The continuing saga: Implementation of capstone for the Dutch Government Brussels, 2019, May 22

1. The continuing saga: Implementation of capstone for the Dutch Government Brussels, 2019, May 22

2. National Archives (NaNeth)

3. Email are records, of course ... sowhat’stheproblem? Vincent HooltConsultant recordkeeping vincent.hoolt@nationaalarchief.nl

4. Content Capstone approach Research and pilot: Results Andnow…status andplans Dilemma’s /questions

5. Capstone the Dutch way

6. Capstone: Approach

7. Research and pilot: results

8. Testing our approach • Project consisting of: • Two pilots • Research programme. • Project objectives: • Determineifthe new approach is compatible withlegalobligationsconcerning privacy, open government andarchivallaw • Assesstheimpact of the new approach concerningexistingaproaches, methodsand business processes, including (but not restrictedto) the National Archives • Find out which practical obstaclesexistand must beovercome in implementingthe new approach, suggestingsolutions/alterations

9. Research topics • Behaviour: the 10 weeks periodfor employees • Information of lastingvalue: selection of capstone officials • Record keeping: managing emailboxes in the National Archivescollection • Dealingwith issues of privacy and public access

10. 10 week period Results and conclusions Deletingbehaviourvariedwildly Filter non-relevant emailsnecessary Usededuplication Instructionsfor private messagesrequired. Stillamountsto 2% of allemails found. emailsare capturedwhichbecause of privacy protection of othersshouldbedestroyedandcertainlynotkeptfor 10 years

11. Information of lasting value: capstone officials • Somecapstone officials also have a lot of non relevant messages in theiremailboxes. • Focus on business management information withcapstonemailboxes. . • The emailbox of thefileholder is the best and most complete. • capstoneemailbox important for issues withpoliticalimplications, sudden media attention etc. (Chef Sachen)

12. Information of lasting value: capstone officials • additionalapproach is compatibilewithexistingrulesandmethodsforappraisal. • Emailboxes of capstone officials are tobeseen as complementary • Capstoneemailboxesmirrorthecommunicationsandinvolvements of the managers • Capstoneemailboxes are notbydefinitiontheprimarynodes of agencies’ communicationnetworks. • Individualagencies must have the opportunity toidentifyother employees as capstone officials • Guidelinesrequiredforrecognisingandappointingcapstoneofficials

13. Record keeping • How to manage digital silo’s consisting of manymillions email messages (includingattachments) • Currently no specificingestfor email workflow in usebythe National Archives • No specific acces and availability criteria definedandimplementedfor email accounts. • Email metadata not compliant with metadata standard for digital information

14. Recordkeeping Findings • It is possible to retrieve the information from emails and recreating the information of the email box, using only the existing metadata and content. • A Big Data Analytics Platform used for ‘search and find’ in the captured emails is very helpful. However care should be taken in how to display the information • There is only a limited risk of losing information through the usage of links (e.g. to the DMS) mostly files are attached instead. • Exchange is limited in export options, only .pst is possible. • Email and email boxes do not fit the standard expected for transfer to the National archives e-depot

15. Recordkeeping: conclusions Archivingby Design; changes to email programmesandusage. Furtherinvestigation : ingestandarchive email Forgetarchivaltheory of order. Provide context of thecapstone official Yearly transfers of mail required Format of email Handling of links in email (e.g. to DMS) Wishes of researcher needfurtherinvestigation. Autoclassificationand AI are thefuture We’renot ready yet! Changes required.

16. Dealingwith issues of privacy and public access • Privacy is a minefield • No legalobstacle • Whatremains : • Trust issues • Reorganizingprocessesandmethods • Keep aneye on demandsfrom public andpolitics

17. Looking at allthis, I thinkwe’re well underway … Status and plans

18. Workflow email: from receipt to collection Creator/ Organisation National Archives

19. Capstone: The way forward • No practical implementation yet • Project started to: • Create standard procedures for the selection of Capstone officials • Guidance on what is a record in e-mail • Template privacy assessment • Implementation toolbox for departments • Development of “solution”

20. Capstone Issues • Responsibility Organisations vs. Responsibility Project • Development of a solution prototype: • Use cases • Functionality exchange • Minimal Viable Product vs. Ideal state • Retention of knowledge

21. Capstone: Role National Archives • Participation project: • Project National Archives to: • Ingest email • Manage and preserve email • Present email

22. Project National Archives Issues • Looking forward in time: 10 years from now • Specification of Generic solution not yet available • To each its own: multiple solutions to support • Ingest of email • Presentation of email

24. Dilemma’s

25. Dilemma’s / Questions Shouldyouproceedwith a capstone approach? What is the proper context for email? Account File /process How andwhere do we manage and preserve email, short-term and long-term? How do we present email?