Digital Futures International Forum The Digitisation Standard: Back & Forth

1. Digital Futures International ForumThe Digitisation Standard: Back & Forth Stephen Clarke Archives Analyst, Government Recordkeeping Programme Archives New Zealand Digital Futures International Forum - Tuesday 18th September

2. Digital Futures International Forum - Tuesday 18th September

3. What is the problem? • The reality of electronic work means that: • We receive and must deal with both paper and electronic mail and information in systems • We can’t go ‘fully’ digital because we need continuing access to information contained in the paper records • We need faster retrieval/distribution than the paper records give us • We need better capacity to manipulate (re-use) information in the paper based records Digital Futures International Forum - Tuesday 18th September

4. Drivers for Digitising Records • Business efficiency • Increased access • Integration with business systems • Saving fragile originals from wear & tear • Digitising records here to stay • Digital storage is ‘easy’ Digital Futures International Forum - Tuesday 18th September

5. Key Recordkeeping Issues • We must ensure that the record is a true and accurate (reliable) copy • Which processes can ensure that the digital version is acceptable as evidence • Who does these processes and how • What about technology obsolescence – formats, hardware, software? • Varying retention/migration requirements • Can the originals be destroyed? Digital Futures International Forum - Tuesday 18th September

6. Digitisation as a Recordkeeping Microcosm Digitisation issues are a microcosm of electronic recordkeeping issues • Working in a hybrid environment • From stable to unstable formats • Ensuring integrity and authenticity • Migration and preservation • Technology obsolescence • Standards Digital Futures International Forum - Tuesday 18th September

7. What questions must we address? • Do we manage digital or paper as ‘the’ record? • What Technical standards do we use (format, resolution etc)? • Can the paper ‘originals’ be destroyed? • What quality processes must be applied? • What metadata do we maintain? • How do we prove authenticity? • What preservation requirements? Digital Futures International Forum - Tuesday 18th September

8. Recordkeeping Aims of Digitisation Standard • The reliability and authenticity, trustworthiness and legal admissibility, of digitised records; • The accessibility of digitised records for as long as they are required; • Strategies to assist in creating digitised records fit for long-term retention; and • The management of original source records following digitisation. Digital Futures International Forum - Tuesday 18th September

9. Purpose for Developing a New Standard • No existing standard to adopt • Outline best practice and legal requirements for digitising records • Criteria for the Chief Archivist to make decisions on the disposal of the original protected records • Archives NZ has a responsibility to support the recordkeeping requirements of the Public Records Act; and Digital Futures International Forum - Tuesday 18th September

10. Everyone is already doing it! Digital Futures International Forum - Tuesday 18th September

11. Project Scope • To include both • Digitisation for incorporation in EDRMS • Digitisation of existing analogue records • Undertaking a retro-active digitisation project • Selecting appropriate records for digitisation • Software and format considerations • Long term management of digital objects • Management of paper originals of digitised records Digital Futures International Forum - Tuesday 18th September

12. Project digitisation vs. Business System digitisation Makes the distinction between digitisation (back capture) projects: • retrospective conversion from paper to enable reuse, access • the business has been conducted on the paper prior to digitisation • Record remains the paper – this is the format the business was conducted upon Business system digitisation: • Conversion of the analogue record into digital form before the business takes place • Digital form is the record Digital Futures International Forum - Tuesday 18th September

13. Methodology for standards development: 1 • Initiate and Plan • Set purpose and audience • Scoping paper and project plan (including identification of stakeholders and advisory group members) • Resource allocation • Review of existing standards • Set up Advisory Group • Obtain balance • Set expectations • Set roles and responsibilities Digital Futures International Forum - Tuesday 18th September

14. Methodology for standards development: 2 • Develop Draft • Make provision for audit • Consultation and Review • Active engagement • Workshops • Obtain desired levels of consensus • Approval by Advisory Group • Approval by Chief Archivist Digital Futures International Forum - Tuesday 18th September

15. Methodology for standards development: 3 • Publish and Promote • Conduct reviews of agency digitsation project implementations • Review of Standard’s success by implementation and uptake Digital Futures International Forum - Tuesday 18th September

16. Digital Futures International Forum - Tuesday 18th September

17. Minimum Requirements and/or Best Practice Standard? Digital Futures International Forum - Tuesday 18th September

18. Aspirational element Digital Futures International Forum - Tuesday 18th September

19. We identified four key process areas • Planning & Processes • Management Systems • Disposal Processes • Long-term Management Digital Futures International Forum - Tuesday 18th September

20. Planning & Processes Digital Futures International Forum - Tuesday 18th September

21. Digitise to save on storage costs? • When migration and long-term management costs are factored in, storage in an electronic environment will take up far more staff time and budget resources Digital Futures International Forum - Tuesday 18th September

22. Management Systems Digital Futures International Forum - Tuesday 18th September

23. Disposal Processes Digital Futures International Forum - Tuesday 18th September

24. Disposal – NZPublic Records Act, 2005 • No lawful records disposal without the Chief Archivist’s authorisation • Disposal includes, alteration, transfer of control, destruction, sale and discharge • Failure to maintain electronic records is also disposal Digital Futures International Forum - Tuesday 18th September

25. Disposal – Electronic Transactions Act, 2002 • Section 25 permits the recording and retention of information and documents in an electronic form and destruction of non-digital source records • providing that the electronic form provides reliable maintenance of the integrity of the information and that the information is readily accessible and usable for subsequent reference Digital Futures International Forum - Tuesday 18th September

26. Self-assessment compliance Government agencies cannot dispose of records that have been digitised unless they have met the minimum requirements of the Digitisation Standard and have Chief Executive certification Digital Futures International Forum - Tuesday 18th September

27. GDA 5 Digital Futures International Forum - Tuesday 18th September

28. Long-term Management Digital Futures International Forum - Tuesday 18th September

29. Consultation process indicated a Strong desire for guidance appendices Digital Futures International Forum - Tuesday 18th September

30. Recommended Technical Specifications Digital Futures International Forum - Tuesday 18th September

31. Going Forth • Re-development as an ISO standard • Review for publication as an AS/NZ standard – IT 021 - 11 • Review in 5 years • Where next - standards for the migration storage and preservation of electronic records? Digital Futures International Forum - Tuesday 18th September

32. Any Questions? Email: rkadvice@archives.govt.nz Website: www.archives.govt.nz/continuum Digital Futures International Forum - Tuesday 18th September