Understanding Records Management: Storage and Protection of Records

What is the best format to keep text documents long term?

That depends on how long the records are to be maintained. If the text documents are only to be retained 3 or perhaps even as much as 5 years from time of creation, then keeping them in the latest version of the word processing application, such as MS Word, will likely be little problem. Version control over that period of time can be handled by the application and since the state architectural standard is MS Word and the defacto standard is MS Word, there will be plenty of copies of that software around for some time.

If the documents are to be kept longer then 5 years and the agency does not want to migrate all documents to the latest version, then an agency should consider saving the files in an alternate format. Currently there are two somewhat neutral, non-proprietary , or software independent formats to consider when one needs to maintain a text file long term, flat American Standard Code for Information Interchange (ASCII) text file and Rich Text Format (RTF). Both formats result in some loss of formatting, though RTF results in much less format loss than conversion to flat ASCII. A new standard that is starting to emerge, eXtensible Markup Language (XML), holds the promise of providing the neutral environment needed for long term storage of text documents, but it is not yet widely used.

What about PDF? Is it an acceptable long-term storage format?

Adobe System's Portable Document Format (PDF) is a file format which contains an image of the original document, including text and graphics. Files can be created in a wide variety of applications and then converted to PDF. When this conversion occurs the original format and layout of the document is retained, almost like taking a snapshot or image of the document. Because of the faithful reproduction of the original and the difficulty of altering the document after it has been converted to a PDF file, PDF has become widely used for presenting documents on the Internet. PDF is the accepted state standard for read-only file sharing. In other words if you wanted to put a document on-line and allow other people to read and print it but not make any changes to it, PDF is the accepted format to use.

However, there are considerations that need to be addressed when considering PDF as a long-term storage format. While a wide variety of applications allow for the creation of PDF files (MS Word for example, lets you print to PDF), only the Adobe Acrobat or Acrobat Reader can read a PDF file. Adobe freely distributes the Acrobat Reader application, but if that were to change, then many files would become inaccessible. What this means is that if you were to save a file in PDF you must save a version of the reader with it. Another concern is version control and upgrades. An older version of the reader software may not be able to read files created by newer versions of Acrobat. This means that if you have files in PDF you must have a current version of the Adobe software, or at least the version compatible with the version that created the file.

PDF is a good format for the presentation and display of documents but may not be the best format for long-term preservation.

How should digital images be stored?

The primary aspect of storage is the physical medium used. Optical disk media include CD-ROM, DVD-ROM, WORM, and rewritable. WORM (write once, read many) disks seem the most useful for imaging because the stored records are non-reversible, allowing the greatest security for the data. Because rewritable disks, in contrast, are designed to be re-used, data integrity is not as certain. For either type of media, you will need to demonstrate that the records cannot be altered and provide a detailed audit trail of their creation, storage, and access.

No digital storage medium is adequate for long-term, archival preservation of records because of its limited life expectancy. The most generous estimate of physical obsolescence is within 30 years. Technological obsolescence, though, will probably come within 5 to 10 years. As a result, you should assume the need to migrate all your files within a short amount of time to a new storage medium. In the meantime, you will need to protect your stored data with a comprehensive back-up system. One necessary element is offsite storage of security copies in a controlled environment. Because all storage media differ, it will be necessary to follow the manufacturer's specifications for environmental storage conditions.

Is a CAR one type of Document Management System?

A Computer Assisted Retrieval (CAR) system is a microfilm system that has an automated index. It could be a component of a Document Management System. In the broadest sense, it does aid in managing microfilm documents, but it does not manage electronic documents, which is what is usually implied when referring to a Document Management System.

What are KDLA's recommendations for Document Management Systems?

KDLA does not certify or recommend any particular brand of Document Management System or company.

Document Management Systems (or "Document Content Management" or Document Component Management Systems) are often thought of as expanded imaging systems, in that in addition to imaged documents, they can contain word processing, spreadsheet, forms and other types of documents used in business. This type of software generally has workflow functionality and the leading vendors use XML aware object technology. The most recent features may include a web application module or component.

There are a number of document management systems and products in the marketplace. While each agency (or department) will have unique needs that can best be met by a unique set of tools, care must be taken to assure interoperability throughout the entire enterprise. Offerings range from a "shrink-wrap" product for an individual desktop computer (for less than $200) to enterprise-wide solutions of hardware and software that would involve, even in government circles, "serious" money. According to industry monitors, the leading "Document Component Management" systems are Filenet, Documentum's EDMS, and PC Docs. Empower Kentucky has an explanation of document management at http://www.state.ky.us/agencies/emgtech/docmgt0.htm , but this information (particularly that related to vendors) is outdated.

Document Management Systems or Document Content Management Systems should have a records keeping component. KDLA will be examining records center and records management software that has been certified by the National Archives and Department of Defense. Information on these software packages can be found on the web at http://jitc.fhu.disa.mil/recmgt . Both Unisys and Filenet are represented on this list.

The Governor's Office for Technology (GOT ) can also be helpful in assisting agencies in the planning and implementation of a document management system. Please refer to the Planning, Enterprise Architecture and Standards section of the GOT web site.

After paper records are scanned into a digital imaging system, may the originals be destroyed?

Yes, under certain circumstances. Since 1992, state and local agencies have had the right to employ non-erasable optical storage devices to maintain official copies of public records, due to an amendment in the state’s public records statute KRS 171.450 . State agencies desiring to maintain optically recorded public records that are permanent or with a vital retention period longer than 10 years without manual, eye-readable backups may petition the Director, Public Records Division, for relief from this responsibility. Please refer to the KDLA Policy Memorandum on Optical Storage of Public Records (PM 96-1) for more detailed information.

Specific laws and regulations related to governmental functions may define how records are created, formatted, and maintained. These requirements, as well as legal minimum retention periods established by records retention schedules , should be identified and accounted for when contemplating maintaining records solely in an electronic format. The Kentucky Revised Statutes (KRS) authorize the use of optical imaging as a valid duplication or reproduction media ( KRS 171.660 ) and the records produced in this format are considered a public record. (KRS 61.870 , 7.107 & 171.450 ) Nevertheless, electronic records can be challenged in court based on the rules of best evidence and the procedures followed in creating and storing the records. Agencies should be prepared to provide system documentation to courts seeking authentication of legal documents.

Remember that public records, regardless of their physical format, must remain secure, authentic, and accessible throughout their entire retention period. Agencies wishing to maintain records in an electronic format should have a migration /conversion plan in place to ensure that their records are maintained in a readable format.

Will the courts accept legal documents that are only signed electronically, since the passage of the Federal electronic signature legislation?

Technically speaking, the E-Sign Act (the federal law that recognizes electronic signatures) or the Kentucky Uniform Electronic Transactions Act (UETA) KRS 369 (this is a uniform model law that has been passed in several states and is being considered in several others), gives legal recognition to electronic financial transactions, and electronic signatures , if all parties agree to conduct the transactions electronically. To date there have been no court challenges of either law. However, the laws are vague about the details of what constitutes an electronic signature.

A more immediate issue concerning the legal acceptance of any electronic records is their "trustworthiness ." In order for the courts to accept electronic records, the records must be shown to be authentic, the records are what they are supposed to be, and secure, the records are stored in an environment that protects them from tampering. This will require documentation of the electronic system that produces and stores the records, as well as the procedures the agency has in place for the creation and management of the records.

As e-commerce and e-government expands, more transactions will be conducted electronically and many documents will only exist digitally. Electronic records and electronic signatures will become more prevalent. In the meantime all agencies should carefully assess the risks in conducting transactions electronically and consult their appropriate legal counsel before relying totally on electronic transactions and signatures.

KDLA's Services

The Kentucky Department for Libraries and Archives is responsible, under the terms of KRS 171.450, for managing and controlling records, in whatever medium, created by state and local government agencies in the Commonwealth. Specifically, under the terms of KRS 71.410-740, the department establishes standards, procedures, and administrative regulations for recording, managing, preserving and reproducing public (government-created or maintained) records.

Working in close collaboration with government agencies and their records officers, the department prescribes policies, principles and administrative regulations to be followed by those agencies in managing their records, provides records analysis and scheduling assistance to agencies, and furnishes technical assistance to agencies whose records have been damaged in disasters. It serves as the central repository for archival public records in Kentucky, and describes and creates finding aids to records in archival custody. Records housed at the State Archives are made available for research through the department's Archives Research Room. At the State Records Center, the department offers centralized storage and access services to government records of non-permanent retention and it sets rules governing the transfer of records from one agency to another.