Electronic Records Management Guidelines, Digital Media

Electronic Records Management Guidelines

Digital Media

Summary

On-going and rapid advances in technology dictate that you store your "A record created, generated, sent, communicated, received, or stored by electronic means" (Minnesota Statutes, section 305L.02). electronic records on media that enable you to meet your long-term operational and legal requirements. Legally, your 1. According to the State of Minnesota, an item that documents an official government transaction or action.
2. "All cards, correspondence, disks, maps, memoranda, microfilm, papers, photographs, recordings, reports, tapes, writings and other data, information or documentary material, regardless of physical form or characteristics, storage media or condition of use, made or received by an officer or agency of the state and an officer or agency of a county, city, town, school, district, municipal, subdivision or corporation or other public authority or political entity within the state pursuant to state law or in connection with the translation of public business by an officer or agency… The term 'records' excludes data and information that does not become part of an official translation, library and museum material made or acquired and kept solely for reference or exhibit purpose, extra copies of documents kept only for convenience of reference and stock of publications and process documents, and bond, coupons, or other obligations or evidence of indebtedness, the destruction or other disposition of which is governed by other laws" (Minnesota Statutes, section 138.17, subd.1).
3. "Information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form" (Minnesota Statutes, section 325L.02). records must be trustworthy, complete, accessible, legally admissible in court, and durable for as long as you need them. Because every digital storage option will eventually become obsolete, consider digital storage options that will enable you to maintain records by migrating and/or converting them during their required retention period.

Legal Framework
For more information on the legal framework you must consider when selecting digital storage media, refer to the Introduction and Appendix D of the Trustworthy Information Systems Handbook. Also review the requirements of:

Official Records Act (Minnesota Statutes, Chapter 15.17) (available at: http://www.revisor.leg.state.mn.us/stats/15/17.html), which mandates that government agencies must keep records to fulfill the obligations of accountability and stipulates that the medium must enable the records to be permanent. It further stipulates that you can copy a record and that the copy, if trustworthy, will be legally admissible in court.
Records Management Act (Minnesota Statutes, Chapter 138.17) (available at: http://www.revisor.leg.state.mn.us/stats/138/17.html), which establishes the Records Disposition Panel to oversee the orderly Either the destruction of a record or the transfer of the record to the Minnesota State Archives. disposition of records using approved records retention schedules.
Minnesota Government Data Practices Act (MGDPA) (Minnesota Statutes, Chapter 13) (available at: http://www.revisor.leg.state.mn.us/stats/13/), which mandates that government records should be accessible to the public, unless categorized as not-public by the state legislature.
Uniform Electronic Transactions Act (UETA) (Minnesota Statutes, Chapter 325L) (available at: http://www.revisor.leg.state.mn.us/stats/325L) and Electronic Signatures in Global and National Commerce (E-Sign), a federal law (available at: http://thomas.loc.gov/cgi-bin/query/z?c106:S.761:). Both UETA and E-Sign address the issue of the legal admissibility of electronic records created in a trustworthy manner and address the issue of applying a paper-oriented legal system to electronic records.

Key Concepts

Before you determine which digital media will meet your long-term legal and operational needs, familiarize yourself with the following key concepts:

Digital data
Sequential versus random access
Storage measurement
Media life expectancy
Magnetic media
Optical media
Performance issues

Digital data
Your electronic records are Data that consists, at its most basic level, of just 0s and 1s. digital data that are stored on digital media. Digital data exists, at its most basic level, as just 0 and 1, or on and off. For example, black and white photographs in the newspaper are printed as a series of either black or white dots (0 or 1, on or off). The complex organization of a large number of dots allows the human eye to complete the image. The digital data in an electronic record uses the same principle to organize digital data into the record to make the record readable. A The smallest discrete units of digital data. Short for binary digit. bit (short for binary digit) is the smallest unit of data in a computer. A bit has a single binary value, either 0 or 1.

Digital data is stored on digital media. Digital media are divided into two types:

Magnetic. On magnetic media, the digital data is encoded as microscopic magnetized needles on the surface of the medium (e.g., disk or tape).
Optical. On optical media, the digital data is encoded by creating microscopic holes in the surface of the medium (e.g., disk).

For more information on the storage of digital media to preserve longevity, refer to the Storage Facilities and Procedures guidelines.

Sequential versus random access
Access to digital "Data, text, images, sounds, codes, computer programs, software, databases, or the like" (Minnesota Statutes, section 325L.02). information on digital media is divided into two types:

Sequential. Sequential access requires the user to access specific information by accessing the preceding information on the medium. For example, if you want to view a specific portion of a videotape, you must first fast-forward through the preceding portion of the videotape.
Random. Some digital media allow users to access the stored information from any physical place on the media. For example, when you put a disk into your personal computer's disk drive, you can access any single file stored on the disk without having to first access all the files that precede it.

Storage measurement
The storage capacity of digital media is measured in Eight consecutive bits of digital data. bytes, the basic unit of measurement:

1,024 bytes make a kilobyte (KB)
1,024 KBs make a megabyte (MB)
1,024 MBs make a gigabyte (GB)
1,024 GBs make a terabyte (TB)

For example, a one-page, text-only letter might be 20 KB, a graphics file might be 200 KB, and a fifty-page, desktop-published document with graphics might be 2 MB.

Media Life Expectancy
All storage media have finite life spans which are dependent on a number of factors, including manufacturing quality, age and condition before recording, handling and maintenance, frequency of access, and storage conditions. Studies have indicated that under optimal conditions, the life expectancy of magnetic media ranges from 10 to 20 years for different types, while optical media may last as long as 30 years. However, in real life situations, most media life expectancies are significantly less.

Magnetic Media
Magnetic media include:

Magnetic disk. Magnetic disks include the hard disk found in your computer that stores the programs and files you work with daily. Magnetic disks provide random access. Also included are:
- Removable hard disk. These disks are encased in a plastic housing that allows them to be inserted and removed from a processor. In this way, a single processor can have access to the data on multiple hard drives.
- Removable disk. Removable disks include the relatively small-capacity floppy disks, as well as the larger-capacity peripheral disks, such as the Iomega Zip disks.
- Cartridge. Removable cartridges contain disks encased in a metal or plastic casing for easy insertion and removal.
Magnetic tape. Magnetic tapes come in reel-to-reel, as well as cartridge format (encased in a housing for ease of use). The two main advantages of magnetic tapes are their relatively low cost and their large storage capacities (up to several gigabytes). Magnetic tapes provide sequential access to stored information, which is slower than the random access of magnetic disks. Magnetic tapes are a common choice for long-term storage or the transport of large volumes of information.
Digital audio tape (DAT). DATs are in a cartridge format a little larger than a credit card. The industry standard for DAT cartridge format is a digital data storage (DDS) cartridge. DDS cartridges provide sequential access.
Videotape. Videotape provides sequential access to video footage (e.g., feature films).

Optical Media
Optical media options include:

Compact Disk (CD). Compact disks come in a variety of formats. These formats include CD-ROMs that are read-only, CD-Rs that you can write to once and are then read-only, and CD-RWs that you can write to in multiple sessions.
Write-Once, Read-Many (WORM) disk. WORM disks require a specific WORM disk drive to enable the user to write or read the disk. WORM disks function the same as CD-R disks.
Erasable optical (EO) disk. The user can write to, read from, and erase from EO disks as often as they can magnetic disks. EO disks require special hardware.
Digital versatile disk (DVD). These disks are also called digital video disks, but do not necessarily include video. DVD disks are new types of optical disks with more storage capacity than CD-ROMs. DVDs can hold between 4.7 GB and 17.0 GB of data. Common types of DVDs include:
- DVD video. These DVDs provide a format for showing full-length films using a special DVD player connected to a television set. DVD videos contain a scrambling system that prevents users from copying the contents.
- DVD-ROM. These DVDs are read-only disks that also have enough storage capacity for a full-length feature film. They are accessed using a special DVD drive attached to a personal computer. Most of these drives are The ability of a software program or piece of hardware to read files in previous versions of the software or hardware. backward-compatible with CD-ROMs and can play DVD video disks.
- DVD-RAM. These DVDs are rewritable disks with exceptional storage capacity of up to 2.6 GB per side, and come in one- or two-sided formats.
- DVD+RW. DVD+RW is a direct competitor to DVD-RAM with similar functionality and slightly greater storage capacity.

Note: DVD-RAM and DVD+RW are not compatible. The two technologies are being developed by competing vendors and require different hardware.

Optical cards. Optical cards, also known as "smart cards," are the size of a credit card. They come in read-only and read-write formats. They are not in widespread use except for limited applications, such as automatic teller machines, personal identification for security systems, and airline reservations.
Optical tape. Optical tape is tape coated with optical recording material. Optical tape is not widely used.

Performance Issues
As you discuss your digital media options, consider each option's performance characteristics in terms of your The planning, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance, use, and disposition of records. See also Recordkeeping. records management needs.

Speed of access. Consider how quickly you or authorized members of the public may need to access your records. You may find that some types of records require fast access, while others do not. For example, you may need fast access to key policy decisions, but not to employee records.
Capacity. The volume of records that you can store on the medium will be a key consideration. Examine the volume of the records you now store, and try to determine what your needs may be in the future. Consider the official definition of a record and whether that definition will affect the records volume that you need to manage. For example, you may anticipate greater use of Electronic correspondence sent from one user to one or more recipients. e-mail and the expansion of your web site, which would affect the capacity that you need.
Longevity. Research how long the industry will support various media options and compare those figures with the time period that you need to keep your records according to the approved records retention schedule. You may find a medium that meets all your needs, but is not widely used or has a high risk of becoming obsolete, thereby limiting its usefulness in the future.
Durability. Research how easily a given medium can be damaged or will deteriorate. You may find that a medium that deteriorates after three years will still be a suitable option for records that need to be retained for only one year. Be sure to review your The length of time a given records series must be kept, expressed as either a time period (e.g., four years), an event or action (e.g., audit), or a combination (e.g., six months after audit). records retention periods.
Versatility. If your records contain multiple file formats (as described in the File Formats guidelines), research how many file formats a medium can store. For example, a floppy disk cannot store large graphics files, but a CD or a DVD can store graphics, text, audio files, or video files.
Portability. Determine how portable your stored records should be. Some media, such as DVD-ROMs, are very portable, while hard disks in a computer processor are not. You should also consider whether you will need special devices to read the records. For example, not many organizations are equipped with DVD-ROM players. Consider who will be accessing your records. For example, will the public, the press, or other agencies frequently access your records?
Compatibility. Assess the backward and forward compatibility of the digital media you are considering. For example, DVD-ROM drives are backward-compatible for CD-ROMs, but a CD-ROM drive is not The ability of a software program to create files that can be read by more advanced versions of the software. forward-compatible for DVD-ROMs. This discussion will help you to determine how often you may need to upgrade supporting computer systems, migrate records, and/or convert records.
Cost. Assess the costs and benefits of each medium you consider. Be sure to discuss the costs of converting and/or migrating records, as well as the basic costs of the system.

Summary
Table 1 summarizes the capacity of the basic digital media options. Research the specific medium and manufacturer for exact specifications, including cost. Because of rapid technology developments in a highly competitive market, the costs for each option change frequently.

Table 1: Storage Capacity of Digital Media Options

Medium	Capacity (Uncompressed)
Magnetic Media
Removable hard disk	10 GB
Removable disk	1.44-120 MB
Cartridge	10-30 GB
Magnetic Tape	20-180 MB
DAT	24+ GB
Videotape	Up to 8 hours of video
Optical Media
CD	650 to 800 MB
Worm (CD-R)	650 to 800 MB
EO	650 to 800 MB
DVD	4.7-17GB

Key Issues to Consider

Now that you are familiar with some of the basic concepts and options of digital storage media, you can use the questions below to discuss how those concepts relate to your agency.

Pay special attention to the questions posed by the legal framework, including the required records retention periods. Examine your current and future records series. Some records series may require large storage capacities, may need to be retained for a long time, or may be frequently accessed by the public, other agencies, or other groups. Prioritizing your needs in light of the legal requirements will help you narrow your discussion and focus your research.

The point is to determine the best option for your agency that meets your legal and operational needs, not merely to automatically upgrade technology. For example, if you are currently using magnetic tape, you may discover that magnetic tape remains your best choice.

Discussion Questions

What types of records do we need to store (e.g., graphics, text, database text)? What file formats? How large are our record files?
Which performance issues are most important in our situation?
How long do we need to retain the records?
How often will we need to access the records?
Will all records or specific records series be frequently accessed by the public or other groups?
How well do our current media meet our needs? What costs would be incurred for supplies, equipment, and training that would be required if we were to switch to or add a new storage medium?
Are any of the media we are considering expected to become obsolete in the near future? Will the medium, as well as the necessary hardware and software, still be available from a number of suppliers for as long as we need? Has the developer defined a Moving files to another computer platform which may require changing their formats. migration path for improved versions of the medium?

Download a copy of the Digital Media Key Issues to Consider and Discussion Questions.

Digital Media, Annotated List of Resources

Go to Table of Contents

Electronic Records Management Guidelines, March 2004, Version 4.