Managing Government Records Across the Digital Continuum

1. 1 Managing Government Records Across the Digital Continuum Adrian Cunningham National Archives of Australia

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3. 3 National Archives of Australia’s Strategic Framework for Making Keeping & Using Digital Records It is all about ensuring the creation, secure maintenance and use of the essential evidence of digital government

4. 4 This talk will cover The NAA’s response to the challenge of digital records: using e-permanence to influence the behaviour of records creators, 1999/2000- NAA Archiving Web Resources Guidelines Early implementations and audits NAA Digital preservation strategy, 2001-

5. 5 e-permanence, 1999/2000 NAA repositioning itself as a proactive enabler of good recordkeeping in agencies, providing standards/guidelines to improve the behaviour of records creators Response to deteriorating recordkeeping practices and the digital challenge Conceptual framework based on AS 4390 (1996) Functional approach to recordkeeping DIRKS methodology New approach to appraisal

6. 6 Main components of e-permanence in 2000 DIRKS Manual (exposure draft) Recordkeeping Metadata Standard (version 1.0) Appraisal Guidelines (based on DIRKS steps A-C) AGLS Metadata Standard and AGIFT Keyword AAA Thesaurus/Administrative Functions Disposal Authority Guidelines for Developing a Functions Thesaurus Policy for Archiving Web-Based Resources

7. 7 Fine-tuning the suite of products The products needed to be “road tested” and continuously improved using feedback loops DIRKS Manual revised and renamed “A Strategic Approach to Managing Business Information” (2001) Incorporated the appraisal guidelines Various revisions to AGLS leading to AS 5044 (2002) Release of AGLS C’wealth Implementation Manuals C’wealth modified version of Keyword AAA (2001) New edition of functions thesaurus guidelines (2003)

8. 8 Filling the gaps in e-permanence Various training courses developed and rolled out Guidelines for archiving web-based resources (2001) Storage standard, 2001; Implementation guidelines, 2002 Training material: Keep the knowledge: Make a record! (2003) General Disposal Authority for source records that have been copied, converted or migrated (2003) AS 4390 replaced by AS/ISO 15489 (2002)

9. 9 Recordkeeping issues for Web resources Is a web site a publication or record? How do we capture and maintain records of web-based activity? Can an agency be held accountable for something it had on its web site a year ago? No single ‘rule’ exists to cover all types of scenarios

10. 10 Diversity of Web resources Static websites/resources Static websites/resources with form-based interactivity Web sites/resources based on dynamic data access Dynamically-generated websites/resources

11. 11 NAA Web archiving guidelines Responsibilities Diversity of web-based resources Fundamentals of good web-based recordkeeping Risk Assessment Strategic and technological options Storage and preservation issues Determining the best option

12. 12 Assessing Risk Factors to consider: Public visibility of the agency Purpose of the web site Complexity of the web site Frequency and regularity of content change

13. 13 Object or event driven approaches Managing the ‘objects’ that constitute or are made available via a web site and/or Capturing ‘events’ or transactions that occur between the website and the user

14. 14 Early implementations & audits Its all very well issuing standards and guidelines – the acid test is in implementing them to achieve improved recordkeeping ANAO audits and APSC “State of the Service” surveys: Agencies only beginning to tackle the transition from paper to digital recordkeeping systems Lack of integration with IT & information management Need for compliance assessment frameworks and methodologies – new Standards Australia compliance standard for ISO 15489

15. 15 Our latest batch of products Digital Recordkeeping: Guidelines for Creating, Managing and Preserving Digital Records (Exposure draft) Digital Recordkeeping Self-Assessment Checklist Authentication Guidelines (Recordkeeping and Online Security Processes) General Disposal Authority for Encrypted Records

16. 16 Forthcoming products/current projects, 2004/05 Generic specifications for records and information management systems Revised recordkeeping metadata standard AGIFT, 2nd edition (with full scope notes) – to be released in a variety of formats Monash Uni Clever Metadata Re-use research project

17. 17 Current & future strategic issues Emphasis on total digital recordkeeping – supporting mature implementations in agencies More engagement with agencies and vendors Cross-jurisdictional linkages, e.g. Digital Recordkeeping Initiative and Standards Australia Its about change management-many paths to nirvana Records systems are social systems – encourage peer and management pressure by making it easy for people to do the right thing

18. 18 Digital Preservation in Archives The vital importance of having a strategy that ensures the integrity, durability, security, useability, evidential meaning and authenticity of digital records This is not just an afterthought – it requires a major commitment and serious resources A preservation strategy is a pre-requisite for long-term access to digital object

19. 19 NAA Digital Preservation Strategy Uses open source XML technology to wrap and store ‘normalised’ digital records created in proprietary data formats – R&D project, 2001- Standard archival data formats for use with digital records that are required for long-term retention and access (producing authentic, reliable, inviolable and durable digital preservation masters) Xena version 1.0 tools for normalising digital records, launched September 2004 NAA digital repository/laboratory by December

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