Salvador Barragan Curator of Government Records Nebraska State Historical Society Public Records in the Digital Age

What is a record? A record is the complete set of documentation required to provide evidence of a business transaction.

Shifting Media Before Paper we stored valuable historical data on stone and papyrus. In our current period records of historical permanency were stored on paper and kept in filing cabinets –When the cabinet was full, records were sent to file room. Now records are stored electronically on computers –When the computer is full – add more hard drives or servers. Basic skills to manage and maintain records has been lost, replaced by infinite storage

Electronic Records Management Goals 1.Bring the record to the forefront of system design activities. 2.Identify electronic records functionality as part of system design. 3.Create electronic records that support legal, fiscal and evidentiary needs. 4.Create long term archival storage for both retention schedule and historical purposes.

Goals cont 5.Create electronic records that are accessible and usable over time (non-proprietary formats). 6.Integrate diverse document forms and formats into records. 7.Identify need for internal and external primary and secondary access to records.

Three Functional Requirements for Electronic Records Management & Preservation

1. Records Capture – Records are created or captured and identified to support the business process and meet all records management requirements related to the process.

2. Records Maintenance and Accessibility – Electronic records are maintained so that they are accessible and retain their integrity for as long as they are needed.

3. System Reliability – A system is administrated in accordance with best practices in the information resource management field to ensure the reliability of the records it produces.

What happens when you do not have a RM system?

Higher Standards As electronic records become more integrated into society, producers of those records will be held to higher standards of conduct –HIPPA –Sarbanes Oxley –Federal and State Mandates –Case Law

NE Public Records Laws Record. The Records Management Act (Revised Statutes of Nebraska, Chapter 84, Article 12) defines a record as: "any book, document, paper, photograph, microfilm, sound recording, magnetic storage medium, optical storage medium, or other material regardless of physical form or characteristics created or received pursuant to law, charter, or ordinance or in connection with any other activity relating to or having an effect upon the transaction of public business." A record is information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.

Records Retention The foundation of democracy in America is government accountability to the people and permanency of our culture and heritage.

So the question becomes… who takes care of the records, and do they have the knowledge understanding of the new technology?

Caretakers of Information Historically records sent to file room, staff maintained access to records and managed lifecycle based on need and legal requirements Now records are managed by users and IT staff, based on capacity and cost.

Taking into account the goals of records management and the function of Records, what are we to do?

Or what is the solution? Best Practice Models Standards Systems Digital Archive?

Best Practice Models OAIS Model Washington State Archives

OAIS Model

Standards When ever possible follow the prevailing best practices and standards.

Standards for E-Records…. Hardware Software Formats Management Authenticity

Hardware File Room of the 21 st century Capacity and Speed double every 18 months Many choices –Tape –Optical –Spinning Disc First Immutable Law of Digital Archiving What hardware you use today will be obsolete within four years

Digital Archives Hardware Network – Cisco Backbone end to end –LAN and SAN EMC – SAN storage – 5 TB now, 20TB by end of Year HP – Servers and desktops ADIC – Tape Library for offsite, disaster recovery (nightly or weekly back up, remember Katrina and 9-11) Microsoft – Software and Development

Archival Software and File Format Standards Native ASCII TIF PDF/A (Used by the Federal Courts) XML (metadata and interoperability) DoD STD compliant system Nebraska State Records Guidelines Whenever possible seek the Open, documented solution! Remember WordStar and DBase II ???

Metadata & Interoperability Cross cultural and contextual boundaries Interoperability Interoperability & Metadata schema

Interoperability and XML

Content Management Essential to maintain control of the information explosion Allows hard coded rules and information exchange BUT still requires a strong knowledge, understanding and implementation of basic records management Second Immutable Law of Digital Archiving: Data is Data, a Record is a Record, It is the content that drives retention, not the media

DoD STD compliant system Wrap original file in native format Wrap XML copy Apply metadata & XML for indexing, searching & retrieval Provide chain of custody & authenticity Content Management

Microsoft Solution SQL Server back end BizTalk translation utility SSH Tectia for secure transport Washington State Archives Case Study

Authenticity Maintain Chain of Custody In the care of trusted 3rd party Received from trusted, known source

Data Security Encrypted SSH FTP transmission Issue Digital Certificate Verify IP and computer information MD5 Hash on all original files Copy of FTP on tape prior to ingestion DB backups on tape Record Level Security for confidential Info

Record Level Security Restrict records at item, field or series level Restrict to individual, dept, office or global Uses authenticated login to reveal fields Anonymous users see Restricted

Deep Storage XML

Deep Storage XML Schema Record Common Who What When Where Original File web file Security Fixity Vital Records Type Birth Date of Father, Mother Hospital

Ingestion Process MUST be flexible Microsoft BizTalk 2004 Transforms, adds metadata based on business rules Creates deep storage copy wrapping original file in XML, with Hash Creates web version of original file

Archive Database Designed around latest industry standards Open source, non-proprietary file storage Applies metadata tags to save information about record –creator, date, agency, subject, etc. Provides chain of custody & authenticity of record Allow search and retrieval of archival records through a web page

Risks Distributed, non-standardized environment Limited technology expertise in some agencies Unpredictable data growth rate Few business models Emerging technologies Limited internal expertise

Management Issues Authenticity of record Metadata File naming conventions Corporate Culture Start small with , web page Use existing retention schedules Educate Shift AWAY from desktops… …And move to central servers Management Software is a must! Privacy of sensitive data

Third Immutable Law Anything that you do today, will need major overhaul in two years or sooner Technology and industry changing at unprecedented rates… But, more records are lost every day! –Key is to be flexible and address with systematic forethought

How to handle Records over the Web.

Open Record

Restricted Record Confidential

E-Commerce

Add to Shopping Cart Ecommerce Functionality –Add to Shopping cart

Shopping Cart

Billing Information

View and Submit Order

Why a Digital Archives? Comply with statutory & regulatory mandates. –The Law requires preservation of certain public records – it doesnt specify whether those records are paper or electronic. All records must be given the same care. Avoid loss of legal & historical records –As technology changes, the older media (5 ¼ floppy disks, for instance) become harder to read. Centralize Records –Centralization means uniformity in maintenance –Trained professionals serve as caretakers Preserve rare and at-risk paper records Improved access for citizens –By centralizing historical electronic records in one location, one- stop shopping will provide the information quicker and easier

The Digital Archives will: Preserve electronic records with long-term legal, historical and/or fiscal significance Assure platform-neutral retrieval 50, 100, or more years from now Provide security back-up of certain permanent electronic legal records (courts, vital records, land records, etc.)

Acknowledgements Adam Jansen, Digital Archivist for the Washington State Archives. Dr. Ed Papenfuse, State Archivist for the Maryland State Archives. Andrea Falling, State Archivist for the Nebraska State Historical Society. Cathy Danahy, Assistant Director of the Nebraska Records Management Division.