1. Electronic Records and Imaging Problems, complexities and options

2. General - terms Born Digital = created in an electronic environment – i.e. emails, word.docx Digitized = created in a non- electronic environment and converted to an electronic means – i.e. scan of a signed form Digital Object = any electronic file, regardless if it is an official record. – Example: draft of a speech, some logos Electronic Record = a digital object that is an official record based on a retention schedule.

3. Electronic Records Management

4. Justification A record is a record regardless of format – Public Records act does not specify formats – Legal considerations Public Records Act Uniform Electronic Transactions Act FOIA Litigation discovery When to start? – Immediately

5. Policy Development Essential starting point Controlled access to official records Restrictions to editing Naming conventions Audit trails Metadata to retain about the record Documenting the system

6. EDRMS/ERMS EDRMS: Electronic Document Records Management System ERMS: Electronic Records Management System Not the same as a CMS (Content Management System) Example 1, Example 2 Example 1Example 2

7. EDRMS/ERMS EDRMS guidelines: Trustworthy Information System (TIS) guidelines – Guidelines available at the Archives website Guidelines – Helps inform policy decisions – TIS does not condone a specific provider/product – Provides a checklist to guide decision-making processchecklist Example TIS Criteria Internal/external security options Ability to document how the system works User identification Audit trails for each record

8. Other EDRMS standards Interpares Project – International project regarding preservation of electronic records ISO 15489 – International Standards Organization guide to proper records management and record-keeping systems DoD 5015.2 – Dept of Defense guidelines for system functionality – Many systems compliant with these standards http://www.interpares.org/ http://www.iso.org/iso/ho me.html http://www.iso.org/iso/ho me.html

9. EDRMS – to consider Exportability – Can you get a copy of the record from the system for transfer to other agencies/people? – Example: can you send an electronic copy of the record to the archives with all the required metadata? Exit strategy – When the system is outdated or no longer used, how will you get all of the data out? – Built into contract?

10. Metadata Don’t PANIC

11. Defined Metadata is… – Descriptive information use to keep track of and understand a record or digital object. – Includes analog records Example: paper filing system – Often embedded in the digital object during creation

12. Embedded metadata

13. What is XML? XML is… – A way to show metadata using tags Example from Archives S00001 House of Representatives. Medical, Military, Public and Municipal Affairs Committee. S165230 Brian Thomas SCDAH 1st South Carolina Department of Archives and History 1st

14. Metadata standardization Why comply? – Interoperability with other systems – Usability for the public

15. TIS guideline TIS metadata recommendation: – Agent/Agency – Rights Management – Title – Subject – Dates – Level of Control – Identifier – History (management) – History (format) – Location

16. For Consideration

17. What is the record? There can be only one…official record – The rest are use/convenience copies Need to identify who owns official record Records are not tied to a specific medium Need to create a strong definition of what is or isn’t a record in your agency

18. Digital Preservation Agency responsible to preserve electronic records Need to ensure accessibility over time Migration to newer formats Determine essential record characteristics – i.e. is it a picture or a document? HIGHLY RECOMMENDED: metadata about electronic records system and format.

19. Example problem with unknown formats PDF opened in PDF viewer

20. PDF in Notepad trailer ]>> startxref 0 %EOF 84 0 obj >stream xÚb```b``žÄÀÊÀÀÈÀÏ€ ü@1VŽhଃO€äG‡ÕŽ©L{™ðH0,Hh¸wÀ¦!‰Í‡}‡Ðî †™û+ŠXNLI–8f؃ ã–Ñð˜rÝðÃœ§\– íìoy¬$rœKHÕôLº¤À2‹€‰šë’Zœh5<ÔÒé[,ÏyÌE³ODÅ+{Æ?#EŸ‚…JÁ1ÇNäJnåšõÌN¸§c(c³ŽÍ––ÑÑ b¤¥ ’ R‡b%^®Œf‰ÌÜØ3*ÌhÝ°ù†Î¿îG½ù*óÕ}›¯˜*@4Z10z;iF ^` ŸWØ0 endstream endobj 60 0 obj >/Metadata 57 0 R/Pages 51 0 R/Type/Catalog>> endobj 61 0 obj >/Font >/ProcSet[/PDF/Text]/ExtGState >>>/Type/Page>> endobj 62 0 obj<</Subtype/Type1/FontDescriptor 66 0 R/LastChar 151/Widths[537 296 0 0 0 0 0 0 0 370 370 0 0 296 352 296 444 500 500 500 500 500 500 500 500 500 500 296 0 0 0 0 426 0 556 556 463 556 463 426 537 611 370 0 0 444 667 574 0 500 0 519 463 444 593 500 704 0 481

21. Another example JPEG using a image viewer

22. JPEG in Notepad ÿÀ ð@" ÿÄ¢ } !1AQa"q2‘¡#B±ÁRÑð$3br‚%&'()*456789:CDEFGHIJSTUVWXYZcdefghijstuvwxyzƒ„…†‡ˆ‰Š’“”–— ˜™š¢£¤¥¦§¨©ª²³´µ¶·¸¹ºÂÃÄÅÆÇÈÉÊÒÓÔÕÖ×ØÙÚáâãäåæçèéêñòóôõö÷øùú w !1AQaq"2B‘¡±Á#3RðbrÑ$4á%ñ&'()*56789:CDEFGHIJSTUVWXYZcdefghijstuvwxyz‚ƒ„…†‡ˆ‰Š’“”–— ˜™š¢£¤¥¦§¨©ª²³´µ¶·¸¹ºÂÃÄÅÆÇÈÉÊÒÓÔÕÖ×ØÙÚâãäåæçèéêòóôõö÷øùúÿÚ ? ΍08©N#RÇ€9Í Ò¹?ˆþ%_è‚AÅÈ1ÆI÷«v9ø±â“âÎLÛ[æ$ÁàúŸÏùW/üz«ŽÏ“Sëq}ŸLŽFÏ7¬Ç©Àâj­ ¹3iNqÏ5§2I4k}¡ûü{Õ¼àg@´›Çx.U[7 ÿ @¯¤Söžñ/ycüV¿+¼7©=”’FŽÈeR¡°AÁÁ¯~ø7ãIn¼?- µÅÔ×2Á!Ä“È]Šžq“éÍLï{ŠÝO·öñ/ü*Ì´÷ˆ2cü«æ8¼A‘÷¿Z5þG?ZÎì,}?íC®ó,Gð«pþÔÚ°ûÐFkåÔ׸ûõ*k½÷Qp>«‹ö¨½~Ò3ô 5~ßö©n<Ë?C_% {ЃO]{OZ.3ì?j{C2ď¡«ðþÔ:C}ûW_ƾ2þÝÀëø枺èÇÞ®;³í˜i_?ÞI¯EûCøeÇÍ#¯ÔWÃK®ÿ µOðn§tgÝðüxð¬ vW>¢®Ãñ›Â³tÔQ~µð(×ûn§¯ˆqügó¢è.ÏÐ(¾*xf_»©ÅùÕȾ hcn§ýô+óÏþ1ûÓøxžUé;ƒþñ£@»?D£ñn/ÝÔ ?ð1VS]Óäû·Ÿø¯Î„ñuÔvêAÿ 5 f~‹.¡lÿ vxÏüT‚â&é"ŸÆ¿<bø™¬Ã÷u9‡§ÏW#øÅâ@ÛªÍÿ }Q s3ô:žŒ?:\Zø'ƒîêŽ~µzÚ?ÅPŽ5 ßï-7‘÷Uñ4µŠ¡ë</Ž¹Zуö¶ñXß ´Ÿ›Èû"Šù&ßöÂÕ×f›nþ¸r+FßöÊœæèˆÝ›ÿ ­Eƒ˜ú–ŠùªÛ.ÏÍÐäîÌ+BÛ#@?ë´‹´ÿ u”ÿ Z,ÈúŠð˜l¾<ËKøÿ à­_‡ö³ð,Ÿ~[¸¿Þ‚‹™É- ¼SI8ôe¹ßxc@ŸD½›QŠ[X¡ye¸?(‰TXöÀÆâbý©~È2u9Sýèü+çOÛ7ö¶Ò5¯ƒü#w$³jG:„ûJl€Ë1þñëìïM!6‘þ&x’ÏÄÞ7Ô¯4 èR Á©Ûˆ›Q’<Hd,"’ õöªü³±-Ÿ\Ÿ;Uâ œú ÕôKü=·ØÅ{$jOP~µ“yð/OÔµ[}NiÒ[È »¡ùpr8 Ž¾ÕÇ~éÍø{‹¡áößöÖ ÿ Ƕz÷«¾ð'ÁŸì)'ž-|β€<¶µÛ·ð:ôؾÞ?ßÀ~ªEli?u;6?éV®§°,?¥t,]}¢)ö9ü *Ž5?öÌÿ J ôr/ÕH¦/‰/|¾.Zˆø¯R^—N(åAroíY\ŠoöÃæ¡>,Ô

23. Databases Is the database or the output of information from the database the official record? Does the database contain information that is not included in the retention schedule? Does the database have everything? If the database is the official record, can you recreate the output files without the current management system? DoesThisHaveAllOf TheOfficialRecord?

24. Security How much access and to whom? Physical security Disaster recovery and security copies

25. Imaging Vs.

26. Imaging What is imaging? The SCDAH defines as: the conversion of paper records to another format. Usually – Microforms – Electronic/digitized

27. Microforms Microfilm – Like Film Reels Microfiche/microcards – Index card size

28. Microform Pro Slim storage Security deposit for permanent records at the Archives Physical medium with long lifespan Can convert digital records to microforms Con Cost – need to select a vendor Need a reader specific to type. Maintain machine Controlled environment Loss of information

29. Digitized records - costs Up front costs – Scanning equipment – Storage environment – Software Long-term costs – Migration of records – Obsolescence – Proprietary issues – Continued maintenance

30. Digitized records Pro Integration into existing electronic records systems Easy Access Con Continual Monitoring for usability Obsolesense Longevity of medium Currently, no deposit with the Archives – But…

31. SCERA South Carolina Electronic Records Archive What is it? – Repository for Electronic Records – For permanent records that will be transferred to the State Archives What it isn’t – Not for records that are scheduled for destruction – Not for draft copies – Not for active or evolving electronic records

32. SCERA-Services Storage of Permanent electronic records Technology monitoring for electronic formats Migration to newer formats when necessary Remote access point for permanent records

33. Other Service Providers Services available for current electronic records – Not specified by records management division – Division of State Information Technology (part of the Budget and Control Board) For remote back-up and storage of electronic records – Other vendors available for cloud and remote storage

34. Questions?