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Management, use and availability of digital documents in the long-term

Management, use and availability of digital documents in the long-term. Records management over decades. Olga Cerrato, Inger-Mette Gustavsen and Jon Ølnes – DNV Research & Innovation ARK Conference: Designing and implementing effective business classification schemes.

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Management, use and availability of digital documents in the long-term

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  1. Management, use and availability of digital documents in the long-term Records management over decades Olga Cerrato, Inger-Mette Gustavsen and Jon Ølnes – DNV Research & Innovation ARK Conference: Designing and implementing effective business classification schemes

  2. Bullet points from conference programme • Enabling the transition to digital original document and digital work processes • Challenges in long term archival of digital documents • Do we have any good solutions today? • Can we secure long term archival of digital documents? • Values within long term archival of digital documents

  3. DNV – an independent foundation • Objective: “Safeguarding life, property, and the environment” • Established in 1864 in Norway

  4. Maritime Food and beverage Transportation Energy ICT Managing risk Automotive Health care Core competence Defence Public sector Finance

  5. Local offices Head office 300 offices in 100 countries About 7000 employees

  6. Managing risk Maritime Energy Transportation Automotive • Ship classification • Certification of materials and components • Assessments and solutions • Fuel testing • Training • Risk management consulting • Qualification and verification • Offshore classification • Laboratory services • Training Finance Defence Food and Beverage ICT and telecom Health care Public sector Target industries Other prioritised industries

  7. Services to industries • IT risk management services • Business consulting services and solutions • Enterprise risk management • Safety, Health and Environmental (SHE) risk management • Change management • Software products and services • Training • Management system certification • > 80 national accreditations • 65.000 certs issued worldwide • Climate Change • Voluntary emission reduction • CDM, JI, EU ETS • Corporate Responsibility • Governance responsibility assessment • Supply chain management • Verification of sustainability reporting • Product certification

  8. Research and innovation Competitive advantage from continuously updated knowledge and expertise • DNV invests some 5% of revenue on Research and Innovation • Enhance and develop services, rules, and industry standards • Ensures DNV's position at the forefront of technological development • Key research areas: • Maritime Transport Systems • Marine Structures • Future energy solutions • Information processes and technology • Biorisk • Multifunctional materials and surfaces • Arctic Operations

  9. DNV’s motivation I • Transition to digital documents and work processes • Not just digital representation of paper originals • To gain full benefit from the technology, processes must change • DNV requirements • Documents to be stored and updated for at least 40 years • Textual documents, drawings, perhaps photos and multimedia information • High demands for availability, integrity, authenticity and confidentiality • Digital signatures needed for some documents (DNV certificates) • DNV interoperability requirements • Offices in more than 100 countries • Information from/to many actors (wharfs, ship owners, flag states, port states, insurance companies etc.)

  10. DNV’s motivation II • In 40 years, everything will have changed • Software, computers, formats, organization, personnel, roles • Records management must handle this • Service development (external services from DNV) • Validation and notary services (trusted third-party roles http://va.dnv.com) • Information Quality Management (http://iqm.dnv.com) • Risk management in an information or document life cycle perspective

  11. The LongRec project • Persistent, reliable and trustworthy long-term archival of digital records, with emphasis on availability and use of the information • Enable transition to digital original documents and digital work processes even for information that must be available and in use over decades • Explore the potential for commercial products/services in this area • 3+ year project, research and case studies • DNV R&I lead, 10 partners • Start October 2006, end March 2010 • Overall budget 3.36 M€, Norwegian Research Council grant 1.12 M€ • http://research.dnv.com/longrec

  12. The challenge – beyond preservation • Preservation systems do not allow for changes and amendments • Preservation means static situation – “freeze” • Preserve content “forever”, not all documents suited for this • Proprietary content • Outdated and not correct any more • Sensitive information • Some key requirements for “live” records • Information needs to be available and meaningful for the entire lifetime • Technology changes need to be transparent to the user • Search and retrieval, semantics • Security and access control need to be maintained for the entire lifetime • Document owners and responsible will most likely change • Digital signatures must be maintained and be verifiable • Digital original documents are becoming legally binding • Changes and amendments might be carried out at any time in the lifecycle • It must be possible to trace changes and produce proof of history • Regulatory compliance and management of operational risk • Demonstrate legal and regulatory compliance • Support operational risk management

  13. Is this not solved already? • All technology components will change over decades • Up to 15 years is realistic lifetime for a Document Management System • Hardware and software platform will change, as will storage and media technologies • Lifetime of document formats 10-15 years (shorter for proprietary formats) • Lifetime of records formats and formats for context, semantics and presentation information is uncertain (metadata structures, X.509 certificates, timestamps, security attributes etc.) • Organisations and processes will change • Mergers, acquisitions, termination and other business related changes • Staff and responsibilities change • Reorganisation • People quit, retire, and new people start • Roles and responsibilities change • Processes change over time • Business classification schemes by necessity will also change • Ownership changes • Ex: Oilrigs, ships and airplanes are all bought and sold during their lifetime • Legal and regulatory environment will change  Only partial solutions today!

  14. The challenge: business classification schemes • Show that records fulfil compliance requirements and policies at the time they were created • History and versioning of business classification schemes • What if they depend on schemes maintained by external actors? • Versioning of metadata repositories and taxonomies (thesauri)? • History and versioning of legal and regulatory requirements • Will appropriate authorities ensure this? • History and versioning of organisational information? • Produce trustworthy “evidence” of compliance • Revision history of record • Proper security measures • Ensure that records exist and can be read • Over changing technologies and systems, search and retrieval • Ensure that records can be interpreted • Across format changes and other technology shifts

  15. The research topics of LongRec • Records transition survival • Maintain records and complete archives over decades • Preservation of semantic value • Maintaining context, semantics and presentation information over decades • Reduce “semantic degradation” of records/documents • Preservation of evidential value (trust and security) • Maintaining history of records across conversions and changing technology • Reduce degradation of evidential value • Long-term usability • Search, retrieval, verification for decades-old documents • One PhD planned for each topic

  16. Records transition survival • Maintain records and complete archives over decades across: • Changing technology/products (storage, hardware, software) • Changing formats (reliable conversion) • Changing organisations (ownership, roles, work processes) • Technology independence implemented by today’s technology • Particular emphasis on convertible formats

  17. Semantic value • Context information • Archive record content and format • Time-stamps, signatures, security attributes • Relationships to other documents • Semantic information (business classification scheme) • Meta data for content and reference data • Data interpretation (semantic interoperability) • Conversion without loss of semantic value • Dependence on external registries/repositories? • Presentation information • Appearance on screen or other media (when important) • Presentation of context and semantics • Conversion with consistent presentation

  18. Evidential value • Not primarily for court cases – but in the extreme, that too • Maintaining ownership, authorisation and access control properties • Transition of mechanisms and technology • Transition of roles, ownership, intellectual property rights, authorisations • Maintaining integrity and accountability over decades • Including log survival • On change to new archive system, don’t migrate only a snapshot • Long-term survival of electronic signatures • Life-time of certificates and names • Life-time of cryptographic algorithms and keys • Life-time of formats (document, signature, certificate) • Life-time of trusted actors • Validation of evidential value – degree of trust in document correctness • Document content • Context, semantics and presentation • Documents migrated without history and context • Mostly snapshots migrated today, history left in old systems

  19. Long-term usability • Which search terms can be used? • Old terms not used anymore – new terms not in use at creation time • Ontologies and mapping (business classification schemes) • Search/retrieval related to semantic and context information • Free search versus structured information • Completeness of results • Verification – related to evidential value

  20. Deliverables Long Term Records Management (LongRec) • Develop a set of publicly available guidelines/standards supporting “best-practice” in long-term records management • Standards for maintainable context and content • Focus on the complete life-cycle • Specifically maintainability over decades (signatures, security and ownership, context, etc) • Pilot digital work-processes at case partners • Verified implementation strategies based on both case studies and piloting • Case partners: Norwegian National Library, Brønnøysund Register Centre (national authority for most Norwegian public registries), DNV Maritime, Statoil

  21. Contact • Olga Cerrato, DNV Research & Innovation olga.troshkova.cerrato@dnv.com +47 6757 9522 • Inger-Mette Gustavsen, DNV Research & Innovation Inger.mette.gustavsen@dnv.com +47 6757 7049 / +47 917 08 230 • Jon Ølnes, DNV Research & Innovation jon.olnes@dnv.com +47 6757 7424 / +47 478 46 094

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