digital records management & preservation

DIGITAL RECORDS MANAGEMENT & PRESERVATION

James Lowry & Victor Nduna

Introductions

Records and Archives for Good GovernanceGood record-keeping is fundamental to global aims for good governance:

• informed policy-making• professional, ethical public service• responsive services for citizens• rule of law• transparent processes• access to reliable information

Good record-keeping leads to:

• reliable information base• improved efficiency• better services• accountable government• corruption detection and control• protection / enforcement of rights / entitlements

Records and Archives in the Digital AgeIn many countries, frameworks for managing paper records are either under-developed or collapsed.

Often, no steps are being taken to managing digital information.

This situation:

• slows information retrieval• undermines trust in the completeness and accuracy of information• exposes governments to legal and security risks • leaves citizens vulnerable to exploitation• enables fraud and other forms of corruption• hinders ICT and open data projects

Session Programme• A Framework for Digital Records Management • An Overview of International Standards • Digital Records Management Systems: From EDRMS to

Integrated Business Systems • Group Work: Understanding Functional Requirements (ICA-Req)

• Digital Preservation: An Overview

• Sustainable Digitisation Programmes

A Framework for Digital Records Management

• Digital records management is not all about systems.

• Many components must be in place to create the right environment for digital records management.

Legislation

• The records and archives legislation establishes a single authority on the management of government records, from creation to disposition.

• The records and archives legislation positions the national records and archives authority centrally within government so that it can fulfil its crosscutting function.

Policy

• A government-wide records management policy has been adopted to define responsibilities for records management and relationships with ICT/ e-Government and FOI bodies.

Standards

• The national records and archives authority has adopted a records management standard.

• A standard for records management functionality in ICT systems has been adopted.• A standard for archival management and digital preservation has been adopted.

Procedures

• The national records and archives authority has issued or approved procedures for every phase of the management of records, from creation to disposition.

• A national retention and disposal schedule exists and is applied to all hard copy and digital records.

• The national records and archives authority is mandated to enforce compliance with the retention and disposal schedule.

Staffing

• A cadre of records management staff exists.• A scheme of service exists for staff responsible for managing records in digital

or paper form, from creation to disposition. The scheme of service spans government and ranges from clerical to management positions.

Infrastructure and Facilities

• The national records and archives authority is allocated sufficient funds to fulfil its mandate.

• MDAs have sufficient space and equipment to manage active records securely, in digital and paper formats.

• Purpose built records centres have been provided for the storage of semi-active records.

• Purpose built archival repositories have been provided for the storage of inactive records.

• A digital repository has been created to preserve digital records over time.

Capacity Building

• Training in records management is available to staff at all levels and includes practical training in digital records management.

• University programmes offer in-depth education for records management with practical training in digital records management.

An Overview of International StandardsThe British Standards Institution defines a standard as, “an agreed, repeatable way of doing something. It is a published document that contains a technical specification or other precise criteria designed to be used consistently as a rule, guideline, or definition.” It also needs to carry an authority. That is, it needs to have been developed and approved by a recognized authority such as the International Organization for Standardization (ISO), a regional or national standards authority or some other similar organization.

Records are recorded information created, received, and maintained to document transactions in a given work process. In effect records, including electronic records, tell the story of how a given process was carried out (e.g. collecting taxes, issuing a license, conducting a research project, staffing a position, issuing a cheque, preparing a briefing note or report, etc.). In addition to documenting the transactions in given work processes, well-managed records provide an important source of authoritative, complete, and accurate information for future decision-making.

An Overview of International StandardsTo perform this role of ‘story telling’ records must have sufficient contextual information to enable them to be relatable to one another. And if the story is to be trusted as authoritative, complete, and accurate then records, including those in electronic form, must be managed in an environment which itself can be trusted.

The role of standards is to enable the trusted environment that will ensure that records reflect the qualities that enable them to be authentic, reliable, accessible, and trustworthy for the length of time they are required to serve as instruments of accountability and authoritative sources of information.

An Overview of International StandardsWe also need to understand that there is no real road map of the standards and how they relate to one another. Standards are evolving. Many are continually being reviewed and updated to keep them current. This may or may not have an impact on the organizations that originally adopted them.

Moreover, there are standards that may not have had the benefit of a review and therefore may have lost their relevance. For instance, they may have been based on traditional values and perspectives that have long since changed. Left alone, such standards may even contradict later standards that were developed to account for changing times and requirements. We need to know about this otherwise it could lead to confusion when we are trying to determine which standards should be adopted over others.

An Overview of International StandardsISO 15489:2001 - Records Management • ISO 15489 is the foundation standard which codifies best practice for records

management operations. • Part 1: General gives a high level framework for record-keeping and explains the

benefits of good records management, the legal considerations and the importance of making someone responsible for recordkeeping. This part also looks at what's needed for good records management, designing recordkeeping systems, records management processes, auditing and training.

• Part 2: Guidelines is a guide to putting the advice given in Part 1 into practice. It provides specific detail on developing records management policy and responsibility statements and suggests a process for developing recordkeeping systems. It also provides advice about developing records processes and controls. It also gives specific advice about setting up monitoring, auditing, and training programmes.

An Overview of International StandardsISO 14721 - Space data and Information Transfer Systems - Open archival information system (OAIS) - Reference Model

• The standard establishes a common framework of terms and concepts that make up an Open Archival Information System (OAIS). It allows existing and future archives to meaningfully compared and contrasted. It provides a basis for further standardization within an archival context and it should promote greater vendor awareness of, and support of, archival requirements. An OAIS is an archive that has accepted the responsibility to preserve information and make it available for a designated community. The information being maintained has been deemed to need long-term preservation, even if the OAIS itself is not permanent.

An Overview of International StandardsISO 16175-1:2010 - Information and documentation - Principles and Functional Requirements for Records in Electronic Office Environments - Part 1: Overview and statement of principles • ISO 16175-1 establishes fundamental principles and functional requirements

for software used to create and manage digital records in office environments. It establishes the principles of good practice, guiding principles, implementation guidelines, and it lists risks and mitigations for the purposes of enabling better management of records in organisations, supporting the business needs of an organisation by enabling greater effectiveness and efficiency of the operations; providing enhanced abilities to support auditing activities; improving capabilities to comply with statutory mandates specified in various information-related legislation (for example, data protection and privacy); and maximizing cross-jurisdictional consistency regarding the articulation of functional requirements for managing records.

An Overview of International StandardsISO 16175-2:2011 - Part 2: Guidelines and Functional Requirements for Digital Records Management Systems • ISO 16175-2 articulates a set of functional requirements for digital records

management systems. These requirements apply to records irrespective of the media in which they were created and/or stored. It is applicable to products that are often termed ‘electronic records management systems’ or ‘enterprise content management systems’. ISO 16175-2 uses the term digital records management systems for those software applications whose primary function is records management. It does not seek to set requirements for records still in use and held within business systems. Digital objects created by email, word processing, spreadsheet and imaging applications (such as text documents, and still or moving images), where they are identified to be of business value, are managed within digital records management systems which meet the functional requirements established in ISO 16175-2.

An Overview of International StandardsISO 16175-3:2010 - Part 3: Guidelines and Functional Requirements for Records in Business Systems• ISO 16175-3 specifies general requirements and guidelines for records

management and gives guidelines for the appropriate identification and management of evidence (records) of business activities transacted through business systems. It provides guidelines to assist in: understanding processes and requirements for identifying and managing records in business systems; develop requirements for functionality for records to be included in a design specification when building, upgrading or purchasing business system software; evaluating the records management capability of proposed customized or commercial off-the-shelf business system software; and reviewing the functionality for records or assess compliance of existing business systems.

• ISO 16175-3 supports preservation by allowing the export of records to a system that is capable of long-term preservation activities, or for the ongoing migration of records into new systems. It does not specify requirements for the long-term preservation of digital records.

An Overview of International StandardsISO 16363:2012: - Space Data and Information Transfer Systems - Audit and Certification of Trustworthy Digital Repositories • This standard is for use as the basis for providing audit and certification of the

trustworthiness of digital repositories. It provides a detailed specification of criteria by which digital repositories shall be audited. This document is meant primarily for those responsible for auditing digital repositories and also for those who work in or are responsible for digital repositories seeking objective measurement of the trustworthiness of their repository. Some institutions may also choose to use these metrics during a design or redesign process for their digital repository.

An Overview of International StandardsISO 23081 - Information and Documentation - Records Management Processes - Metadata for Records

Part 1: Principles• ISO 23081 sets a framework for creating, managing and using records

management metadata and explains the principles that govern them. It is a guide to understanding, implementing, and using metadata within the framework of ISO 15489. It addresses the relevance of records management metadata in business processes and the different roles and types of metadata that support business and records management processes. It also sets a framework for managing those metadata. It assesses the main existing metadata sets in line with the requirements of ISO 15489.

Part 2: Conceptual and implementation issues• This part of ISO 23081 focuses on the framework for defining metadata

elements for managing records and provides a generic statement of metadata elements, whether these are physical, analogue, or digital, consistent with the principles of ISO 23081-1.

An Overview of International StandardsISO 26122 - Information and Documentation - Work Process Analysis for Records • This standard provides guidance on work process analysis from the

perspective of the creation, capture and control of records. It identifies two types of analyses, namely functional analysis (decomposition of functions into processes), and sequential analysis (investigation of the flow of transactions). Guidance provided in the form of lists of questions/matters to be considered under each element of the analysis is also included.

• The standard describes a practical application of the theory outlined in ISO 15489. As such, it is independent of technology (ie can be applied regardless of the technological environment), although it can be used to assess the adequacy of technical tools that support an organization's work processes.

An Overview of International StandardsISO/IEC 27001:2013 - Information Technology - Security techniques - Information Security Management Systems - Requirements • This standard specifies the requirements for establishing, implementing,

maintaining, and continually improving an information security management system within the context of the organization. This standard also includes requirements for the assessment and treatment of information security risks tailored to the needs of the organization.

• The standard covers information security leadership and high-level support

for policy, planning an information security management system; risk assessment; risk treatment, supporting an information security management system, making an information security management system operational, reviewing the system's performance, and corrective action.

An Overview of International StandardsISO 30300:2011 - Information and Documentation - Management Systems for Records - Fundamentals and Vocabulary • This standard defines terms and definitions applicable to the standards on

management systems for records (MSR) prepared by ISO/TC 46/SC 11. It also establishes the objectives for using a MSR, provides principles for a MSR, describes a process approach and specifies roles for top management. It is applicable to any type of organization that wishes to establish, implement, maintain and improve a MSR to support its business; assure itself of conformity with its stated records policy; and demonstrate conformity with this standard by undertaking a self-assessment and self-declaration. It also supports organizations seeking confirmation of its self-declaration by a party external to the organization, or seeking certification of its MSR by an external party.

An Overview of International StandardsISO 31000: 2012 - Risk Management - Principles and Guidelines • The standard provides principles, a framework, and a process for managing

risk. It can be used by any organization regardless of its size, activity or sector. Using ISO 31000 can help organizations increase the likelihood of achieving objectives, improve the identification of opportunities and threats and effectively allocate and use resources for risk treatment.

• However, ISO 31000 cannot be used for certification purposes, but does provide guidance for internal or external audit programmes. Organizations using it can compare their risk management practices with an internationally recognised benchmark, providing sound principles for effective management and corporate governance.

An Overview of International StandardsISO/TR 13028:2010 Implementation guidelines for the digitization of records

• The standard establishes guidelines for creating and maintaining records in digital format only, where the original paper, or other non-digital source record, has been copied by digitizing.

• It establishes best practice guidelines for digitization to ensure the trustworthiness and reliability of records and enable consideration of disposal of the non-digital source records.

• It establishes best practice guidelines for the management of non-digital source records following digitization.

Digital Records Management SystemsFrom EDRMS to Integrated Business Systems:

• The emergence of EDRMSs

• The challenges of EDRMS implementation

• Integrating RM functionality into business systems

• Case Study: Uganda and Tanzania court case management systems

• Why is records management functionality important?

Group Work: Understanding Functional RequirementsEarlier, we discussed standards for functional requirements for records management in electronic systems.

ICA-Req - Developed by ICA and adopted by ISO as ISO 16175. Part 2 of the standard sets out the functional requirements for digital records management systems. In groups, let’s examine the functional requirements, to better understand the functions that systems are meant to perform in order to manage records:

1 – Capture (3.1 of the standard)2 – Indentification and Classification (3.2. & 3.3 of the standard)3 – Managing authentic and reliable records & Hybrid records management (3.4 & 3.5)4 – Retention and disposal (3.6)5 – Search, retrieve and render (3.7)6 – Administration (3.8)

Lunch!

Digital Preservation: An OverviewDigital preservation refers to the series of managed activities necessary to ensure continued access to digital materials for as long as necessary. Digital refers to all of the actions required to maintain access to digital materials beyond the limits of media failure or technological change. Those materials may be records created during the day-to-day business of an organisation; "born-digital" materials created for a specific purpose; or the products of digitisation projects.

How do we ensure authenticity and accessibility in digital records?

Continuum of Care through compliant systems:• EDRMS / Business Systems• Trusted Digital Repositories

Preservation Challenges and StrategiesHow do we deal with media and format obsolescence?

Refreshing

Refreshing is the transfer of data between two types of the same storage medium so there are no bitrot changes or alteration of data. For example, transferring census data from an old preservation CD to a new one. This strategy may need to be combined with migration when the software or hardware required to read the data is no longer available or is unable to understand the format of the data. Refreshing will likely always be necessary due to the deterioration of physical media.

Preservation Challenges and StrategiesHow do we deal with media and format obsolescence?

Migration Migration is the transferring of data to newer system environments. This may include conversion of resources from one file format to another or from one operating system to another so the resource remains fully accessible and functional. Two significant problems face migration as a plausible method of digital preservation in the long terms. Due to the fact that digital objects are subject to a state of near continuous change, migration may cause problems in relation to authenticity and migration has proven to be time-consuming and expensive for large collections. Migration can be a very useful strategy for preserving data stored on external storage media (e.g. CDs, USB flash drives, and 3.5” floppy disks). These types of devices are generally not recommended �for long-term use, and the data can become inaccessible due to media and hardware obsolescence or degradation.

Preservation Challenges and StrategiesHow do we deal with media and format obsolescence? Replication

Creating duplicate copies of data on one or more systems is called replication. Data that exists as a single copy in only one location is highly vulnerable to software or hardware failure, intentional or accidental alteration, and environmental catastrophes like fire, flooding, etc. Digital data is more likely to survive if it is replicated in several locations. Replicated data may introduce difficulties in refreshing, migration, versioning, and access control since the data is located in multiple places.

Preservation Challenges and StrategiesHow do we deal with media and format obsolescence? Emulation Emulation is the replicating of functionality of an obsolete system. Emulation does not focus on the digital object, but on the hard- and software environment in which the object is rendered. It aims at (re)creating the environment in which the digital object was originally created.

Encapsulation This method maintains that preserved objects should be self-describing, virtually "linking content with all of the information required for it to be deciphered and understood". The files associated with the digital object would have details of how to interpret that object by using "logical structures called "containers" or "wrappers" to provide a relationship between all information components that could be used in future development of emulators, viewers or converters through machine readable specifications. The method of encapsulation is usually applied to collections that will go unused for long periods of time.

Trusted Digital Repositories (TDRs)A trusted digital repository is one whose mission is to provide reliable, long-term access to managed digital resources to its designated community, now and in the future. Trusted digital repositories may take different forms: some institutions may choose to build local repositories while others may choose to manage the logical and intellectual aspects of a repository while contracting with a third-party provider for its storage and maintenance. Whatever the overall infrastructure, however, to meet expectations all trusted digital repositories must • acceptresponsibilityforthelong-termmaintenanceofdigitalresourcesonbehalf of its depositors

and for the benefit of current and future users; • haveanorganizationalsystemthatsupportsnotonlylong-termviabilityofthe repository, but also

the digital information for which it has responsibility; • demonstratefiscalresponsibilityandsustainability; • design its system(s) in accordance with commonly accepted conventions and standards to

ensure the ongoing management, access, and security of materials deposited within it; • establishmethodologiesforsystemevaluationthatmeetcommunityexpectations of

trustworthiness; • be depended upon to carry out its long-term responsibilities to depositors and users openly

and explicitly; • havepolicies,practices,andperformancethatcanbeauditedandmeasured;

Trusted Digital Repositories (TDRs)• A trusted digital repository will make sure the overall repository system

conforms to the OAIS Reference Model.• The Reference Model supplies a common framework, including terminology

and concepts, for describing and comparing architectures and operations of digital archives. As well, the OAIS provides both a functional model—the specific tasks performed by the repository such as storage or access—and a corresponding information model that includes a model for the creation of metadata to support long-term maintenance and access.

• Organizations and institutions building digital repositories should commit to understanding these models and make sure all aspects of the overall system conform.

Trusted Digital Repositories: Attributes and ResponsibilitiesAn RLG-OCLC Report, 2002

What is OAISThe OAIS standard is an international standard (ISO 14721) that emerged out of the work of the Consultative Committee on Space Data Systems in the 1990s. As Seles has explained:

The OAIS was finalised and published as ISO 14721 in 2003 with the intent of creating a general framework that articulated the components necessary for preserving digital information, including providing a common set of terms and methodologies that could underpin digital preservation initiatives, especially for digital records producers that were not familiar with archival terminology or concepts (Seles, 2014, pp.192-3).

OAIS Environment

OAIS Responsibilities• Negotiate for and accept appropriate information from information Producers.• Obtain sufficient control of the information provided to the level needed to

ensure Long-Term Preservation.• Determine, either by itself or in conjunction with other parties, which

communities should become the Designated Community and, therefore, should understand the information provided

• Ensure that the information to be preserved is Independently Understandable to the Designated Community. In other words, the community should be able to understand the information without needing the assistance of the experts who produced the information.

• Follow documented policies and procedures which ensure that the information is preserved against all reasonable contingencies, and which enable the information to be disseminated as authenticated copies of the original, or as traceable to the original.

• Make the preserved information available to the Designated Community.

OAIS Information Packages

Current State of TDR TechnologyTDR solutions are evolving. There are open source systems such as Archivematica and proprietary software like Preservica’s products, but all require customisation and development for the unique needs of the client organisation or government.

Case Studies:

• Finland• Norway• Estonia

Stretch!

Sustainable Digitisation ProgrammesISO 13028-2010 states:

• The rationale for digitizing should be carefully aligned to a business case geared at improving the organization's ability to carry out its functions.The business case should clearly outline the benefits and anticipated business or cost efficiencies.

• The business case should take into account appropriate project budgets, resource commitments and be realistically costed. Digitization can involve extensive document preparation and indexing, which can comprise the majority of a digitization budget.

• Organizations should not be misled by a lack of consideration of on-going costs into thinking that digitization is a cheap option. Digitization undertaken as a space and cost saving device may not be justified, especially when the costs of future migration projects are factored in.

Sustainable Digitisation ProgrammesBefore embarking on a digitisation programme, it is important to ask some questions:

• Why are we digitising?• What are we digitising?• What are the up front costs?• What are the ongoing costs?• What are we going to do with the source records?• The final output of the digitization process should be regarded as the record

for incorporation into the organization's framework for managing records. Is such a system in place?

Sustainable Digitisation ProgrammesProject documentationAll digitization and digitization processes should be planned, scoped and documented. The project documentation should include: • scope definition: with clear identification of business drivers, objectives, scale, size and

constraints of the project; • statement of the purpose and expected uses of the digitized records, illustrated if necessary with

examples; • statement of benefits: clear identification of the benefits anticipated from the digitization; • statement of user needs and impacts: for example, how the digitized records are to be used,

accessed and how this impacts on users; • statement of technical standards adopted: including format, compression and metadata; • equipment and resources to support the digitization; • processes for the planning, control and execution of the digitization, including those undertaken

prior to, during and after digitization; • quality control processes; • strategies for integrating the digitized image into work processes to support the business action

taking place; • strategies for the ongoing management of the digitized records and non-digital source records for

as long as they are required to be maintained; • strategies regarding the legal requirements for digitization of the record types in question.

Sustainable Digitisation ProgrammesApproaches to Digitisation:

In-house or outsourced digitization • In-house digitization requires (and gives the opportunity for) an organization to develop and

acquire all the equipment and expertise necessary to digitize and integrate the digitized output into their own systems.

• The alternative to this is to outsource the digitization to a third party contracted to perform this service on behalf of the organization.

Batch process digitization or on-demand digitizing • Batch processing is the collecting of source documents into sequences prior to digitizing until

documents have been accumulated in numbers sufficient to provide efficiencies of scale in undertaking the digitizing process.

• The alternatives to this approach are on-demand imaging or digitizing individual documents as they arrive in the digitizing facility.

Centralized or decentralized digitization • Centralized digitization involves establishing a single site for digitizing in which all records to

be processed are accumulated prior to digitizing. • The alternative to this is decentralized digitization which involves placing multiple digitizing

stations in different locations throughout the organization.

Sustainable Digitisation ProgrammesSelection of technical specifications

Technical specifications aligned to the digitization best practice guidelines should be selected, documented and implemented. A large volume of technical standards associated with digitization are available. Such standards include recommendations on: • file formats; • resolution; • colour resolution or bit depth; • compression; • colour management.


Technical specification standards are rapidly evolving, especially in the area of technical capacity of equipment to accommodate such standards. The primary consideration in adopting technical specifications is to ensure the legibility or usability of the digitized image. The following basic criteria should be adhered to when selecting technical standards: • a) the highest quality technical specifications that can be realistically

supported should be incorporated into the digitization process; • b) the formats should be open source (that is, non-proprietary) or employ

open standards, have published technical specifications available in the public domain, or be widely deployed within the relevant sector;

• c) the formats should not contain embedded objects, or link out to external objects beyond the specific version of the format;

• d) the formats should be supported by many software applications and operating systems;


The following basic criteria should be adhered to when selecting technical standards: • e) the formats should be able to be read by utilising a readily available

viewing plug-in if the specific production software is not available to all users; • f) a body of accessible and product-independent technical expertise should

be available to support the decision; • g) adequate technical support should exist to enable ongoing maintenance

and migration capability when necessary; • h) the master copies should be created to the highest technical standards

that can be supported; • i) the master copies should be retained inviolable in secure storage; • j) the derivative copies may be made in formats most convenient for their

business purpose (e.g. thumbnails for distribution over the internet, etc.).

Sustainable Digitisation ProgrammesPreparing Records for Digitisation

Non-digital source record preparation actions for digitization should be documented and implemented. The aim of producing digital images is to reproduce the non-digital source record as faithfully as possible so that the digital image can act in place of the non-digital source record, where it is required to act as evidence of business activities. Non-digital source record preparation actions are not restricted to, but should include: • an assessment of the non-digital source record's capability to sustain a

digitization process [e.g. paper quality, creasing, stapling, condition of microform jackets, attributes of the informational content (e.g. graphics)];

• methods of digitizing non-digital source records of non-standard dimensions or handling requirements (e.g. by digitizing a photocopy of records on fragile or thin paper; creating a standard-sized document by using photocopy enlargement or reduction; enclosing fragile originals in plastic wallets or using specialty devices such as overhead scanners) and quality checks to ensure against data loss in any such processes;

Sustainable Digitisation ProgrammesPreparing Records for Digitisation

Non-digital source record preparation actions are not restricted to, but should include: • methods for dealing with non-digital source records containing handwritten

annotations, marginalia, white opaque paint or other correctional fluid, tape or device or highlighted areas;

• methods of distinguishing between paper non-digital source records and photocopies;

• guidance on what types of material need not be digitized as they are of only ephemeral or short-term value;

• physical preparation for digitization (e.g. careful staple removal, alignment of single pages, batching of like documents – size, technical settings, shared �indexing fields).

Sustainable Digitisation ProgrammesNon-digital source record preparation actions are not restricted to, but should include: • processes for assigning links between associated documents to be regarded

as a single item, so that the digitized image can faithfully represent the non-digital source record (e.g. a document and a self-adhesive note attached; a document enclosing an attachment, document printed on both sides of the paper or containing endorsements on the reverse side);

• processes for assigning links between the non-digital source record and the digitized copy, such links will usually be documented using identification protocols, in some applications barcode technology could be used to link paper and digitized renditions;

• procedures to enable checking and verification that all target non-digital source records have been included in the digitization process;

• principles governing the assembly of batches or groups of non-digital source records suitable for digitization at the same time (e.g. size, colour, date order, document formats, orientation, i.e. portrait or landscape, single or double sided).

Sustainable Digitisation ProgrammesMetadata

• All digitized images should be assigned metadata • Two types of metadata should be captured: • metadata specific to the particular image and the imaging process; • metadata about the record, the business being transacted and the agents

associated with the business. • Metadata can be embedded with the resource in header information, or can

be managed in a separate system, or both, but in either case there has to be a direct relationship or association between them; i.e. while metadata may reside in a separate system, it has to link directly to the records. Metadata can also be encapsulated within the image format.

Sustainable Digitisation ProgrammesQuality Control

Quality control procedures should be defined, documented and implemented. Quality control to ensure the digital copy of the non-digital source record is a true and accurate copy is critical to being able to assert that the records possess integrity and are authentic.

Such quality control procedures should be documented and built into the ongoing operation of the digitizing process, not only applied at the point where the digital output is produced. Quality control procedures should, at minimum, address the following issues: • any acceptable variations from normal procedures; • scanner operation quality control; • verification that digital output matches the quantity of non-digital source record input; • extent and frequency of sampling of digitized images; • criteria for checking image quality; • frequency and criteria for checks on metadata; • processes for re-digitizing; • operator training.

Sustainable Digitisation ProgrammesDealing with Source RecordsDisposition of non-digital source records should be authorized in accordance with relevant legislation and documented. • For non-digital source records to be destroyed any relevant legislation, jurisdictional

authorization or other organizational requirements for their retention as evidence should be first be established. This Technical Report sets out best practice guidelines for the destruction of non-digital source records through a managed and authorized process.

• In following the best practice guidelines set out in this Technical Report, an organization can be confident that it meets the requirements for trustworthiness and reliability as stated in 8.2 of ISO 15489-1:2001, and they may then, in reference to any legislative considerations mentioned above, consider retaining the record in digital form only.

• All decisions to destroy non-digital source records and/or any other disposition actions should be documented and this information should be accessible and be able to be produced on request. Authorization for destruction and the instance of destruction of the non-digital source record should be documented in the metadata associated with the digitized record. Disposition actions should be documented and authorized by the relevant authority in an organization, such as the chief executive officer, legal or administrative head (or the delegated appropriate senior management representative).

Summary of Learning• A Framework for Digital Records Management • An Overview of International Standards • Digital Records Management Systems: From EDRMS to Integrated Business

Systems • Group Work: Understanding Functional Requirements (ICA-Req)

• Digital Preservation: An Overview

• Sustainable Digitisation Programmes

digital records management & preservation

Documents