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nding person is InterPARES 2 Project, Policy Cross-domain Page 6 of 6 Policy Framework, v1.2 (March 2008) L. Duranti, J. Suderman and M. Todd InterPARES 2 Project, Policy Cross-domain Page 7 of 7 accountable. Thus, the receiving person should issue a disclaimer regarding accuracy of records using other pers...
trustworthiness of a record as a record. An authentic record is as reliable and accurate as it was when first generated. Authenticity depends upon the record’s transmission and the manner of its maintenance and custody. Authenticity is maintained and verifiable by maintaining the identity and integrity of a record. ...
r matter to which the record pertains; the date(s) of compilation, filing or transmission; the record’s documentary form; the record’s digital presentation (or format); the relationship of the record to other records through a classification code or a naming convention; and the existence of attachments. The integrit...
e recordkeeping office,15 identifying access privileges16 and access restrictions17 and indicating any annotations or any modifications (technical or otherwise) made to the record by the persons having access to it. Thus, record reliability is a quality that is established when a record is created and implies accu...
e the responsibility of both the records creator and any legitimate successor. Authenticity is protected and guaranteed through the adoption of methods that ensure the record is not manipulated, altered, or otherwise falsified after its creation, either during its transmission or in the course of its handling and pr...
sts of a set of rules governing the making of records and a set of tools and mechanisms used to implement these rules. To generate reliable records, every record-making system should include in its design integrated business and documentary procedures, record metadata schemes, records forms, record-making access pri...
stem (i.e., the file management plan or taxonomy) established in the organization. This integration reinforces the control over record- making procedures: it supports the reliability of records by explicitly connecting records to the 13 Handling office (or person) is ...
se, op. cit.). 14 Trusted records officer (also called records keeper or records manager) is defined as “an individual or a unit within the creating organization who is responsible for keeping and managing the creator’s records, who has no reason to alter the kept records or allow others to alter them and who is cap...
Force Report,” available at http://www.interpares.org/book/interpares_book_d_part1.pdf and, more specifically, the already cited “Requirements for Assessing and Maintaining the Authenticity of Electronic Records,” available at http://www.interpares.org/book/interpares_book_k_app02.pdf.” 15 Recordkeeping office is d...
cess privileges is defined as “The authority to access a system to compile, classify, register, retrieve, annotate, read, transfer or destroy records, granted to a person, position or office within an organization or agency” (Ibid.). 17 Access restrictions is defined as “The authority to read a record, granted to a p...
icy Framework, v1.2 (March 2008) L. Duranti, J. Suderman and M. Todd activities in which they participate and to the records organization system, thereby standardizing the procedures for creating and managing those records. The integration of business and documentary procedures also establishes the basis and centra...
making processes for the purposes of uniquely identifying each record and enabling the maintenance of its integrity and the presumption of its authenticity. Such a scheme can also be used later to verify authenticity when questioned. Records forms are specifications of the documentary forms for the various types of...
em, granted to officers and employees by the records creator on the basis of position duties and business needs. Access privileges control access to the record-making system and are established in the course of integrating business and documentary procedures through connecting specific classes of records to the offi...
f records can be presumed. Record- making technological requirements include the hardware and software specifications for the record-making system that have a direct impact on the documentary form of records. (C6) A trusted recordkeeping system should be used to maintain records that can be presumed accurate and aut...
eping system should include in its design a recordkeeping metadata scheme, a classification scheme, a retention schedule, a registration system, a recordkeeping retrieval system, recordkeeping technological requirements, recordkeeping access privileges and procedures for maintaining accurate and authentic records. ...
ation scheme is a plan for the systematic identification and arrangement of business activities and related records into categories according to logically structured conventions, methods and procedural rules. A retention schedule is a document specifying and authorizing the disposition of aggregations of records as ...
ing access privileges refer to the authority to classify, annotate, read, retrieve, transfer and/or destroy records in the recordkeeping system, granted to officers and employees by the records creator based on position duties and business needs. Typically, access to records for purposes of classification, transfer ...
ormation about records in a recordkeeping system and the tools and mechanisms used to implement these rules. Recordkeeping technological requirements include the hardware and software specifications for the recordkeeping system. The procedures for maintaining accurate and authentic records are the procedures design...
efficiency and reduce the potential for human-induced error, the record-making and recordkeeping systems should be designed to automate, as much as possible, the creation of the identity and integrity metadata both at the point of records creation or modification (e.g., when migrated to a new system or file format)...
roject, Policy Cross-domain Page 9 of 9 records belong are created or modified—every record unit should automatically inherit the metadata of the higher level in the classification at the point of creation as well as whenever there are updates to the metadata of the higher level. A records creator should indicat...
a trusted custodian; thus, the trusted records officer should have the qualifications for a trusted custodian as stated in principle C8. A recordkeeping system that complies with the above requirements and procedures in its design and management is capable of ensuring the accuracy and authenticity of records after...
uld be embedded in all activities involved in record creation and maintenance if a creator wishes to maintain and preserve accurate and authentic records beyond its operational business needs. (P7) The concept of the records lifecycle in archival science refers to the theory that records go through distinct phases,...
d that, differently from what is the case with traditional records, preservation is a continuous process that begins with the creation of the records. Traditionally, records are appraised for preservation at the disposition stage, when they are no longer needed for business purposes. With digital records, decisions...
e notion that records preservation starts at the creation stage requires that preservation considerations be incorporated and manifested in the design of record-making and recordkeeping systems. Each aggregation of records appraised for preservation should be identified in accordance with the classification scheme a...
monitored throughout their lifecycle so that appraisal decisions and preservation considerations can be updated and/or modified to accommodate any possible change occurring after they are first made. To monitor and implement appraisal decisions and preservation considerations, the designated preserver should be giv...
r. (C8) A trusted custodian should be designated as the preserver of the creator’s records. (P1) The designated records preserver is the entity responsible for taking physical and legal custody of and preserving20 (i.e., protecting and ensuring continuous access to) a creator’s inactive records.21 Be it an outsid...
s, and strategies that controls the activities designed to ensure materials’ (data, documents, or records) physical and technological stabilization and protection of intellectual content” (InterPARES 2 Terminology Database, op. cit.). 21 An inactive record is defined as “A record that is no longer needed by the crea...
man and M. Todd InterPARES 2 Project, Policy Cross-domain Page 10 of 10 preserver should be that of a trusted custodian for a creator’s records. To be considered as a trusted custodian, the preserver must: • act as a neutral third party; that is, demonstrate that it has no stake in the content of the records a...
sary to fulfil its responsibilities, which should be acquired through formal education in records and archives administration; and • establish a trusted preservation system that is capable of ensuring that accurate and authentic copies of the creator’s records are acquired and preserved. For as long as the record...
sted by the records creator as its designated preserver should maintain records that have been removed from the recordkeeping system for long-term or indefinite preservation. This trusted custodian will establish and maintain a preservation system to receive and preserve the creator’s digital records. This involves ...
tifies appropriate preservation strategies and procedures, drawing on expertise from various disciplines, including archival science, computer science and law. The preservation procedures are implemented within the preservation system. Only preservers that satisfy the requirements for trusted custodian are capable...
ess processes that contribute to the creation and/or use of the same records should be explicitly documented. (P10) Records created in the course of carrying out one business function or one business process are often also used in the course of conducting other business functions or processes. In cases like this, r...
or application. This practice creates difficulties for the records creator in identifying aggregations of records for accountability purposes and for its designated preserver in conducting appraisal and preservation activities. It is recommended that policies and procedures be established that require detailed doc...
h record and the related workflow. Procedural manuals with such descriptions are effective in increasing the awareness of the impact of record-making and recordkeeping on the management of an organization. A subsequent different use of records after their creation can be captured by metadata, which are also capable ...
f carrying out the actions for which it was created or for frequent reference” (Ibid). A semi-active record is defined as “A record that is no longer needed for the purpose of carrying out the actions for which it was created, but which is needed by the records creator for infrequent reference” (Ibid.). Policy Frame...
he record-making and recordkeeping systems. (P8) Every records creator is usually aware that the records that it creates, or which are under its control or custody, contain information covered by intellectual property legislation. However, creators should also be aware that in some cases the intellectual property r...
such record at the time that it is made or received and set aside. Intellectual property issues can significantly influence the reproduction of records, which is central to the processes of refreshing, converting and migrating records for either continuous use or preservation purposes. Subject to variations among d...
entified and addressed at the stage of designing the record-making and recordkeeping systems. In the case of records identified for long-term preservation, long-term clearance of such rights should be addressed explicitly in the creator’s record policy. (C11) Privacy rights and obligations attached to the creator’s...
data that may be part of any record used and maintained by a records creator with whom they have interacted. The limits of privacy depend on the legislative framework in which the records creator operates. The framework may be in conflict with the access policy linked to the mandate of the records creator and even...
linked to the records in the record-making and recordkeeping systems of the creator. Metadata schemas that note and administer the use of personal information contained within the records must be embedded in record-making and recordkeeping systems. This will enable the protection of personal information through the ...
it permissions must be sought from the individuals concerned), ideally prior to record creation. This is the best way to ensure that the records are managed in accordance with privacy legislation and that the preserver will be able to effectively include the privacy issues relevant to the records in the preservatio...
m preservation activities. Processing of personal information for maintenance or preservation purposes is different from the use of it for research or business purposes. Regardless of the legislative framework, the records creator should be able to demonstrate that processing of records containing personal informati...
e records creator and its legitimate successors. Although the practice of outsourcing these functions to specialized commercial operators is authorized and regulated under most existing privacy legislation, the practice should still be avoided whenever possible to minimize the number of individuals authorized to acc...
2 (March 2008) L. Duranti, J. Suderman and M. Todd the records and of jeopardizing the ability to obtain permission to process personal information for maintenance or preservation purposes. In the case of records that are not yet designated for permanent preservation, appraisal decisions should be taken before the...
erent jurisdictions should be established on the basis of the legal requirements under which the records are created. (P13) Records creators with branches in geographically separate areas (i.e., areas that are covered by different legislation), must be aware that different access, privacy and intellectual property...
or business partners. This includes providing records to a trusted preserver, where the latter operates in a legal environment different from that of the records creator. The fact that records are freely accessible in one jurisdiction does not imply that they can be accessed in the same way in other jurisdictions. ...
ts purposes and use, as part of its recordkeeping activities, have the same effects as the first manifestation, and each is to be considered at any given time the record of the creator. (P3) In the digital environment, the first manifestation of a record, be it a draft, an original or a copy, only exists when first...
cord is closed and saved into the record-making or recordkeeping system, its first manifestation technically disappears, as the saving action decomposes it into its digital components. Any later manifestation of the digital record is a reproduction resulting from an assembly of its digital components. Conceptually, ...
nary course of carrying out business activities and used for such activities. This means that each reproduction in sequence should have the same admissibility in court as the record’s first manifestation and be given the same weight. To establish that a record is reproduced in the usual and ordinary course of busine...
en maintained together with that of the received records in the creator’s recordkeeping system, then all records should have the same authority and effects as their first manifestation. Although, according to the theory of the record (i.e., diplomatics), an “original” record in a digital system is the first manifes...
f “original.” Common to all three variations is the principle that it is the relationship of a record to the business of the creator that determines whether the record in question has the authority and effects of an original. InterPARES 2 Project, Policy Cross-domain Page 12 of 12 Policy Framework, v1.2 (March 2...
ates, with greater value as evidence given to originals. For digital records, it is noteworthy that if “data are stored in a computer or similar device, any printout or other output readable by sight, shown to reflect the data accurately, is an ‘original.’”23 Example 2: The quality of being original is acknowledged...
of those data (copy), by establishing that “any data or document electronically created by any public administration represents a primary and original source of information that may be used to make copies on any kind of medium for all legal purposes.”24 Example 3: The Electronic Signatures Law of the People’s Repu...
sulted at any moment, and 2) capable of unfailingly showing the integrity of the content from the moment of its completion. However, annotations made to a data electronic document [digital record] and changes of presentation occurring in the process of data exchanging, storing and displaying are not considered to a...
nsible for taking physical and legal custody of and preserving (i.e., protecting and ensuring continuous access to) a creator’s inactive records. Be it an outside organization or an in-house unit, the role of the designated preserver should be that of a trusted custodian for a creator’s records. To be considered as ...
stody and that it will not allow anybody to alter the records either accidentally or on purpose; • be equipped with the knowledge and skills necessary to fulfil its responsibilities, which should be acquired through formal education in records and archives administration; and • establish a trusted preservation ...
er, who, after having assessed the accuracy and authenticity of the records, produces an authentic copy of them from the creator’s recordkeeping system. Records that are acquired this way are authentic copies of the records of the creator identified for long-term preservation, because they are made by the designate...
its design a description and a retrieval system. This trusted preservation system must also have in place rules and procedures for the 23 United States House of Representatives, Federal Rules of Evidence, Article X. Contents of Writings, Recordings, and Photographs: ...
neralizes that “any counterpart” to the writing or recording “intended to have the same effect by a person executing or issuing it” is an original. 24 Italy, DPR 445/2000, art. 9, par. 1. Available at http://www.parlamento.it/parlam/leggi/deleghe/00443dla.htm. 25 China. Electronic Signatures Law of the People’s Repu...
” 3. Available at http://www.interpares.org/display_file.cfm?doc=ip2(policy)archival_legislation_CHINA_SUPPLEMENT.pdf. Policy Framework, v1.2 (March 2008) L. Duranti, J. Suderman and M. Todd InterPARES 2 Project, Policy Cross-domain Page 14 of 14 ongoing production of authentic copies as the existing system bec...
on of Authentic Copies of Electronic Records,26 a set of requirements to be implemented by the preserver. It should be noted that the simple fact of reproducing records in the preserver’s preservation system does not make the results authentic copies; such designation must be provided by the preserver’s authority. ...
initiative in collaborating with the creator to establish acquisition and preservation procedures and in advising the creator in any records management activities essential to the preserver’s acquisition and preservation activities. (P2) Records preservation policies, strategies and standards should address the i...
record is created and used in the course of business processes to carry out business functions, based on the assumption that inaccurate records harm business interests. However, when records are transmitted across systems, refreshed, converted or migrated for preservation purposes, or the technology in which the re...
on processes. This verification of accuracy is the responsibility of the preserver who carries out the transmission or transformation process; however, such person is not responsible for the correctness of the data value, for which the creator remains accountable, just as is the case for the reliability of the reco...
ticity is the trustworthiness of a record as a record. A record is authentic if it can be demonstrated that it is as it was when created. An authentic record is as reliable and accurate as it was when first generated. Authenticity depends upon the record transmission and the manner of its preservation and custody. ...
sult and the records themselves, or a designated records preserver). Authenticity is protected and is verifiable by ensuring that the identity and the integrity of a record are maintained. The identity of a record is what distinguishes it from all other records. It is declared at the moment of creation by indicating...
date(s) of compilation, filing or transmission; the record’s documentary form; the record’s digital presentation (or format); the relationship of the record to other records through a classification code or a naming convention; and the existence of attachments. The record identity so declared must be maintained int...
s designated as inactive. The integrity of a record is its wholeness and soundness and can only be inferred from circumstantial evidence related to the person who held responsibility for the record through time, from access privileges and access restrictions and from the indication of any annotation or modification...
op. cit., and, more specifically, Authenticity Task Force, “Appendix 2.” Policy Framework, v1.2 (March 2008) L. Duranti, J. Suderman and M. Todd InterPARES 2 Project, Policy Cross-domain Page 15 of 15 to it. Thus, the establishment and maintenance of record integrity are supported by declaring the following rec...
privileges code28 and the access restriction code;29 and the list of annotations30 and of format changes.31 Authenticity is not a quality that can be bestowed on records after their creation and maintenance by any preservation process. A preserver can only protect and maintain what was transferred under its respon...
he preserver’s responsibility to assess the authenticity of records considered for acquisition into a preservation system and to ensure that it remains intact after the transfer to such system by respecting within the preserving unit or organization the same Benchmark Requirements that bind the creator (e.g., access...
custodian are to be considered authentic copies of the creator’s records. (C13) Reproductions of digital records in the creator’s record-making and recordkeeping systems made in the usual and ordinary course of activity for either action or reference purposes can be considered to have the same authority and effects...
copies of the records of the creator, because they are never used in their present manifestation for action or reference by the creator itself. The creator’s records and their authentic preservation copies are the same records but at different phases in their lifecycle and thus at a different status of transmission....
system may not be designated authentic if the preserver has made them for purposes other than preservation; for example, a copy from which personal identifiers are removed may be made for access purposes. Ultimately, only the preserver has the authority to designate a copy as authentic. (P4) Records preservation pr...
A digital component is a digital object that is part of one or more digital records, including any metadata necessary to order, structure or manifest content and that requires a given preservation action. For example, an e-mail that includes a picture and a digital signature will have at least four digital component...
y of records belonging to a given class within a classification scheme” (InterPARES 2 Terminology Database, op. cit.). 28 Access privileges code is defined as “The indication of the person, position or office authorized to annotate a record, delete it, or remove it from the system” (Ibid.). 29 Access restriction cod...
cord after it has been created” (Ibid.). 31 List of format changes is defined as “Recorded Information about modifications to a record’s documentary form or digital format after it has been created” (Ibid.). 32 In diplomatics, the status of transmission is the degree of perfection of record. There are three possible...
is, a reproduction that is declared conforming to the reproduced entity by an officer having the authority to do so. Professional archivists are among such officers. Policy Framework, v1.2 (March 2008) L. Duranti, J. Suderman and M. Todd InterPARES 2 Project, Policy Cross-domain Page 16 of 16 (the header, the ...
e PDF file will consist of only one digital component. Although digital components are each stored separately, each digital component exists in a specific relationship to the other digital components that make up the record. Preservation of digital records requires that all the digital components of a record be con...
t requires one or more specific methods for decoding the bitstream and for presenting it for use over time. The bitstream can be altered, as a result of conversion, for example, as long as it continues to be able to fulfil its original role in the reproduction of the record. All digital components must be able to wo...
ator, directly or through development of recommended standards, on the types of digital components that the preserver’s system is able to sustain. Where standards governing the types and formats of digital components are common to both the record-making and recordkeeping systems and the record preservation system, ...
ted, the preserver must understand the degree of interoperability of certain types and formats of digital components. This understanding will provide a basis for the preserver to assess the capability of the preservation system to preserve the digital components and their relationships as they emerge from the creato...
ide a better basis for preservation work. It is important, however, not to focus exclusively on the interoperability of formats at the expense of the relationships between them that also must be preserved. For example, an HTML-based Web page may be comprised of digital components that are highly interoperable, but t...
to reproduce the Web page). (P5) Authentic copies should be made for preservation purposes only from the creator’s records; that is, from digital objects that have a stable content and a fixed documentary form. (C1) A record is defined by InterPARES, following the traditional archival definition, as “a document...
ered as a record, a digital object generated by the creator must first be a document; that is, must have stable content and fixed documentary form. Only digital objects possessing both are capable of serving the record’s memorial function. The concept of stable content is self-explanatory, as it simply refers to th...
erwritten, altered, deleted or added to. Thus, if one has a system that contains fluid, ever-changing data or information, one has no records in such a system until one decides to make one and to save it with its unalterable content. 33 See the InterPARES 2 Termino...
e complex. A digital object has a fixed form when its binary content is stored so that the message it conveys can be rendered with the same documentary presentation it had on the screen when first saved. Because the same documentary presentation of a record can be produced by a variety of digital presentations, fixe...
a digital object generated in ‘.doc’ format is later saved in ‘.pdf’ format, the way it manifests itself on the screen—its documentary presentation, or “documentary form”—has not changed, so one can say that the object has a fixed form. One can also produce digital information that can take several different docu...
this case, each presentation of such a digital object in the limited series of possibilities allowed by the system is to be considered as a different view of the same record having stable content and fixed form. In addition, one has to consider the concept of “bounded variability,”34 which refers to changes to the ...
ions in the record’s form and content are either caused by technology, such as different operating systems or applications used to access the document, or by the intention of the author or writer of the document. Where content is concerned, while, as mentioned, the same query will always return the same subset, its ...
iolations of the requirements of stable content and fixed form. Based on this understanding, any preservation policy should clearly state that reproductions of authentic copies for preservation purposes can only be made from the creator’s records, as identified by the creator.35 The preserver should know (or help...
nt with the preserver’s responsibility to advise the creator on its record creation processes and technologies. This advising activity will also provide the preserver with the critical information needed to understand the business activities and processes that caused the records to come into being and with the abili...
of the specific technologies available. (C3) Digital records rely, by definition, on computer technology, and any instance of a record exists within a specific technological environment. For this reason, it may seem useful to establish record preservation requirements in terms of the technological characteristics o...
y considerations established and modified at will by their developers. Both these factors can significantly affect the continued accessibility of digital records over time. For these reasons, references to specific technologies should not be included in preservation policies and standards. Only the requirements and...
the Principles for Creators regarding the identification of records. Policy Framework, v1.2 (March 2008) L. Duranti, J. Suderman and M. Todd should be explicit within record preservation policies and standards. It is only at the level of implementation that specific technologies should, indeed must, be named. Te...
sible to adopt new strategies to meet preservation needs, as happened with the use of XML to support the long-term preservation of structured records. Second, it creates opportunities for drawing on expertise from a number of disciplines. These two issues are interconnected. Thus, for example, while utilization of X...
h these combinations, new archival knowledge will continue to be both acquired and required. Technological solutions also need to be specific to be effective. Although the general theory and methodology of digital preservation applies to all digital records, the preservation solutions for different types of record...
he technologies employed for record-making and recordkeeping to ensure the best solutions are designed for preserving each type of record. Preservation policies that are expressed in terms of record requirements rather than technologies will be more stable, needing updates only if the record requirements change, r...
specific aggregations of records. The identified solutions must be monitored with regard to the possible need for modifying and updating. (P7) Preservation considerations should be embedded in all activities involved in each phase of the records lifecycle if their continuing authentic existence over the long term...
position (destruction or permanent preservation). It is essential for preservers who acquire digital records to understand that, differently from what is the case with traditional records, preservation is a continuous process that begins with the creation of the records. Analogue records are appraised for preservat...