Managing Born-Digital Documentswww.archives.nysed.gov

Objectives

• Review the challenges of managing born-digital records

• Provide Practical strategies to ensure born-digital records are well managed

• Understand the basics of digital preservation

• Eliminate the need to print records to paper

Your Goal:

If a record is born digital, it will die digital

What’s Wrong with this Picture?

DIGITAL RECORDS OVERVIEW

Issues and Opportunities

The Records Lifecycle

Same Rules Apply

• RM fundamentals apply regardless of format

• Storage

• Organization

• Ownership

• Retention & disposition

• Security & protection

• Authenticity

• Preservation

Same Questions

Paper• What records do you

have?

• Who created them?

• Who is responsible for them?

• Where are they stored?

• What’s their retention period?

• What is their format?

E-Records• Same

• Same

• Same

• Same

• Same

• Same

New Challenges

• Multiple managers

• IT, RMO, department, user

• Creation devices

• PC, laptop, tablet, smart phone, etc.

• Continuous changes

• Live applications (e.g. database-driven apps, GIS, web sites )

• Storage locations

• Multiple repositories to manage(e.g. servers, handheld devices, cloud, etc.)

Additional Challenges

• Accessibility

• Local, shared, security, public

• Trustworthy

• Revision control

• Legal compliance

• Preservation challenges

• Maintaining readability/functionality

• Proprietary file formats; obsolescence

Consider This:

Approximately 90% of all documents are created electronically

About 70% of paper records were created electronically

KNOW WHAT YOU HAVE

Types, categories & locations

Types of E-Records

• Word processing

• Spreadsheets

• PDF

• Databases

• Scanned images

• Email & attachments

• Presentations

• Photos

• Websites

• Social media

• Audio recordings

• Videos

• Electronic publications

• GIS

• CAD (Computer Aided Design)

Where Are Your Records?

• Desktop PC’s

• Laptops

• Network servers

• File servers

• Application servers

• Removable media

• CDs, DVDs, USB drives, etc.

• Backup tapes

• Remote sites

• Home offices

• Tablets

• Smart phones

• “The Cloud”

Categories of e-Records

• Structured

• Database driven applications (financial, permits, etc.)

• Unstructured

• Word processing, spreadsheets, PDF

• E-mail

Social Media

• Third-party hosted and managed

• Facebook, Twitter, blogging with comments

• Need centralize management

• Limit who can post

• Governing policies must be in place

• Tools needed to retain past information

Locally or Cloud?

• Where are your records stored?

• On your servers or a 3rd party (e.g. vendor, state, federal)

• If internally:

• Which devices store the data and who controls them?

• If third-party:

• What does your contract stipulate?

• Where are the primary servers?

• Where are the backups?

So It’s Simple:

If you want your digital documents to be records, treat them like records

MANAGING WHAT YOU HAVE

Setting a Strategy

1. Identifying e-Records

• Identify the records

• Creation applications

• Storage locations

• Identify the owner

• Creator, custodian, and owner

• Determine ‘official’ record

• Paper print-out or electronic?

• Work-in-process or final?

2. Identify Risks

• Identify potential and existing risks

• Common risks

• Lack of security

• Lack of protection

• Risk of future inaccessibility

Potential Risks

• Security – physical & logical/IT

• Protection

• Retention

• Preservation

• Uncontrolled duplication

• Storage location

3. Determine Focus

• Where to begin?

• Where is your larger risk?

• Short term and long term

• Low hanging fruit

• Imminent threats

• Day-forward and backlog

• Can’t address everything at once

• Be realistic in your approach

4. Action Plan

• Focus area will influence action plan

• Balanced approach

• Serious issues are priority

• What can easily be achieved?

• Identify short term and long term answers

• Plan accordingly

Project Management

• Project management is critical to overall success

• Patience

• Keep plan as simple as possible

• Get advice

IMPLEMENTING A STRATEGY

Practical Steps

• Inventory

• Dispose

• Organize

• Preserve

• Manage (on-going)

• Document (policies & procedures)

Dispose of What You Can

• Determine records retention requirements

• Use same schedules

• Separate records from non records

• Work-in-process, copies

• Determine official record

• Paper or electronic?

• Perform consistently in course of business

• Periodic review needed

Organization

• Structured

• Output periodic reports to PDF/A

• Unstructured

• Purging & developing a file plan

Note: Preservation will be discussed later

Unstructured e-File Plan

• Standardized filing method for unstructured files

• Location where final “record” copies are stored

• Determine how you search for records

• Facilitate retrieval and access

• Recommendations

• Begin modeling using paper filing systems

• Use intelligible names

• Be consistent

• Use to track retention and versions

Naming Conventions

How to Stop the Paper

• Designate the electronic version the official copy

• Control printers and photocopiers

• Implement Electronic Forms

• Use e-signatures where appropriate

Sample Resolution

The Town of Adams shall maintain all digitally created records in their native digital format for the legally proscribed retention period of the record. The Town shall maintain all digital records adhering to the guidelines set forth in the Regulations of the Commissioner of Education Part 185.8.

Implement Electronic Forms

• With an ECM

• Create your own

What’s an ECM?

• Central technology platform used to capture, manage, store, preserve, and deliver electronic content

• Central repository for storing electronic records

• Manages records in many formats

• Provides structure for unstructured data

Electronic Forms

Electronic Forms II

Electronic Forms III

Electronic Signatures

• Electronic Signature and Records Act (ESRA)

• An electronic signature is an electronic sound, symbol, or process, attached to or logically associated with an electronic record and executed or adopted by a person with the intent to sign the record.

https://its.ny.gov/sites/default/files/documents/G04-001.pdf

ESRA eSignature Approaches

• Click Through or Click Wrap

• Personal Identification Number (PIN) or password

• Digitized Signature

• Biometrics

• Public/Private Key

Click Through Example

Password Example

Password Example II

Email Retention Options

• Schedule-Based Retention

• Uniform Retention

• Functional Retention (“Big Bucket” retention)

• Account Holder Retention

Schedule-Based Retention

• Each mailbox owner:

• Categorizes each message

• Matches the message to a specific schedule item

• Determines the disposition date

• Files the message in an appropriate place

• Disposes of the message when appropriate

Pros and Cons Schedule-Based Retention • Pros

• Conforms to current retention rules

• Employs mailbox owner’s knowledge

• Does not require additional software or hardware

• Cons

• Labor intensive

• Increased costs

• User resistance

• Often impracticable

Uniform Retention

• A single predetermined retention period for most email

• Applies to the official copy

• Most common retention is 3-10 years

• Exceptions for emails that need longer or shorter retention

• Event-based retentions

• Automatically deleted from email server

• Discourage saving emails outside the email server

Uniform Retention Pros and Cons• Pros

• Easier to understand (than schedule-based)

• Less decision-making

• More compliance from mailbox owners

• Cons

• Goes against over 50 years of retention practice

• Keep records longer than you need

• Requires more storage capacity

• Affects performance of email servers

Functional Retention

• Consolidates schedules into broader functions

• Also known as “the big bucket theory”

• Middle ground between schedule-based retention and uniform retention

• Can use functional headings in schedules to implement

Big Bucket Example

• From the ED-1

• Bank Statement [109] 6 years

• Budget preparation file [55] 6 years

• Voucher [121] 6 years

• Daily cash record [100] 6 years

• Purchase order [269] 6 years

• Big Bucket Approach

• Fiscal – 6 years

Big Buckets Pros and Cons

• Pros

• Simplifies role of end user

• Simplifies system requirements

• Improves consistency

• Cons

• Leads to some increases in retention periods

• Goes against over 50 years of retention practice

Account Holder Retention

• Manage retention by email account

• Retention is based on email account holder’s work

• And/or the account holder’s position

• Examples

• Mayor’s and secretary’s email account is permanent

• Fiscal officer’s email account is six years

• All other clerical staff is 1 year

Preservation Concerns

• Will file be readable for entire retention period?

• Format less of a concern for short term retention

• Native or neutral format (e.g. .doc, PDF, etc.)

• Long term document and image formats

• PDF/A

• Tagged Image File Format – TIFF

Media Limitations

Media Storage Standards

• Store media in proper environment

• Dust-free, closed container

• Temperature (60 -68 ); Humidity (35%-45%)

• Properly labeled

• Keep away from cleaning supplies & chemicals

• Keep secure

• Maintain access log

Strategies: Social Media

• In most cases records will need to be extracted

• Built in tools

• Generally free

• May not extract data in a useful format

• May not extract complete record information

• 3rd party applications

• May have costs associated with them

• More selection

• May not extract complete record information

Strategies: Migration

• Maintenance

• Tape should be periodically rewound (every 24 months)

• Periodically refresh or transfer data to new media

• Develop migration plan

• Move/convert data before system is obsolete

• Include in budget

• Consider as hardware & software changes

• Test process

Strategies: Digital Preservation Systems• Utilize the OAIS model to preserve records

• Example: Preservica, Archivematica

• Best for long-term and permanent records

• Require significant resources to implement

Preserving Databases

• How to preserve what is constantly changing?

• Start with need and then address in policy

• Snapshots captured at predetermined periods

• Determine retention requirements

• Long term retention requires movement to XML

Why not rely just on backups to preserve permanente-records?

Policies and Procedures

• Integrate e-records into overall RM program• One RM program; e-records are just another

format

• Must have senior official’s support• Governing board acceptance

• Get IT input • Often do not have time to write themselves

• Document systems & retain for life of system

Examples of Policies

• Acceptable use• Systems use, social media, etc.

• Organizing• How files (including email) should be named &

filed

• Roles and responsibilities• Record coordinators, administrators, etc.

• Protection• Back-up procedures

• Security, passwords

Education

• Awareness & education

• Initial training

• Periodic reinforcement

• Integrate into new hire & staff review process

• Signed staff acknowledgement

PRACTICAL STEPS GOING FORWARD

Suggested Steps

• Use what you know now

• Discover what you don’t know

• Prioritize

• Determine policy needs

• Address low hanging fruit

• Evaluate technologies

• e.g. Electronic Content Mgt System considerations

Use What You Know

• Start with willing partners/departments

• Your department or willing participant

• Inventory what you have

• Unstructured e-record file plan

• Structured record output

• Learn what works and does not for you

• Consider using a consultant

Discover What You Don’t Know

• Pick next willing functional area(s)

• Inventory

• Determine needs

• Prioritize

Action Plan

• Address low hanging fruit

• Evaluate technologies (e.g. ECM considerations)

• File plan

• Folder & file naming convention

• Email folder structure

• Periodic output to PDF/A for structured e-records

• Policies

• Address cloud contracts, social media, preservation, etc.

LAST WORDS OF ADVICE

Conclusions

• Integrate into overall RM program

• Develop policies to guide RM program

• Procedures for day-to-day activities

• Integrate ERM into normal course of business

• Senior official’s support required

• Develop e-records file plan

• Make the best use of technology

• Partner with IT

• Build functionality into your system

ERM Benefits

• Reduces risk & compliance costs

• Demonstrate compliance; facilitates discovery

• Improves staff efficiencies

• Reduce time searching for records

• Supports business continuity

• Identifies essential records for protection

• Facilitates sharing of information

• Reduces redundant copies