Digital Futures International Forum The Digitisation Standard: Back & Forth

Digital Futures International Forum - Tuesday 18th September

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Digital Futures International Forum

The Digitisation Standard: Back & Forth

Stephen ClarkeArchives Analyst, Government

Recordkeeping ProgrammeArchives New Zealand


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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


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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’


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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?


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Digitisation as a Recordkeeping MicrocosmDigitisation 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


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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?


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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.


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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


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Everyone is already doing it!


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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


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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


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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


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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


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Methodology for standards development: 3

• Publish and Promote• Conduct reviews of agency

digitsation project implementations• Review of Standard’s success by

implementation and uptake


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Set Up Advisory Group

Develop Draft

Consultation & Review

Approval by Advisory Group

Approval by Chief Archivist

Publish, Promote, Implement

Audit

Review

Initiate & Plan

Pote

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over

nanc

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roup

Ap

prov

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Pre-work/EnablersStyle guide

Resource availabilityConsultation strategy Set purpose & audience

Scoping paper Resource allocation Review of existing standards

Support Training

Obtain balance Set expectations Set roles and responsibilities

Optional workshops Optional environmental scan Project plan (incl identification of

stakeholders and committee members

Make provisions of audit

Active engagement Workshops Obtain desired levels of consensus

Stan

dard

s Ne

w Z

eala

nd A

ssis

tanc

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here

App

ropr

iate

Establish Governance

Group

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Minimum Requirements and/or Best Practice Standard?


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Aspirational element


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We identified four key process areas

• Planning & Processes• Management Systems• Disposal Processes• Long-term Management


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Planning & Processes


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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


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Management Systems


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Disposal Processes


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Disposal – NZ Public 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


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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


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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


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GDA 5


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Long-term Management


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Consultation process indicated a Strong desire for guidance appendices


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Recommended Technical Specifications


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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?


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Any Questions?

Email: [email protected]

Website: www.archives.govt.nz/continuum

Digital Futures International Forum The Digitisation Standard: Back & Forth

Documents

Transcript of Digital Futures International Forum The Digitisation Standard: Back & Forth