1、AIIM TR28 93 m 3032348 0000891 b m AIIM TR28-1991 The Expungement of I ite-Once-Read-Many (WOR Technical Report Association for Information and Image Management 1100 Wayne Avenue, Suite 1100 Silver Spring, Maryland 20910 Telephone _- - - 301 /587:8202 - i- t 1 AIIM TR28 91 m LOL23q 0000892 8 m AIIM
2、TR28-1991 Technical Report for Information and Image Management - The Expungement of Information Recorded on Optical Write-Once-Read-Many (WORM) Systems Association for Information and Image Management 1% This technical report applies to the removal of information recorded on information systems tha
3、t use WORM optical disk), when expungement is ordered by a court or other administrative authority. This report may also have an applicdion for other WORM system users; however, it was prepared to formulate uniform practices for the manage- ment of public information. - -_ _ AIIM TR28 91 LO12348 O00
4、0893 T m Table of Contents Foreword. . i 1 Introduction . 1 1.1 Scope . 1 1.2 References . 1 1.3 Definitions, . 1 2 File Integrity Recommendations 2 2.1 Capturing the Court Order and Change Notice . 2 2.2 Overwriting the Image . 2 2.3 Rewriting the Disk 2 2.4 Documentation . 2 3 Index . 3 4 Copies 3
5、 The manufacturers of some WORM systems construct equipment and design software so that expunging data may be difficult or impossible. Unless the information to be expunged can be altered through software and/or hardware changes, expungement can only take place by copying ac- ceptable data (Le., dat
6、a that is not expunged) from one disk to another, and then destroying the first disk that contains negated data. One method that can be used includes arranging a controlled software module that would permit wiping out the bit mapped image and any indices identifying the image. It is recommended that
7、 the software module provide a double overwrite of the selected data to lessen the possi- bility of the destroyed information being reconstructed. APPENDICES Appendix A. Change Notice (Example of), 4 Appendix B. Comments to the Court Administrator. . 5 This report is divided into four sections: Sect
8、ion 1 explains the scope of this report, provides references to standards and technical reports, and defines essential terms. Foreword This AIIM technical report describes practices for court ordered expungement of information recorded on Write-Once-Read-Many (WORM) optical disks. This report has be
9、en prepared for public offices such as: courts, clerks of the court, law enforcement, social services, pro- bation and parole, juvenile services, schools, archives, and vital record centers. This report may also have an appli- cation for other WORM system users; however, it was pre- pared to formula
10、te uniform practices for the management of public information. The AIIM C18 Public Records Committee recognizes that WORM disk media is inherently difficult to alter. Therefore, the committee felt it necessary to provide guide- lines to ensure that uniform practices are being followed, in order to m
11、inimize the possibility of having information recorded on WORM disk rejected in a court of law. For example, a legally-ordered expungement, or expungement during file maintenance, may jeopardize the admissibility of the entire data set as evidence in a court of law if the expungement is not document
12、ed and performed accord- ing to standard practices. Organizations that are subjected to expungement rul- ings should work with the manufacturer and manufac- turers engineering staff or supplier to obtain a satisfactory method to eliminate expunged data. WORM system users should require vendors to de
13、monstrate their expungement procedures and to prepare a certification assuring that in- dex data recovery and image recovery can not be performed following expungement. In addition, this certification and demonstration should also be required when implement- ing WORM system hardware or software upgr
14、ades. Section 2 presents an overview of file integrity recom- mendations for expungement. It describes the major types of file integrity such as capturing the court order and change notice, overwriting the image, and rewrit- ing and documenting the WORM disk. It provides instruction for implementing
15、 these file integrity recommendations. Section 3 illustrates the procedure used and index for expunged records or pages. Section 4 provides information on how to handle copies of the original WORM disk and copies of the information removed by expungement. Suggestions to improve this technical report
16、 are wel- come. They should be addressed to: Chairman, Standards Board, AIIM, 1100 Wayne Avenue, Silver Spring, Maryland 20910. The AIIM Standards Board had the following mem- bers at the time it approved and processed this technical report: Marilyn Courtot, Chair Thomas E. Berney Loretta DAgnolo Do
17、n Klosterboer E. Brien Lewis Alan S. Linden Wesley J. Micket Charles A. Plesums L. Don Prince George Thoma Charles F. Touchton Herbert J. White II i 1 AIIM TR28 71 m 1012398 0000874 1 m This technical report was developed by the AIIM C18 Public Records Committee which had the following members. I, O
18、rganization Virginia State Library and Archives Bank of Canada CACI, Inc. Consultant Consultant Consultant Consultant First Image Genealogical Society of Utah Genealogical Society of Utah Henrico County Public Schools Massachusetts Archives MSTC National Center or State Nebraska Division of State of
19、 Pennsylvania Somerveli Associates South Carolina Dept. of History 3M Company Vermont Yankee Nuclear Virginia Retirement Courts Records Management System Remesentative Richard Harrington, Chair Donald G. Wilson Marc R. DAlleyrand Thomas E. Berney Edward Johnson Albert H. Leisinger Herbert S. Wheling
20、 William E. Neale Eric Erickson Brent Reber Dorothea S. Kane Albert H. Whitaker Robert Starbird Thomas G. Dibble William Ptacek Frank Suran Julia G. Somervell George M. Reid Carl J. Anderson Cherron Faulkner John Breeden AIIM TR28 91 m 1012348 0000895 3 m Association for Information and Image Manage
21、ment Technical Report- The Expungement of Information Recorded on Optical Write-Once- Read-Many (WORM) Systems, AIIM TR28-1991 1 Introduction 1.1 Scope This technical report applies to the removal of infor- mation recorded on WORM disk media when expunge- ment is ordered by the court or administrati
22、ve authority; expungement requires the elimination of information. This report establishes uniform practices for both information removal and to document the action for removal. Following these recommendations will assure that the expungement is performed consistently. This technical report does not
23、 address CD-ROM or rewritable optical media; or, information that is retained, managed or distributed to satisfy the Freedom of Infor- mation Act or Privacy Act objectives. U.S. Privacy Act P.L. 93-579 and P.L. 93-502, U.S. Con- gress, Washington, DC, 1974. 1.2.3 Other Related Standards Internationa
24、l Organization for StandardizationAnterna- tional Electrotechnical Commission (ISOAEC) Draft International Standard (DIS) 9171-1, 1990. Information Technology-I30 mm (5.25-inch) Optical Disk Cartridge, Write- Once, For Information Interchange Part O1 : Unrecorded Optical Disk Cartridge. 9171-2, 1990
25、. Information Technology-130 mm (5.25-inch) Optical Disk Cartridge, Write- Once, For Information Interchange Part 02: Recording Format. ISOAEC DIS 10089, 1991-proposed. Information Tech- nology-130 mm (5.25-inch) Rewritable Optical Disk Car- tridges for Information Interchange. IS0 9660, 1988. Infor
26、mation Processing-Volume and File Structure of CD ROM for Information Interchange 120 mm (4.72-inch). IS0 DIS 10149, 1988. Information Processing-Track Format and Physical Properties for Read Only 120 mm (4.72-inch) Optical Digital Data Disks. 1.2.4 Related Publications 1.2 References All standards
27、publications are subject to revision. When the following documents are superseded by an approved revision, that revision may apply. 1.2.1 Related American National Standards ANSUAIIM MS42-1989. Information and Image Manage- ment-Recommended Practice for the Expungement, Deletion, Correction or Amend
28、ment of Records on Microforms. 1.2.2 Referenced Publications and Federal Documents AIIM TR2-1980. Technical Report for Information and Image Management-Glossary of Micrographics. Uniform Photographic Copies of Business and Public Records as Evidence Act. (Citation 28 USC 1732). U.S. Freedom of Infor
29、mation Act (FOIA) (5 USC 552) P.L. 93-502, 1974 and P.L. 90-23, 1968, U.S. Congress, Washington, DC. AIIM TR21-proposed. Recommendations for Identifying Information to be Placed on Write-Once-Read-Many (WORM) and Rewritable Optical Disk Cartridge Label) and Optical Disk Cartridge Packaging (Shipping
30、 Con- tainers). AIIM TR25-1990. Technical Report for Information and Image Management-The Use of Optical Disks for Public Records. 1.3 Definitions The following definitions apply to terms used in this technical report. Additional terms are defined in AIIM TR2-1980, Glossary of Micrographics. Amendme
31、nt. A correction or revision. Bit-mapped. A 2-dbensiona matrix of bits that represents a document as a visual image. Each bit in the matrix en- codes a corresponding pixel of the document. Capture. The recording of data in a form for its entry into a computer system. 1 AIIM TR28 93 = 3032348 0000896
32、 5 Compact Disk Read Only Memory (CD ROM). An opti- cal disk with an outside diameter of 4.72 inches which can only be read; it cannot be written by end users. CD ROM disks are used in publishing applications where multiple copies are made from a master disk. Correction. Information substituted for
33、a mistake. Document. Any writing, drawing, photograph or other in- strument used for the communication of information. A document may be a single page or multiple pages. Expungement. The removal and destruction, usually court ordered, of a document image or images and the docu- ment index from the W
34、ORM recording disk. This proce- dure requires that no record or identification of the document, which is ordered expunged, remain. Index. A systematic guide which allows access to specific items contained within a large body of information. Information. Data that has been analyzed, interpreted, or c
35、ompiled into a meaningful form. Media. The plural for a physical substance on which data is recorded. Optical disk. A high-density storage device which may use laser, optical, and/or magnetic techniques to store and retrieve binary information. The actual data representing document pages may be comp
36、ressed or not compressed and encoded by various methods. Page. In reference to document management, the graphic and/or text presented on one side of a piece of paper. In reference to electronic data which is digitized from hard- copy, the information presented on the original document page. In refer
37、ence to electronically-generated data, the information stored between the page break. In reference to a monitor (computer display), the information displayed on the screen. Records. All recorded information, regardless of media or characteristics, made or received and maintained by an organization o
38、r institution in pursuance of its legal obli- gations or in the transaction of its business. Rewritable optical disk. Optical media that can be writ- ten, erased and rewritten. (See Optical disk.) Write-Once-Read-Many (WORM) optical disks. Optical disks that can only be recorded with information and
39、 are not intended to be rewritten or recorded over. (See Opti- cal disk.) 2 File Integrity Recommendations While expunging information, it is essential to assure the accuracy, completeness, and legal acceptance of in- formation stored with WORM disk technology. The in- tegrity of a file can be best
40、demonstrated by following routine operating practices and establishing an audit trail. This is accomplished by documenting expungement prac- tices and by preparing documentation describing the pur- pose and scope for each change. 2.1 Capturing the Court Order and Change Notice In those instances whe
41、re the court order contains in- formation which could identify the expunged document, or could reveal the original information, the order shall not be captured and recorded on the WORM disk. Only the Change Notice (See Appendix A) shall be recorded. The Change Notice shall include an appropriate ref
42、erence to the court order. 2.2 Overwriting the Image Expungement may require the information on a WORM disk to be overwritten or obliterated, leaving no evidence of the original information. The process requires overwriting the image) with a revised image(s); thereby, obliterating the original image
43、). The procedure for overwriting a page($ or record will differ depending on the vendors equipment. Use the over- writing procedures and index correction procedure that is specified by the equipment manufacturer. 2.3 Rewriting the Disk Expungement may require the rewriting of all indices, pages, or
44、documents other than the expunged document(s) to an entirely new WORM disk. Using this procedure, the old disk and its index must be physically destroyed. The procedure for rewriting a disk will differ depend- ing on the vendors equipment. Use the rewriting proce- dures and index rewriting procedure
45、 that is specified by the equipment manufacturer. 2.4 Documentation Documentation of the WORM disk expungement process consists of a court order mandating the change and the completed change notice. Both the court order and the change notice, if applicable, shall be written to the same WORM systems
46、as the original documents. Write-Once-Read-Many (WORM) system. An information system that uses a WORM disk for data storage. 2 AIIM TR28 91 1012348 0000897 7 3 Index In cases where a complete page or record is expunged, remove all reference to the page or record from the index. If the index has been
47、 copied, recopy the index after the reference to the page or record has been removed. 4 Copies Copies of the original WORM disk and copies of the information removed by expungement must be destroyed or changed to reflect the intent of the court order. No record, index, or reference to the original u
48、nrevised in- formation should exist on WORM disk copies, or copies in any other media, whether paper, magnetic, film, or dig- ital optical. 3 AIIM TR28 91 m 1012348 0000898 9 m Appendix A. Change Notice Information has been expunged from this WORM disk according to Court Order (Court Order number an
49、d court jurisdiction), or by the order of the following official (name, title and office), (signature). This information was removed and destroyed by: (signature of the person carrying out the expungement) on: (date) (title) (organization) (and address) All WORM disk indices and WORM disk copies and copies in any other media, whether paper, magnetic, film, or optically based were destroyed by: (signature of the person carrying out the expungement) on: (date) (title) (organization) (and address) Describe the expunged information. (Do not reveal information protected
