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The Electronic Records Committee and State     Standards     Charles Arp, State ArchivistJudy Walker, Assistant State Arch...
Introduction• The Ohio Historical Society/State Archives   – Work with electronic records• Problems with electronic record...
OHS and the State Archives• Section 149.31 of the ORCThe Ohio Historical Society, in addition to its other   functions, sh...
OHS and the State Archives• Section 149.31 of the ORCThe archives administration shall evaluate, preserve,  arrange, servi...
Problems with E-Records“For years, computer scientists said the ones and zeros of digital data would stick around forever....
Problems with E-RecordsElectronic Records are inherently unstable• Hardware dependent• Software dependent• Inscribed on im...
Problems with E-Records• Great for access and manipulation• Must be created reliably and maintained  authentically• Must i...
Problems with E-Records Attributes that we take for granted are not          always present in e-recordsRecords Managers a...
Problems with E-Records• Reliability is the measure of a records authority and is  a function of the records creation• Aut...
Problems with E-RecordsThe cost of accessing and recovering digital  information may far exceed the cost of   dealing with...
Problems with E-Records      The Gartner Group recommends:• that any record stored longer than 10 years        should be s...
E-Records Work                What has been done?• 1996 first Electronic Records Archivist• 1997 NHPRC grant   – Hedstrom ...
Current E-Records Work• MN Educating Archivists and Their Constituencies• OCLC Digital Preservation Project Partner• XML w...
Ohio Electronic RecordsCommittee• ERC made up of 30 - 35 members  –   IT professionals  –   records managers  –   archivis...
Ohio Electronic RecordsCommittee –   Electronic Records Policy adopted by DAS –   Managing Email Guidelines –   Digital Im...
Ohio Electronic RecordsCommittee• Continue to meet to draft guidelines for specific issues   – Recommendations on DOD 5015...
ER Policy• 4.1 Electronic information is a record if it satisfies the  criteria defined by Ohio law.   – Records are compi...
ER Policy• 4.2 Electronic records should be managed effectively  as part of a comprehensive records management  program   ...
ER Policy• 4.3 State agencies, boards and commissions should  keep and manage their electronic records in  compliance with...
ER Policy• 4.4 Work processes and tools should support the  creation and management of electronic records  – provision for...
ER Policy• 4.5 Electronic records should be create and  maintained in reliable and secure systems   – identify systems tha...
ER Policy• 4.6 In most cases, electronic records should be  maintained in electronic fom, because preserving the  context ...
ER Policy• 4.7 Maintaining and providing access to electronic  records over time is a shared responsibility   – records ma...
Uniform Electronic Transactions ActIn 2000 the CIO and DAS – H.B. 488 passed - Section 1306 of the ORC – Digital signature...
Uniform Electronic Transactions ActGives DAS “in consultation with the State Archivist” the  ability to create administrat...
Managing E-mail“Almost every workplace lawsuit today,especially a      sexual harassment case, has an E-mail              ...
Managing E-mail• Some consider email to be the most legally risky form  of business communication   – users assume, incorr...
Managing E-mail• Email use in the U.S. will grow from the current 3.2  billion messages daily to over 9 billion by 2003• C...
Managing E-mail• Email is a fast growing technology   – 50 millions users worldwide• Email has become so prevalent that it...
Managing E-mail• Email systems were never intended to support the  need to manage and archive an organization’s huge  volu...
Managing E-mail• Need solutions   – policy   – tools• Solutions need to take into account   –   IT issues (performance and...
Managing E-mail• Email - is it a public record?   – ORC 149.43      • fixed medium      • created, received by, jurisdicti...
Managing E-mail• The strategy that is used within an organization  should be an analysis of several factors including:   –...
Managing E-mail • Draft and Implement an email policy   – circumstances under which email messages are     records   – how...
Managing E-mail • Email backup and purge    – assure that email backups are deleted when all      retention requirements e...
Managing E-mail -- options  1. Don’t use email  2. No organizational policy/guidelines     – let email users manage email ...
Email -- options5. Purge messages that aren’t needed; create simple  file structures for some messages; print messages  th...
RMA• Records Management Application  – products based on the DoD5015.2 standard  – software that incorporates recordkeepin...
RMA• Example  –   TrueArc  –   www.truearc.com  –   white papers about email  –   demonstration of email management       ...
Managing Electronic Records -- 1 Nov 2001
Managing Electronic Records -- 1 Nov 2001
Email -- options• None of these strategies is without problems   – decide what will work best in the organization’s     en...
Preserving Electronic Records             Managing Electronic Records -- 1 Nov 2001
Preserving Electronic Records• About 3-5% of all records have enduring historical  value and need to be preserved in the a...
Preserving Electronic Records• Eye-readable formats• Technology museum• Migration  – the period transfer of digital materi...
Preserving Electronic RecordsMigration• Data Loss and Corruption   – In one case involving FDA-mandated records of drug   ...
Preserving Electronic Records• The migration must be documented  – ORC 13206.20 If a state agency... alters the format of ...
Preserving Electronic RecordsEmulation• Emulator will work for all records using that  operating system   – Emulator will ...
Preserving Electronic Records• Largely theoretical - no practical model   – Archivists have not used it for preservation y...
JERRI Joint Electronic Records Repository                       Partners Initiative                               –   OHS/...
Conclusion• State Archives will continue to work on these issues  through   – ERC   – JERRI   – other ongoing initiatives•...
Questions???  Thank you     Managing Electronic Records -- 1 Nov 2001
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Durabilidad

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Transcript of "Durabilidad"

  1. 1. The Electronic Records Committee and State Standards Charles Arp, State ArchivistJudy Walker, Assistant State Archivist Managing Electronic Records -- 1 Nov 2001
  2. 2. Introduction• The Ohio Historical Society/State Archives – Work with electronic records• Problems with electronic records• The Ohio Electronic Records Committee – The Electronic Records Policy• H.B. 488 - UETA• Guidelines for Managing Electronic Mail• Joint Electronic Records Repository Initiative Managing Electronic Records -- 1 Nov 2001
  3. 3. OHS and the State Archives• Section 149.31 of the ORCThe Ohio Historical Society, in addition to its other functions, shall function as the state archives administration for the state and its political subdivisions.It shall be the function of the state archives to preserve government archives, documents, and records of historical value which may come into its possession from public or private sources. Managing Electronic Records -- 1 Nov 2001
  4. 4. OHS and the State Archives• Section 149.31 of the ORCThe archives administration shall evaluate, preserve, arrange, service, repair or make other disposition…of those public records of the state or its political subdivisions which may come into its possession under the provisions of this section. Managing Electronic Records -- 1 Nov 2001
  5. 5. Problems with E-Records“For years, computer scientists said the ones and zeros of digital data would stick around forever. They were wrong.” Newsweek July 12, 1999Tests by the National Media Lab found that magnetic tapes might last only a decade. The fate of floppy disks, videotape, hard drives, and CDROMs is just as bleak. Managing Electronic Records -- 1 Nov 2001
  6. 6. Problems with E-RecordsElectronic Records are inherently unstable• Hardware dependent• Software dependent• Inscribed on impermanent media Managing Electronic Records -- 1 Nov 2001
  7. 7. Problems with E-Records• Great for access and manipulation• Must be created reliably and maintained authentically• Must include content, context, and structure• Preservation is difficult and expensive Managing Electronic Records -- 1 Nov 2001
  8. 8. Problems with E-Records Attributes that we take for granted are not always present in e-recordsRecords Managers and Archivists must work together Managing Electronic Records -- 1 Nov 2001
  9. 9. Problems with E-Records• Reliability is the measure of a records authority and is a function of the records creation• Authenticity is proven reliability over time and is a function of a record preservation• System documentation• Metadata• Audit trails• Security Measures• Disaster Recovery Managing Electronic Records -- 1 Nov 2001
  10. 10. Problems with E-RecordsThe cost of accessing and recovering digital information may far exceed the cost of dealing with the year 2000 computer problem National Science Foundation Managing Electronic Records -- 1 Nov 2001
  11. 11. Problems with E-Records The Gartner Group recommends:• that any record stored longer than 10 years should be stored in an "analog, human- readable form" such as paper or microfilm. – those formats are inexpensive – the media are relatively stable – they avoid problems with compatibility with newer technologies. Managing Electronic Records -- 1 Nov 2001
  12. 12. E-Records Work What has been done?• 1996 first Electronic Records Archivist• 1997 NHPRC grant – Hedstrom report• Digitization projects• GILS• Ohio ERC Managing Electronic Records -- 1 Nov 2001
  13. 13. Current E-Records Work• MN Educating Archivists and Their Constituencies• OCLC Digital Preservation Project Partner• XML work with San Diego Supercomputer Center – OBES email• TIS Working Group• Database Subcommittee• JERRI Managing Electronic Records -- 1 Nov 2001
  14. 14. Ohio Electronic RecordsCommittee• ERC made up of 30 - 35 members – IT professionals – records managers – archivists – attorneys – policy experts• Meet twice a year Managing Electronic Records -- 1 Nov 2001
  15. 15. Ohio Electronic RecordsCommittee – Electronic Records Policy adopted by DAS – Managing Email Guidelines – Digital Imaging Guidelines – Electronic Records Management Guidelines – General Schedules - Administrative Electronic Records – Trustworthy Information Systems Handbook – Guidelines for responding to public records requests for databases Managing Electronic Records -- 1 Nov 2001
  16. 16. Ohio Electronic RecordsCommittee• Continue to meet to draft guidelines for specific issues – Recommendations on DOD 5015.2 software – Website Management guidelines Managing Electronic Records -- 1 Nov 2001
  17. 17. ER Policy• 4.1 Electronic information is a record if it satisfies the criteria defined by Ohio law. – Records are compilations of data that document the organization, functions, policies, procedures, operations, or other activities of the office ORC 149.011 – E-records may exist in non-traditional structures – E-records are subject to public records access requirements – E-records are subject to audit and legal proceedings Managing Electronic Records -- 1 Nov 2001
  18. 18. ER Policy• 4.2 Electronic records should be managed effectively as part of a comprehensive records management program – “the head of each state agency, office, institution, board, or commission shall…establish, maintain, and direct an active continuing program for the effective management of the records of the state agency…” ORC 149.34(A) – Employing records management procedures will facilitate the most cost effective use of the state’s computer resources Managing Electronic Records -- 1 Nov 2001
  19. 19. ER Policy• 4.3 State agencies, boards and commissions should keep and manage their electronic records in compliance with standards, best practices and guidelines – non-proprietary formats – ANSI standards, ITP best practices, ERC guidelines – ERC subcommittees Managing Electronic Records -- 1 Nov 2001
  20. 20. ER Policy• 4.4 Work processes and tools should support the creation and management of electronic records – provision for adequate maintenance, disposal, and preservation of e-records should be built into work processes and tools – capture of descriptive metadata at the time of creation – records management should be designed into new systems Managing Electronic Records -- 1 Nov 2001
  21. 21. ER Policy• 4.5 Electronic records should be create and maintained in reliable and secure systems – identify systems that create and maintain records – reliability and authenticity – context, content and structure Managing Electronic Records -- 1 Nov 2001
  22. 22. ER Policy• 4.6 In most cases, electronic records should be maintained in electronic fom, because preserving the context and structure of and facilitating access to those records are best accomplished in the electronic environment – system dependent records – system independent records Managing Electronic Records -- 1 Nov 2001
  23. 23. ER Policy• 4.7 Maintaining and providing access to electronic records over time is a shared responsibility – records managers, IT managers, State Records Administrator and the State Archives must work together to manage, preserve and provide access to electronic records – transferring all historical significant e-records to State Archives is not feasible • SA will provide guidance Managing Electronic Records -- 1 Nov 2001
  24. 24. Uniform Electronic Transactions ActIn 2000 the CIO and DAS – H.B. 488 passed - Section 1306 of the ORC – Digital signatures and Electronic Records Act or UETA – Legal foundation for the use of digital signatures • Administrative rules for use of digital signatures Managing Electronic Records -- 1 Nov 2001
  25. 25. Uniform Electronic Transactions ActGives DAS “in consultation with the State Archivist” the ability to create administrative rules that: – Document the migration of data (1306.20) – Provide minimum requirements for the creation, maintenance, and security of electronic records... to ensure adequate preservation, disposition, integrity, security, confidentiality, and auditability of electronic records (1306.21) Managing Electronic Records -- 1 Nov 2001
  26. 26. Managing E-mail“Almost every workplace lawsuit today,especially a sexual harassment case, has an E-mail component”Nancy Flynn, executive director of the ePolicy Institute, which develops E-mail and Internet policies for employers. US News and World Report Managing Electronic Records -- 1 Nov 2001
  27. 27. Managing E-mail• Some consider email to be the most legally risky form of business communication – users assume, incorrectly, that their messages are private and not subject to public access requirements – email encourages “chatty” modes of expression – used like voice-mail -- once it has been read, it is presumed to have no more value – this email usage culture is entrenched and difficult to change Managing Electronic Records -- 1 Nov 2001
  28. 28. Managing E-mail• Email use in the U.S. will grow from the current 3.2 billion messages daily to over 9 billion by 2003• Critical Networks reports that 60% of business critical information is stored within messaging systems• Many organizations estimate that up to 70% of the email data they currently receive is not necessary and could be eliminated prior to archiving Managing Electronic Records -- 1 Nov 2001
  29. 29. Managing E-mail• Email is a fast growing technology – 50 millions users worldwide• Email has become so prevalent that it is now often used as the de facto tool for enterprise-wide communication and collaboration• However…. Managing Electronic Records -- 1 Nov 2001
  30. 30. Managing E-mail• Email systems were never intended to support the need to manage and archive an organization’s huge volume of business data.• Many email systems have become long-term stores of business critical information – up to one-third of the information used by employees of large companies resides within the email system• An email system is a communication system, not a recordkeeping system Managing Electronic Records -- 1 Nov 2001
  31. 31. Managing E-mail• Need solutions – policy – tools• Solutions need to take into account – IT issues (performance and storage volume) – Records Management compliance – Business practices of the office – And they must benefit the organization Managing Electronic Records -- 1 Nov 2001
  32. 32. Managing E-mail• Email - is it a public record? – ORC 149.43 • fixed medium • created, received by, jurisdiction of the office • documents the functions of the office• Email must be filed and maintained per retention requirements – transient documents – correspondence – permanent record (executive level correspondence) Managing Electronic Records -- 1 Nov 2001
  33. 33. Managing E-mail• The strategy that is used within an organization should be an analysis of several factors including: – how email is used and user sophistication – IT environment – records management environment – litigation concern – fiscal resources – support from upper management Managing Electronic Records -- 1 Nov 2001
  34. 34. Managing E-mail • Draft and Implement an email policy – circumstances under which email messages are records – how should email be used (ex. administrative use only) – retention requirements and implementation – how to file and retain – backup and purge cycles Managing Electronic Records -- 1 Nov 2001
  35. 35. Managing E-mail • Email backup and purge – assure that email backups are deleted when all retention requirements expire • legal liability to maintain – assure that users understand purge cycles and know what to do if they need to retain a message beyond the purge time period • save to hard drive or central file repository • print • User Training is vital Managing Electronic Records -- 1 Nov 2001
  36. 36. Managing E-mail -- options 1. Don’t use email 2. No organizational policy/guidelines – let email users manage email however they want to 3. Policy stating email will be used only for transient communications 4. Print what is important and purge everything else Managing Electronic Records -- 1 Nov 2001
  37. 37. Email -- options5. Purge messages that aren’t needed; create simple file structures for some messages; print messages that are important – Where should messages be stored? • Hard drive, email system, central filing repository6. Develop an internal email/RM system – pop-up boxes, filing options, plan for maintaining messages in the system, security7. RMA Managing Electronic Records -- 1 Nov 2001
  38. 38. RMA• Records Management Application – products based on the DoD5015.2 standard – software that incorporates recordkeeping into the desktop • records retention schedules • security • versions • disposition of records • web pages • email – Ohio Department of Insurance – MI NHPRC project Managing Electronic Records -- 1 Nov 2001
  39. 39. RMA• Example – TrueArc – www.truearc.com – white papers about email – demonstration of email management Managing Electronic Records -- 1 Nov 2001
  40. 40. Managing Electronic Records -- 1 Nov 2001
  41. 41. Managing Electronic Records -- 1 Nov 2001
  42. 42. Email -- options• None of these strategies is without problems – decide what will work best in the organization’s environment• Make sure you do something to deal with email messages that meet the ORC definition of a “record”• Ohio Electronic Records Committee Guidelines for Managing Electronic Mail – http://www.ohiojunction.net/erc Managing Electronic Records -- 1 Nov 2001
  43. 43. Preserving Electronic Records Managing Electronic Records -- 1 Nov 2001
  44. 44. Preserving Electronic Records• About 3-5% of all records have enduring historical value and need to be preserved in the archives• Preserving electronic records is more difficult than preserving paper and microfilm – hardware and software dependence/obsolescence – proprietary formats – no standards Managing Electronic Records -- 1 Nov 2001
  45. 45. Preserving Electronic Records• Eye-readable formats• Technology museum• Migration – the period transfer of digital material from one hardware/software configuration to another• Emulation – programs that mimic the behavior of other (older) computers Managing Electronic Records -- 1 Nov 2001
  46. 46. Preserving Electronic RecordsMigration• Data Loss and Corruption – In one case involving FDA-mandated records of drug testing, blood pressure numbers were randomly off by up to 8 digits following data transfer from UNIX platforms to Windows NT operating systems Business Week April 20, 1998• It has to be done every 5 - 7 years Managing Electronic Records -- 1 Nov 2001
  47. 47. Preserving Electronic Records• The migration must be documented – ORC 13206.20 If a state agency... alters the format of the records, the state agency shall create a certificate of authenticity for each set of records that is altered - DAS in consultation with the state archivist, shall adopt rules IAW section 111.15 of the Revised Code that establish the methods for creating certificates of authenticity• Cost – In some instances migration can cost up to 2.5 times the original cost of creating the information in the first place – IT managers routinely budget 20% to 30% of the cost of an application for upgrades Managing Electronic Records -- 1 Nov 2001
  48. 48. Preserving Electronic RecordsEmulation• Emulator will work for all records using that operating system – Emulator will be migrated, not the records• Three commercial emulators available now: – SoftWindows and VirtualPC both run Windows on Macintosh operating system – Wine runs Windows in Unix Managing Electronic Records -- 1 Nov 2001
  49. 49. Preserving Electronic Records• Largely theoretical - no practical model – Archivists have not used it for preservation yet – Has been used for other applications - browsers and games – University of Michigan and Leeds University are working on a model for archival preservation Managing Electronic Records -- 1 Nov 2001
  50. 50. JERRI Joint Electronic Records Repository Partners Initiative – OHS/State Archives – State Library of Ohio Goal: to create an archival – DAS repository for electronic – Ohio SuperComputer Center records and resources for the state and its political subdivisions in Ohio Managing Electronic Records -- 1 Nov 2001
  51. 51. Conclusion• State Archives will continue to work on these issues through – ERC – JERRI – other ongoing initiatives• There are no easy solutions Managing Electronic Records -- 1 Nov 2001
  52. 52. Questions??? Thank you Managing Electronic Records -- 1 Nov 2001
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