Regulations regarding the Manner of Appraisal of Electronic Records, Procedures for the Storage thereof and Transfer to the State Archives for Storage

[15 March 2005]

Issued pursuant to
Section 6, Paragraph five of the Electronic Records Law

I. General Provisions

1. These Regulations prescribe the manner of appraisal of electronic records, the procedures for the storage thereof, and the time periods for the transfer of such records to the State archives for storage. These regulations apply to State and local government institutions and legal persons, which pursuant to regulatory enactments shall transfer the electronic records for State storage (hereinafter - institution).

[15 March 2005]

II. General Requirements for Appraisal of Electronic Records

2. The Directorate General of the State Archives and the State archives, in appraising an electronic record, shall perform an intellectual analysis thereof and a technical analysis of the information system.

3. In carrying out the intellectual analysis of an electronic record, the functions (in accordance with the methods approved by the Cabinet regarding the performance of functional institutional system analysis), activities or data and the content of the aggregate of records related thereto shall be appraised.

4. In performing a technical analysis of the information system, the technical aspects related to the circulation of the electronic record (for example, technical compatibility, safety, integrity, and authenticity) shall be appraised.

5. An electronic record shall be appraised at the stages of planning, design and introduction of an information system, during the process of the utilisation and maintenance of the information system, as well as when transferring the electronic record to the State archives for storage.

6. In appraising electronic records, the groups of records for long-term and permanent retention shall be determined. Only those records not yet archived, or archived records in which the information and data mentioned have not been summarised in the form of a summary in other records, or archived records in which the summarised information is so general, that it does not provide a full characterisation of the function or activity performed, shall be selected for long-term or permanent storage.

7. In performing the intellectual analysis of electronic records, in order to select records for long-term or permanent storage, the institution shall be take into account the following:

7.1. regulatory enactments that determine the disposal dates of records;

7.2. the condition that a record shall be utilised as evidence for the realisation and protection of a right; and

7.3. the condition that a record shall be utilised for ensuring the operation and succession of the institution.

III. Appraisal of Electronic Records at the Planning Stage and the Design Stage of an Information System

8. At the planning stage of an information system, the institution, pursuant to the functions for which the information system is intended to be used:

8.1. shall specify the electronic records and data to be included in the information system;

8.2. shall determine the disposal dates of electronic records; and

8.3. shall appraise the manner of storage of electronic records and the expenses required.

9. At the design stage of an information system, the institution shall co-ordinate with the State archives the electronic records and data to be included in the information system, the scope thereof and disposal dates.

10. In designing an information system, the institution shall provide opportunities for the capture of electronic records for long-term or permanent storage from the information system (the possibility to separately take out of the system and store as an independent unit) and the possibilities of migration or conversion to the data carrier or place intended for storage.

IV. Appraisal of Electronic Records at the Stage of Introduction of an Information System

11. At the introduction stage of an information system, the institution shall co-ordinate with the State archives the composition, scope and disposal dates of electronic records.

12. In order to select the groups of records to be transferred for storage into the State archives, the Directorate General of the State Archives, in co-operation with institutions, shall appraise the functions and classify them under the following categories of information systems:

12.1. Category A - control functions of policy-making, co-ordination, supervision and the execution of operations (Category-A functions ):

12.2. Category B - regulatory functions and functions of the supply of services (Category-B functions); and

12.3. Category C - support functions (Category-C functions).

13. Category-A records shall be accepted for permanent storage from Category-A information systems (records created while performing a Category-A function) and Category-B records (records created while performing a category-B function). Category-A records shall be accepted for permanent storage from Category-B information systems, however Category-B records shall be re-appraised, taking into account the significance and the expenses of storage thereof, and the records, which will be accepted for permanent and long-term storage shall be specified. Category-A records shall be taken or a representative selection shall be made upon appraisal for permanent and long-term storage from Category-C information systems

14. Category A, B and C information systems (in specific cases) shall be registered by the Directorate General of the State Archives for long-term or permanent storage and shall include them in the register created by the National Archives Fund of Latvia.

V. Appraisal of Electronic Records During the Process of Utilisation and Maintenance of an Information System

15. Institutions shall review the disposal dates for Category-B information systems:

15.1. before any migration, conversion or configuration changes to the information system; and

15.2. if there are any changes to regulatory enactments, the functions of the institution (the scope of the functions), operational priorities and amount of recorded data.

16. Changes in the disposal dates of electronic records and data shall be co-ordinated with the State archives.

17. All activities performed with electronic records and data to be archived shall be recorded by creating and supplementing the necessary metadata (Annex 1).

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VI. Appraisal of Electronic Records upon Transfer to the State Archives for Storage, and Disposal Dates of Records

18. The maximum disposal date of electronic records to be transferred to the State archives in the repository of the institution shall be five years, if it is not otherwise specified in regulatory enactments. If it is not possible to preserve an electronic record in the institution for five years due to the structure of the information system, the relevant record may be transferred to the State archives for storage before the referred to disposal date.

19. In appraising whether an electronic record should be transferred to the State archives for long-term or permanent preservation, the institution shall take into account the following criteria:

19.1. the electronic record records the formation of State policy and the processes of State administration;

19.2. the electronic record records the mutual relations of the State and its inhabitants, their interaction and the effect upon the environment;

19.3. the record has been used for more than 75 years for the performance of some activity, the implementation and defence of rights; and

19.4. storage expenses for the electronic record (depending on the type, structure and frequency of usage thereof) over a long-term period should be less than the expenses which could arise from any losses, if the electronic record is not preserved.

20. Institutions, together with a representative of the State archives, shall examine the recordation, which applies to the information system or the application software when transferring electronic records to the State archives for storage.

21. If the solutions applied in the formation of the information system have not previously been used in the field, the State archives, by decision of the Directorate General of the State Archives, shall accept for storage the entire information system.

22. In appraising electronic records, the State archives has the right to request the supplementation of the existing recordation in the following cases:

22.1. when the deletion of an information system or application software has been commenced;

22.2. when the structure of a database has been changed before transfer; and

22.3. the existing recordation is incomplete.

23. The obligation of the institution shall be to supplement the incomplete recordation at the request of the State archives.

24. The institution shall perform a control examination of the transfer of electronic records at the request of the State archives, in order to ensure that the State archives will be able to read the electronic records and data in the following cases:

24.1. a first transfer is being performed from an information system;

24.2. the equipment has been changed;

24.3. the configuration of the information system has been changed; or

24.4. a one-time transfer of electronic records is being performed.

25. If the annual transfer of records is being performed from the same information system, full recordation shall be added at the first transfer. If the information system is being changed, the necessary recordation shall be attached in addition.

VII. Storage of Electronic Records in the Storage Facility of an Institution

[15 March 2005]

26. In conformity with the volume and financing of electronic records to be transferred to the State archives for long-term and permanent storage, an institution shall establish an electronic record storage facility, which conforms to the requirements specified in Annex 2 of these Regulations, or shall enter into a contract with a relevant service provider regarding the storage of electronic records to be transferred to the archives and data until the transfer thereof to the State archives.

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27. If it is specified in regulatory enactments that the electronic records and data to be transferred to the State archives for long-term and permanent storage in the institution shall be stored for longer than five years, the institution shall establish a permanent storage facility, which conforms to the requirements specified in Annex 3 of these Regulations, or shall enter into a contract with a relevant service provider regarding the storage of electronic records to be in long-term and permanent storage until the transfer thereof to the State archives.

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28. An institution shall regularly, but not less often than once every five years copy the electronic records to be transferred to the State archives for long-term and permanent storage or transfer them to new information medium. After copying the quality of the new copy shall be examined and the relevant records shall again be evaluated.

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29. An institution shall perform supervision of the electronic records to be transferred to the State archives for long-term and permanent storage and shall examine the quality of 10-12% of the total records each year.

[15 March 2005]

Prime Minister E. Repše

Minister for Culture I. Rībena

Annex 1
Cabinet Regulation No. 117
2 March 2004

Samples of Metadata

1. Preservation metadata:

1.1. card index or an identifier;

1.2. data directory of a database;

1.3. structure of card index;

1.4. codification of data for the purposes of a database (with validity date for the codes);

1.5. primary source of codes;

1.6. data utilisation system;

1.7. versions and installation programme.

2. Description metadata:

2.1. title or name of the record;

2.2. short description of the content and establishment context;

2.3. information regarding the institution;

2.4. authors;

2.5. sender;

2.6. addressees;

2.7. establishment, conversion and selection date;

2.8. electronic format;

2.9. data language;

2.10. object of indexation: fond, series, file, record; and

2.11. place in the record classification plan of persons.

3. Management metadata:

3.1. the date of transfer of the data;

3.2. address of the location of the information;

3.3. information medium;

3.4. scope;

3.5. reproduction right;

3.6. accessibility; and

3.7. disposal dates.

Minister for Culture I. Rībena

Annex 2
Cabinet Regulation No. 117
2 March 2004

Requirements for a Storage Facility for Electronic Records to be Transferred to the State Archives for Long-Term and Permanent Storage if the Records are Stored by the Institution for Two to Five Years

1. The storage facility premises shall separated from premises accessible to visitors to the institution. The storage facility premises shall be ensured against any type of unauthorised access, intentional damage to the archive materials and unauthorised obtainment.

2. The storage facility shall be ensured with a microclimate appropriate to the information medium:

2.1. magnetic information media:

2.1.1. temperature 17-22 ^oC, permitted fluctuations ± 1 ^oC/24h; and

2.1.2. relative humidity 35-45%, permitted fluctuations ± 5%/24h; and

2.2. optical information media:

2.2.1. temperature 18-20 ^oC, permitted fluctuations ± 3 ^oC/24h; and

2.2.2. relative humidity 35-45%, permitted fluctuations ± 3%/24h.

3. In order to control the temperature and relative humidity, measuring equipment (humidity indicators or psychrometers and thermometers) shall be installed in the storage facility. The measuring equipment shall be installed at the main entrance near the shelves and in places where the microclimate may significantly differ (for example, near ventilation hatches, close to heating devices, and on outer walls).

4. The measuring equipments indicators shall be read each day. In conditioned premises the measurements shall be read twice a week.

5. Measuring equipment indicators, the results of examinations of the measuring equipment, and measures taken in order to stabilise the microclimate shall be recorded in a special registration journal. Once a year the precision of the measuring equipment shall be examined.

6. The storage facility shall be ensured protection against emergency circumstances (for example, floods, fire) in conformity with regulatory enactments regarding fire safety. Taking into account building standards, storage facilities shall be designed in conformity with the protection class C 60 D or R 60 D (LVS EN 1047-2:2001 "Secure storage units - Classification and methods of test for resistance to fire - Part 2: Data rooms and data containers").

7. If the archived records are stored in on-line regime, they shall be ensured logical protection. Premises in which servers are operated shall be ensured with the same physical protection as short-term storage facilities.

[15 march 2005]

Annex 3
Cabinet Regulation No. 117
2 March 2004

Requirements for a Storage Facility for Electronic Records to be Transferred to the State Archives for Long-Term and Permanent Storage if the Records are Stored by the Institution for longer than Five Years

1. The storage facility premises shall separated from premises accessible to visitors to the institution. The storage facility premises shall be ensured against any type of unauthorised access, intentional damage to the archive materials and unauthorised obtainment.

2. The storage facility shall have no windows. The storage facility shall utilise an air heating system with compulsory ventilation or air conditioning equipment.

3. The storage facility shall be ensured protection against emergency circumstances (for example, floods, fire) in conformity with regulatory enactments regarding fire safety. Taking into account building standards, storage facilities shall be designed in conformity with the protection class C 60 D or R 60 D (LVS EN 1047-2:2001 "Secure storage units - Classification and methods of test for resistance to fire - Part 2: Data rooms and data containers").

4. The storage facility shall have installed security and fire safety alarm systems. If a water heating system is utilised for heating, the storage facility shall be equipped with an alarm system, which reacts to water leakage.

5. The storage facility shall be ensured with a microclimate appropriate to the information medium:

5.1. magnetic information media:

5.1.1. temperature 5-10 ^oC, permitted fluctuations ± 1 ^oC/24h; and

5.1.2. relative humidity 30%, permitted fluctuations ± 5%/24h; and

5.2. optical information media:

5.2.1. temperature 19-13 ^oC, permitted fluctuations ± 1 ^oC/24h; and

5.2.2. relative humidity 30%, permitted fluctuations ± 3%/24h.

6. In order to control the temperature and relative humidity, measuring equipment (humidity indicators or psychrometers and thermometers) shall be installed in the storage facility. The measuring equipment shall be installed at the main entrance near the shelves and in places where the microclimate may significantly differ (for example, near ventilation hatches, close to heating devices, and on outer walls).

7. The measuring equipments indicators shall be read each day. In conditioned premises the measurements shall be read twice a week.

8. Measuring equipment indicators, the results of examinations of the measuring equipment, and measures taken in order to stabilise the microclimate shall be recorded in a special registration journal. Once a year the precision of the measuring equipment shall be examined.

9. The air quality in the storage facility shall be regularly controlled, and not less than twice a year examinations shall be performed in order to specify the amount of acidic and oxidising gas and dust in the air.

10. Filter systems shall be utilised in the supply of fresh air to storage facilities. The filters shall utilise such materials as are not harmful to records. The permissible volume of outside air total flow in summer and winter shall be up to 10% of the total amount of air, and in transition periods - up to 25%. Filters shall be cleaned twice a year.

11. In storage facilities where electronic records are stored in magnetic information media, the maximum permissible magnetic intensity is AC < 400 A/m and DC < 800 A/m.

12. The permissible illuminance level for optical information media is 42000 lx x h/year, magnetic information media - 600 000 lx x h/year.

13. Archived electronic records shall be stored in the following way:

13.1. optical information media - original packaging or placed in special containers; placed vertically in shelves;

13.2. tape-type magnetic information media - appropriate cassettes thereof or placed in special containers; placed vertically in shelves;

13.3. shelves shall placed not less than 0.7 m from walls, observing a one metre distance between rows of shelves;

13.4. the distance between a container and the next shelf shall be 25-50 mm; and

13.5. data archived in magnetic information media shall be stored in shelves, which are not made from ferro-magnetic materials.

14. If for the storage of information media safes are utilised, they shall conform to protection class S 120 DIS (LVS EN 1047-1:2001 "Secure storage units - Classification and methods of test for resistance to fire - Part 1: Data cabinets").

[15 March 2005]

Transitional Provisions Regarding Amendments to Cabinet Regulation No. 117 of 2 March 2004, Regulations regarding the Manner of Appraisal of Electronic Records, Procedures for the Storage thereof and Transfer to the State Archives for Storage

Transitional Provision

(regarding amending Cabinet Regulation No. 176 of 15 March 2005)

These Regulations shall come into force on 1 January 2006.

Translation © 2007 Tulkošanas un terminoloģijas centrs (Translation and Terminology Centre)