Records Preservation:Past, Present and Future

By JoAnn Constantini, MS, CRM

June 11, 2013

Records preservation – a systematic approach to preserve and protect the information of the organization for the sake of posterity.

Based on the retention requirements of the State of Florida as noted in GS-1 and GS-11 Schedules

Florida Statutes 119.021 - Custodial requirements; maintenance, preservation, and retention of public records

1/10/2013 2

Overview of Records Preservation

Life Expectancy(1) Length of time that information is retrievable

in a system. (ISO 6196-4)

(2) Length of time that information is predicted to be retrievable in a system under appropriate storage conditions as specified in ISO 18901. EXAMPLE: LE 100 indicates that information can be expected to be retrieved for at least 100 years.

1/10/2013 3

Preservation Definitions

microfilm (rolls), aperture cards and MicroficheCOM – computer output microfiche

Three groups helped to make microfilm a standard in record keeping.Banking industryEastman Kodak CompanyLibrary of Congress

Types of Microfilm

4

The Microfilm Records World

1/10/2013 5

Legal Admissibility – Rule 1B-24.003(9)(a), Florida Administrative Code, states “… An agency that designates an electronic or microfilmed copy as the record (master) copy may then designate the paper original as a duplicate and dispose of it using the retention requirement for duplicates in the schedule unless another law, rule, or ordinance specifically requires its retention

1/10/2013 6

Microfilm As the Copy of Record

Silver Halide film is the master version of camera film with a robust top coat. It is used as the master, from which further prints may be produced. The result is a negative copy. Preservation standards require a master negative, a duplicate negative, and a service copy (positive).

Diazo duplicate film created in ammonia gives blue or black dye positive copies. The black image film can be used for further copying, or as the working copy.

Generation of Microfilm

7

Issues that Come with Old Film

` Vinegar SyndromeState of Florida requires an audit of film every two

years.1/10/2013 8

Use of Certificates of Authenticity

It is essential that file integrity be maintained to ensure the accuracy, completeness, and legal acceptance of a microform which has been altered.

It is also essential that the documentation authorizing any alteration should be kept for the life of the relevant microform.

1/10/2013 9

Microfilm Is Really Legal

Documentation for an altered microform should consist of the order mandating the change (e.g., expungement) and the completed notice (see next slide).

The documentation is inserted in place of the expunged document or precedes the replacement image or images containing deletions, corrections, or amendments.

ISO TR 12036-2000

1/10/2013 10

Microfilm Is Really Legal(cont’d )

ISO/TR 12036:2000(E)

Expungement, deletion, correction or amendment notice

When an order has been made a form should be completed and used for replacing the expunged, deleted, corrected, or amended information as ordered by the appropriate authority. The completed form should include the following information:

- name of the authority issuing the order;- address of the authority;- name and title of the official presiding over the order;- date when the order was made;- name and address of the organization to which the order applies;- list of frames or files subject to the order;- official reference or number designated by the authority;- date the order was completed; and- name, title and signature of the person carrying out the order.

1/10/2013 11

Expungements or Corrections

Polyester rather than acetate filmNot susceptible to Vinegar SyndromeIncreases LE from 100 to 500 years

Proper storage conditions- Temperature and humidity control

Polysulfide treatmentProtects against redox

1/10/2013 12

Microfilm Composition

Availability and cost of film & effective retrieval systems

When All Else Fails –When that’s all there is…

Getting financial and moral support to continue microfilming electronic records?

The time & cost to recover records1/10/2013 13

Microfilm Still Has Challenges

“ 20th Century Fox has said it will phase out 35 mm film altogether by the end of 2013, and other production companies are expected to follow suit. Traditional film is expected to vanish over the next few years,

Old 35 MM film is now difficult to use.The aging of the film causes problems with usage. There are very few machines available to blow it back.

1/10/2013 14

Another Microfilm Challenge

The Electronic Records World

1/10/2013 15

Electronic record management systems are are not designed or intended to preserve records.

A backup procedure is not a preservation process. It merely copies what is currently on the host system.

1/10/2013 16

Electronic Record Systems

1/10/2013 17

There are Risks When Storing Electronic Records

1/10/2013 18

Where the Two Worlds Meet

It is important to note that a trustworthy system incorporates not only technology but also adherence to documented policies and procedures through all aspects of the design, development, and implementation project phases and be maintainable in an ongoing fashion after rollout into production.

(a) The trusted document management system must utilize

both hardware and media storage methodologies to prevent unauthorized additions, modifications or deletions during the approved lifecycle of the stored information;

1/10/2013 19

Where the Two Worlds Meet

1/10/2013 20

(b) The trusted document management system must be verifiable through independent audit processes ensuring that there is no plausible way for electronically stored information to be modified, altered, or deleted during the approved information lifecycle;

Where the Two Worlds Meet (cont’d)

(c) The trusted document management system must write at least one copy of the electronic document or record into electronic media that does not permit unauthorized additions, deletions, or changes to the original document and that is to be stored and maintained in a safe and separate location.

1/10/2013 21

Where the Two Worlds Meet (cont’d)

What have we learned from past experience? A more active preservation strategy is needed

A validation process to assure the data is complete, correct & uniform

WORM recording to prevent intentional or accidental over-writes

A continuous auditing of the check sum to monitor trustworthiness

A correction process to assure veracity & existenceA notification process to maintain the integrity &

performance of the system

1/10/2013 22

An e-Records Preservation System

Redaction –redaction software does not in any way, alter the original –record.

1/10/2013 23

The Process of Redaction

A proactive approach to electronic records preservation is needed.

Standards and best practices have been developed.

As film declines we need to become comfortable with electronic records preservation methods.

1/10/2013 24

Summary and Conclusion

Leadership – the important decisions made regarding records preservation must be made by those who know and understand the records systems and the records themselves.

1/10/2013 25

Summary and Conclusion (cont’d)