of high radio
frequency radiation,
(3) Periodically clean optical media to
remove dust and other particulates
(e.g., fingerprints if media are
handled).
For additional information, contact:
Pennsylvania Historical and Museum Commission
Division of Archival and Records Management Sereices
P.O. Box 1026
Harrisburg, PA 17108-1026
(717) 783-9874 or (717) 787-3913
Officers may wish to contact AIIM for the most recent
edition of Technical Report - TR25 The Use of Optical
Disks for Public Records and other applicable standards:
Association for Information and Image Management
1100 Wayne Avenue, Suite 1100
Silver Spring, MD 20910
(301) 587-8202
9. STANDARDS AND PROCEDURES FOR ELEC____TRONIC RECORDS
(a) Authority
These standards and procedures were adopted by the
County Records Committee in accordance with the
County Records Act.
(b) Purpose
The standards and procedures are designed to help
ensure the accuracy, usability, longevity and legal
acceptance of electronic records generated by county
offices.
(c) Scope
These standards and procedures establish the basic
requirements relating to the creation, maintenance,
use and disposition of electronic records. Eleetr0nic
records include numeric, graphic, and text information
which may be recorded on any medium capable of being
read by a computer and which satisfies the definition
of a record as defined in the County Records Act. This
includes, but is not limited to: magnetic media such as
computer tapes, disks, diskettes and other electronic
storage devices containing records. These requirements
apply to all electronic records systems, whether micro-
computers, minicomputers or main-frame computers, in
network or stand-alone configurations. The guidelines
apply to all county officers covered by the County
Records Act and by Supreme Court Rule of Judicial
Administration Pa. R.J.A. 507(a). Policy and guide-
lines for the retention and disposition of county
records copied onto optical imaging systems and stored
on optical disks are not included in this chapter but
are covered in Chapter One, Section 8 of the County
Records Manual.
(d) Responsibilities of County Officers
County officers shall ensure that the management of
electronic records incorporates the following elements:
(i) Assigning responsibility to develop and implement
a program for records created, received, main-
tained, used, or stored on electronic media.
(ii) Integrating the management of electronic records
with other records and information resources of
the county and incorporating electronic records
management responsibilities into any pertinent
county policies or directives.
5/96 1-ELEC-1
ELECTRONIC RECORDS STANDARDS (Continued)
(iii) Establishing procedures for addressing records
management requirements, including record disposi-
tion schedules promulgated by the County Records
Committee, before approving new electronic records
systems or enhancements to existing systems.
(iv) Ensuring that adequate training is provided for
users of electronic records systems in the opera-
tion, care and handling of the equipment and
software.
(v) Developing and maintaining adequate and up-to-date
documentation about each electronic records sys-
tem. Documentation should: list system title and
responsible county office; specify all technical
characteristics necessary for reading or process-
ing the records; identify all defined inputs and
outputs of the system; define the contents of the
system, including record formats and data base
tables; identify vital records and information;
determine restrictions on access and use; describe
update cycles or conditions and rules for adding
information to the system, changing information in
it or deleting information; and facilitate the
timely, authorized disposition of the records in
accordance with the County Records Manual.
(vi) Specifying the location, manner, and media in
which electronic records will be maintained to
meet operational and archival requirements, and
maintaining inventories of electronic records
systems to facilitate disposition.
(vii) Ensuring that compliance with county electronic
records procedures are applied to county electron-
ic records created or maintained by contractors.
(viii) Reviewing electronic systems periodically for con-
formance to procedures described in the County
Records Manual to ensure that record descriptions
and retention periods reflect changes as the
County Records Manual is updated.
(e) Procedures
(i) Creation and Use of Data Files
A. For electronic records systems that produce,
use, or store data files, disposition in-
structions for the data shall be incorporated
into a systems design and updated as necessary.
5/96 1-ELEC-2
ELECTRONIC RECORDS STANDARDS (Continued)
B. County offices shall maintain proper, up-to-date
technical documentation for each electronic
records system that produces, uses, or stores
data files. Minimum documentation required is a
narrative description of the system; physical
and technical characteristics of the records,
including a record layout that describes each
field including its name, size, starting or
relative position and a description of the form
of the data (such as alphabetic, zoned decimal,
packed decimal or numeric); or a data dictionary
or the equivalent information associated with a
data base management system including a descrip-
tion of the relations between data elements in
databases; and any other technical information
needed to read or process the records.
(ii) Creation and Use of Text Documents
Electronic records systems that maintain the
official file copy of text documents on electronic
media shall meet the following minimum require-
ments:
A. Provide a method for all authorized
users of the system to retrieve de-
sired documents, such as an indexing
or text search system.
B. Provide an appropriate level of security
to ensure integrity of the documents.
C, Provide a standard interchange format
when necessary to permit the exchange
of documents on electronic media using
different software/operating systems
and allow for the conversion or migra-
tion of documents on electronic media
from one system to another.
D. Provide for the disposition of the
documents including, when necessary,
transferring records to the State
Archives.
E. Before a document is created and main-
tained on electronic records systems,
documents shall be identified suffi-
ciently to enable authorized personnel
5/96 1-ELEC-3
ELECTRONIC RECORDS STANDARDS (Continued)
to retrieve, protect and carry out the
disposition of documents in the system.
Appropriate identifying information for
each document maintained on the elec-
tronic media may include: office of
origin, file code, key words for re-
trieval, addressee (if any), signature,
author, date, authorized disposition
{coded or otherwise), and security
classification (if applicable). County
officers should ensure that records
maintained in such systems can be corre-
lated with related records on paper,
microform, or other media.
(f) Legal Admissibility of Electronic Records
To enhance legal admissibility of records in an
electronic format and help ensure county records
may be used as evidence in court proceedings,
trustworthiness must be established by thoroughly
documenting the recordkeeping system's operation
and the controls imposed upon it. To implement
procedures to enhance the legal admissibility of
electronic records, county officers should: ~
(i) Document that similar kinds of records
generated and stored electronically are
created by the same processes each time
and have a standardized retrieval approach.
(ii) Substantiate that security procedures
prevent unauthorized addition, modification
or deletion of a record and ensure system
protection against such problems as power
interruptions.
(iii) Identify the electronic media on which
records are stored throughout their life
cycle and the maximum time span that
records must remain on each storage medium
in order to comply with minimum retention
periods as cited in the County Records
Manual.
(iv) Coordinate all of the above with legal
counsel, information managers, and records
management staff.
5/96 1-ELEC-4
ELECTRONIC RECORDS STANDARDS , (Continued)
(g) Security of electronic records.
County officers shall implement and maintain an
effective records security program that incorpo-
rates the following to:
(i) Ensure that only authorized personnel have access
to electronic records.
(ii) Provide for backup and recovery of records to pro-
tect against information loss.
(iii) Ensure that county personnel are trained to safe-
guard sensitive or classified electronic informa-
tion.
(iv) Minimize the risk of unauthorized alteration or
erasure of electronic records.
(v) Ensure that electronic records security is
included in a computer systems security plan
(h) Selection and Maintenance of Electronic Records
Storage Media.
County officers shall select appropriate media and
systems for storing records throughout their life
which meet the following requirements:
(i) Specific Requirements in selecting storage media.
A. Permit easy retrieval in a timely fashion.
B. Facilitate the distinction between records
and non-records as defined in the County
Records Act.
C. Retain the records in a usable format for the
length of their required retention period.
D. When appropriate, meet requirements for
transferring electronic records to the
State Archives.
(ii) The following factors shall be considered
before selecting a storage media or when
converting from one medium to another:
A. The required retention period of the records.
5/96 1-ELEC-5
ELECTRONIC RECORDS STANDARDS (Continued)
B. The maintenance necessary to retain the
records in that format.
C. The costs of storing and retrieving
the records stored in thatformat.
D. The density of the record.
E. The access time necessary to retrieve stored
records.
F. The portability of the medium (selecting
a medium that will run on equipment
produced by multiple manufacturers)
and the ability to transfer informa-
tion from one medium to another as
well as the flexibility of the soft-
ware to be migrated into a different
medium if desirable or necessary.
G. Compliance of the storage medium with
current industry and/or Federal stand-
ards if applicable.
(iii) County officers shall avoid the use of floppy
disks for the exclusive long-term storage of
permanent electronic records.
(iv) County officers shall ensure that all author-
ized users can identify and retrieve informa-
tion stored on removable disks or tapes by
establishing or by adopting procedures for
external labeling as well as procedures for
computer tape library subsystems for storage
media identification.
(v) County officers shall ensure that information
is not lost because of changing technology or
deterioration by converting storage media to
provide compatibility with the county's current
hardware and software. Before conversion to
a different medium, county officers shall
determine that the authorized dispositions of
the electronic records can be implemented
after conversion.
5/96 1-ELEC-6
%
ELECTRONIC RECORDS STANDARDS (Continued)
(vi) County officers should back up electronic
records on a regular basis to safeguard
against the loss of information due to equip-
ment malfunctions or human error. Duplicate
copies of permanent records should be main-
tained in separate buildings. All security
copies of vital electronic records, regard-
less of retention period, should be stored in
a separate building.
(vii) For the maintenance of magnetic computer
medium, county officers shall follow indus-
try and national standards for safeguarding
information.
(viii) Maintenance of magnetic computer tape con-
taining permanent records.
A. County officers shall provide for the
testing of magnetic computer tapes no
more than six months prior to using them
to store electronic records that are
scheduled for permanent retention. This
test should verify that the tape is free
of permanent errors and in compliance
with National Institute of Standards and
Technology or industry standards.
B. County officers shall maintain the
storage and test areas for computer
magnetic tapes containing permanent
records at the following temperature
and relative humidities:
Constant temperature - 62 to 68 degrees
Fahrenheit.
Constant relative humidity - 35 to 45
percent.
C. County officers should rewind accord-
ing to tape specifications all tapes
containing permanent records every
3-1/2 years.
5/96 1-ELEC-7
ELECTRONIC RECORDS STANDARDS (Continued)
D. County officers shall annually read a statis-
tical sample of all reels or cartridges of
magnetic computer tape containing permanent
records to identify any loss of data and to
discover and correct the causes of data loss.
In magnetic medium storage libraries with
1,800 or fewer reels/cartridges, a 20 percent
sample or a sample size of 50 reels/car-
tridges, whichever is larger, should be read.
In magnetic medium libraries with more than
1,800 reels/cartridges, a sample of 384 reels
/cartridges should be read. Tapes with 10 or
more errors shall be replaced and, when
possible, lost data shall be restored. All
other tapes which might have been affected by
the same cause (i.e., poor quality tape,
high usage, poor environment, improper han-
dling) shall be read and corrected as appro-
priate.
E. County officers shall copy permanent data
stored on magnetic tapes before the tapes are
10 years old, onto tested and verified new
tapes.
F. County officers shall ensure that external
labels (or the equivalent automated tape
management system) for magnetic tapes used to
store permanent electronic records shall
provide unique identification of each
reel/cartridge, including the name of the
office responsible for the data, system
title, and security classification, if ap-
plicable. Additionally, the following infor-
mation shall be maintained for (but not
necessarily attached to) each reel/cartridge
used to store permanent electronic records:
file title(s); dates of creation; dates of
coverage; the recording density; type of
internal labels; volume serial number, if
5/96 1-ELEC-8
ELECTRONIC RECORDS STANDARDS (Continued)
applicable; number of tracks; character
code/software dependency; information about
block size; and reel/cartridge sequence
number, if the file is part of a multi-
reel/cartridge set. For numeric data files,
include record format and logical record
length, if applicable; data set name(s) and
sequence, if applicable; and number of record
for each data set.
G. County officers shall maintain proper care
and handing procedures for electronic media
by keeping a clean, dust-free environment for
all equipment and prohibit eating, drinking
or smoking in magnetic computer medium stor-
age libraries and test or evaluation areas
that contain permanent records.
(ix) Maintenance of direct access storage media.
A. County officers shall issue written proce-
dures which draw upon the recommendations of
the manufacturers for the care and handling
of direct access storage media.
B. County officers shall ensure that external
labels for diskettes or removable disks used
when processing or temporarily storing perma-
nent records shall include the following
information: name of the office responsible
for the records; descriptive title of the
contents; dates of creation; security classi-
fication, if applicable; and identification
of the software and hardware used.
(i) Retention of Electronic Records
County officers shall establish policies and procedures
to ensure that electronic records and their documenta-
tion are retained for the length of their required
retention period. The retention procedures shall in-
clude:
5/96 1-ELEC-9
a
ELECTRONIC RECORDS STANDARDS (Continued)
(i) Scheduling the disposition of electronic
records, as well as related documentation
and indexes in accordance with the County
Records Manual.
(ii) Transferring a copy of the electronic
records and any related documentation and
indexes to the State Archives if specified
in the County Records Manual. (Contact the
State Archives for instructions as to
necessary requirements.)
(iii) Establishing procedures for regular recopy-
ing, reformatting, and other necessary
maintenance to ensure the retention and
usability of electronic records throughout
their required retention period.
(j) Destruction of Public Records on Electronic Media
Electronic records may be destroyed in compliance with
the County Records Manual. Electronic records sched-
uled for destruction should be disposed of in a way
that ensures protection of any sensitive, proprietary,
or security information. Magnetic recording media
previously used for electronic records including sensi-
tive, proprietary, or security information are not to
be recycled if the previously recorded information can
be compromised by reuse in any way.
For additional information, contact:
Pennsylvania Historical and Museum Commission
Division of Archival and Records Management Services
P.O. Box 1026
Harrisburg, PA 17108-1026
(717) 783-9874 or (717) 787-3913
5/96 1-ELEC-10
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