1. Digital Futures International Forum - Tuesday 18th September 1 Digital Futures International Forum The Digitisation Standard: Back & Forth Stephen Clarke Archives Analyst, Government Recordkeeping Programme Archives New Zealand

2. Digital Futures International Forum - Tuesday 18th September 2

3. 3 What is the problem? The reality of electronic work means that: We receive and must deal with both paper and electronic mail and information in systems We can’t go ‘fully’ digital because we need continuing access to information contained in the paper records We need faster retrieval/distribution than the paper records give us We need better capacity to manipulate (re-use) information in the paper based records

4. Digital Futures International Forum - Tuesday 18th September 4 Drivers for Digitising Records Business efficiency Increased access Integration with business systems Saving fragile originals from wear & tear Digitising records here to stay Digital storage is ‘easy’

5. Digital Futures International Forum - Tuesday 18th September 5 Key Recordkeeping Issues We must ensure that the record is a true and accurate (reliable) copy Which processes can ensure that the digital version is acceptable as evidence Who does these processes and how What about technology obsolescence – formats, hardware, software? Varying retention/migration requirements Can the originals be destroyed?

6. Digital Futures International Forum - Tuesday 18th September 6 Digitisation as a Recordkeeping Microcosm Digitisation issues are a microcosm of electronic recordkeeping issues Working in a hybrid environment From stable to unstable formats Ensuring integrity and authenticity Migration and preservation Technology obsolescence Standards

7. Digital Futures International Forum - Tuesday 18th September 7 What questions must we address? Do we manage digital or paper as ‘the’ record? What Technical standards do we use (format, resolution etc)? Can the paper ‘originals’ be destroyed? What quality processes must be applied? What metadata do we maintain? How do we prove authenticity? What preservation requirements?

8. Digital Futures International Forum - Tuesday 18th September 8 Recordkeeping Aims of Digitisation Standard The reliability and authenticity, trustworthiness and legal admissibility, of digitised records; The accessibility of digitised records for as long as they are required; Strategies to assist in creating digitised records fit for long-term retention; and The management of original source records following digitisation.

9. Digital Futures International Forum - Tuesday 18th September 9 Purpose for Developing a New Standard No existing standard to adopt Outline best practice and legal requirements for digitising records Criteria for the Chief Archivist to make decisions on the disposal of the original protected records Archives NZ has a responsibility to support the recordkeeping requirements of the Public Records Act; and

10. Digital Futures International Forum - Tuesday 18th September 10 Everyone is already doing it!

11. Digital Futures International Forum - Tuesday 18th September 11 Project Scope To include both –Digitisation for incorporation in EDRMS –Digitisation of existing analogue records Undertaking a retro-active digitisation project Selecting appropriate records for digitisation Software and format considerations Long term management of digital objects Management of paper originals of digitised records

12. Digital Futures International Forum - Tuesday 18th September 12 Project digitisation vs. Business System digitisation Makes the distinction between digitisation (back capture) projects: retrospective conversion from paper to enable reuse, access the business has been conducted on the paper prior to digitisation Record remains the paper – this is the format the business was conducted upon Business system digitisation: Conversion of the analogue record into digital form before the business takes place Digital form is the record

13. Digital Futures International Forum - Tuesday 18th September 13 Methodology for standards development: 1 Initiate and Plan –Set purpose and audience –Scoping paper and project plan (including identification of stakeholders and advisory group members) –Resource allocation –Review of existing standards Set up Advisory Group –Obtain balance –Set expectations –Set roles and responsibilities

14. Digital Futures International Forum - Tuesday 18th September 14 Methodology for standards development: 2 Develop Draft –Make provision for audit Consultation and Review –Active engagement –Workshops –Obtain desired levels of consensus Approval by Advisory Group Approval by Chief Archivist

15. Digital Futures International Forum - Tuesday 18th September 15 Methodology for standards development: 3 Publish and Promote Conduct reviews of agency digitsation project implementations Review of Standard’s success by implementation and uptake

16. Digital Futures International Forum - Tuesday 18th September 16

17. Digital Futures International Forum - Tuesday 18th September 17 Minimum Requirements and/or Best Practice Standard?

18. Digital Futures International Forum - Tuesday 18th September 18 Aspirational element

19. Digital Futures International Forum - Tuesday 18th September 19 We identified four key process areas Planning & Processes Management Systems Disposal Processes Long-term Management

20. Digital Futures International Forum - Tuesday 18th September 20 Planning & Processes

21. Digital Futures International Forum - Tuesday 18th September 21 Digitise to save on storage costs? When migration and long-term management costs are factored in, storage in an electronic environment will take up far more staff time and budget resources

22. Digital Futures International Forum - Tuesday 18th September 22 Management Systems

23. Digital Futures International Forum - Tuesday 18th September 23 Disposal Processes

24. Digital Futures International Forum - Tuesday 18th September 24 Disposal – NZ Public Records Act, 2005 No lawful records disposal without the Chief Archivist’s authorisation Disposal includes, alteration, transfer of control, destruction, sale and discharge Failure to maintain electronic records is also disposal

25. Digital Futures International Forum - Tuesday 18th September 25 Disposal – Electronic Transactions Act, 2002 Section 25 permits the recording and retention of information and documents in an electronic form and destruction of non-digital source records providing that the electronic form provides reliable maintenance of the integrity of the information and that the information is readily accessible and usable for subsequent reference

26. Digital Futures International Forum - Tuesday 18th September 26 Self-assessment compliance Government agencies cannot dispose of records that have been digitised unless they have met the minimum requirements of the Digitisation Standard and have Chief Executive certification

27. Digital Futures International Forum - Tuesday 18th September 27 GDA 5

28. Digital Futures International Forum - Tuesday 18th September 28 Long-term Management

29. Digital Futures International Forum - Tuesday 18th September 29 Consultation process indicated a Strong desire for guidance appendices

30. Digital Futures International Forum - Tuesday 18th September 30 Recommended Technical Specifications

31. Digital Futures International Forum - Tuesday 18th September 31 Going Forth Re-development as an ISO standard Review for publication as an AS/NZ standard – IT 021 - 11 Review in 5 years Where next - standards for the migration storage and preservation of electronic records?

32. Digital Futures International Forum - Tuesday 18th September 32 Any Questions? Email: rkadvice@archives.govt.nz Website: www.archives.govt.nz/continuum