Long-term preservation of legally significant electronic document

Должность: главный научный сотрудник
Аффилиация: Федеральный исследовательский центр «Информатика и управление» Российской академии наук
Адрес: Российская Федерация, Москва, ул.Вавилова, 44, к.2

Название журнала

Law & Digital Technologies

Выпуск

Том 2 №2

Страницы

9-17

Аннотация

The article discusses the problem of ensuring the long-term preservation of legally significant electronic documents (LSED). An overview of the problem and existing options for solving it are provided in the article. The paper frames a formal problem of ensuring the long-term preservation of legally significant electronic documents as an optimal control problem under conditions of parametric disturbances. This study briefly outlines the problems that arise when organizing the long-term preservation of electronic documents. The author also proposes documents safety indicators through documents and mathematical models for assessmentof the overall document safety. The study has resulted in development of algorithms that allow, being implemented in the form of software and hardware, to control and organize security. Examples of the practical implementation of the proposed approaches within the framework of large information systems are provided alongside with their advantages. Implementation of suggested approaches can potentially make it possible to comprehensively solve the important scientific and technical problem of organizing the long-term preservation of legally significant electronic documents. At the end of the article, further prospects for research aimed at solving the problem of long-term preservation of big data and systems built using distributed ledger technologies are identified.

Ключевые слова

long-term preservation, legal significance, electronic document, distributed registries, authenticity, interpretability, stability, reliability

Получено

18.01.2023

Дата публикации

03.02.2023

Кол-во символов

30084

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ГОСТ	Соловьев А. В. Long-term preservation of legally significant electronic document // Law & Digital Technologies – 2023. – Tом 2. – №2 C. 9-17 [Электронный ресурс]. URL: https://ldt-journal.com/S278229070024080-4-1 (дата обращения: 03.05.2024). DOI: 10.18254/S278229070024080-4
MLA	Solovyev, Alexander "Long-term preservation of legally significant electronic document." Law & Digital Technologies 2.№2 (2023):9-17. DOI: 10.18254/S278229070024080-4
APA	Solovyev A. (2023). Long-term preservation of legally significant electronic document. Law & Digital Technologies 2(№2), pp.9-17 DOI: 10.18254/S278229070024080-4

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1	Introduction Electronic documents have been gradually entering our personal and professional lives becoming legally significant. An experiment launched in November 2022 allowed the use of electronic driver’s license for personal verification. Another experiment for the use of electronic vehicle registration certificate for verification has been successfully running for 2 years.
2	Preceding the experiment described above, on December 27^th 2019, a new federal law No. 480-FZ “On Amending the Fundamentals of the Legislation of the Russian Federation on Notaries and Certain Legislative Acts of the Russian Federation” came into force, allowing, per Article 44.2, “a document certified, completed or issued by a notary in electronic form to be signed by a qualified electronic signature notary."
3	The newly introduced federal law shows the legal significance of electronic documents which are gradually acquiring legal significance and become “a document to act as confirmation of business activity or personal events” (see GOST R 7.0.8-2013. “National Standard of the Russian Federation. System of standards for information, librarianship, and publishing. Office work and archival business. Terms and definitions”).
4	In addition, according to the Digital Economy Program of the Russian Federation (see Program “Digital Economy of the Russian Federation”. Approved by the order of the Government of the Russian Federation at July 28, 2017. № 1632-r. M.:2017. Page 1), “digital data is a key factor in production in all areas of socio-economic activity.” Since the digital economy directly implies the exchange of digital data between the state and theindustry, the state and citizens, as well as the individual citizens, digital data exchange involves transmission of legally significant electronic documents.
5	However, legal documents digital exchange entails a number of significant issues, such as long-term preservation of electronic documents. The safe storage requirements for legally significant electronic documents that need to be stored for years or decades, are certainly high. The validity of a driver's license, for example, is 10 years, while the validity of a vehicle registration certificate can be measured in decades.
6	Electronic documents (ED) stored in the digital form (both in software and hardware) are kept in a dynamic digital environment, however, they must be authentic, and interpreted and protected over the entire storage period. The contradiction between fast-changing digital space and safety requirements determines the need for scientific and technical solution to ensure the long-term preservation of legally significant electronic documents (LSED).
7	Some key terms are defined below. Document is a structured piece of information, which is a set of interrelated semantic blocks. ED is a document, with the semantic blocks and the relationships between them presented in digital form. Semantic blocks are fragments of ED, separated by semantic content. Literature and Problem Rewiev It should be noted that attempts to solve the problem of long-term preservation of the LSED have been actively undertaken both in the Russian Federation and abroad. To verify the relevance of the problem posed, we will consider the existing LSED safety methods and contemporary approaches.
8	The experience of the National Archives and Records Administration (NARA), the world's largest repository of electronic documents, in organizing long-term storage is a significant step in developing solutions to the problem (O. I. Ryskov 2005, 76). The US State Department and the Pentagon annually transfer tens of millions of electronic documents to NARA for long-term storage. This alone suggests that NARA stores extraordinary LSED documentsof great value (L. P. Afanasyeva 2005, 114). The extensive experience of NARA repository has made it possible to create consistent standards for storing ED, such as: 1) the MARC bibliographic format, 2) the format for storing and converting EDs on optical discs ODISS, 3) the GSA 6710 A archival description format, 4) the open standard of coded archival description of ED (EAD - Encoded Archival Description based on XML O. I. Ryskov 2004; US National Archives Blog 2019). In 2017, NARA released the Universal Electronic Records Management Requirements document. The provisions of this document are recommended to be used by employees of US federal agencies for writing technical specifications for ED management services (U.S. National Archives and Records Administration 2017 a). Since 2005, NARA has been making efforts to create tools and methods for the long-term storage of ED, and succeeded to create a network of more than 20 NARA controlled server clusters across the US to store EDs These measures are expected to protect the EDs from loss, substitution or forgery (Miller n. d.). In addition, a full-text search function for stored Eds is currently in development (Lipowicz n. d.). However, the experience of NARA helped identify the main problems arising from the need for long-term storage of EDs. The first problem is a considerable number of computer ED formats that creates a risk of misinterpreting ( misreading) EDs after a long time. Despite the long functioning of electronic archives in NARA, it has become apparent that the problem of interpretability has not been considered at the development start (Carlstrom 2017). The second problem is technological and technical aging of information carriers. Many EDs were transferred directly to NARA through electronic media that subsequently could not be reproduced (Carlstrom 2017). The third problem is the risk of losing the semantics of the transferred documents, and their separation from the context of their creation and related documents. In 2017, the NARA leadership announced the creation of a new storage model for presidential EDsaccumulating more than 250 TB per year (U.S. National Archives and Records Administration 2017 b). To partially solve the problems of interpretability and loss of semantics, the NARA leadership decided to accept ED for storage only together with descriptive metadata effective from January 1^st 2023 (U.S. National Archives and Records Administration 2017 c). Following NARA, the National Archives of Great Britain have been actively involved in solving the LSED long-term preservation problem. In 2017, the UK National Archives introduced a strategy for newly created solutions to that allows the long-term preservation of documents transferred from LSED government agencies (Suvorovtseva 2017). However, the recent attempts also ran into the problems of long-term preservation described above, thus no technical solution has been created (UK Open Government Partnership 2013). Nevertheless, the efforts to create a software and hardware solution for ensuring the long-term preservation of ED resulted in development of a number of regulatory documents. One of the most famous regulatory documents, [add the name of the document?] [14], regulates: the procedure for managing access to ED, including audit issues, moving ED, logging operations with ED, managing backup ED (Office for Official Publications of the European Communities n. d.). It is worth notingthat neither in the US nor in the UK the electronic signature mechanism is used when organizing long-term preservation,. Protection of ED from distortions is ensured by multiple geographically distributed duplication storages of EDs, which, in turn, leads to an increase in the cost of the storage system hardware component. A slightly different approach is offered by the German archives for organizing the long-term preservation of the LSED.For example, the Federal Agency for Security in Informatics (2015) (Bundesamt für Sicherheit in der Informationstechnik (BSI, Germany)) has prepared a document called Technical Guide BSI TR-03125. The document provides recommendations for the long-term LSED storage certified by an electronic signature (ES) to ensure authenticity, integrity, and confidentiality. It is important that the ES protection of the LSED has disadvantages associated with changing cryptographic protection technologies, as well as the 5 year maximum validity period of ES certificates (see 63-FZ "On Electronic Signature"). Other countries are also looking into solving the problem of long-term preservation: one of the leaders here is the Australian National Archives, which has proposed an approach to long-term storage of ED based on “document normalization”, i.e. bringing them to a single digital format when transferring to long-term storage (Netwerk Digitaal Erfgoed n.d.). This approach seems promising but risks of ED distortion during normalization should be considered. There are also recent examples from other countries, such as Denmark, France and New Zealand, however, the detail review is out of scope of this article. In the Russian Federation, the issue of ED long-term preservation has been dealt with relatively recently. Currently, Rosarkhiv in collaboration with the All-Russian Research Institute of Records Management and Archiving (VNIIDAD 2013), is developing recommendations for regulation of the organization of ED long-term storage . Among others, these recommendations prescribe the normalization of ED during long-term storage in the PDF/A-1 format, which, however, immediately reduces the number of storage formats to a single strictly defined version (see VNIIDAD 2013, Page 10). Given that the developer of the format is in US jurisdiction (Adobe Systems Inc., USA), despite the fact that the format is open, this may cause risks of supporting both the format itself and its interpretation tools (see ISO 19005-1:2005). From the review above, it can be seen that even though the problem of LSED long-term preservation is current and relevant, there is still no universal replicable software and hardware solution that ensures the LSWD safety. There are several reasons why the technical solution has not yet been developed: the interdisciplinary nature of the problem (solution required is not entirely technical) the lack of systematic approach to solving the problems of LSED long-term preservation not all problems of long-term preservation are fully anticipated, studied and systematized; the lack of methodology for monitoring the LSED safety parameters. Nevertheless, based on the literaturereview, it is possible to formulate the main problems of long-term preservation of the LSED: the problem of authenticity (immutability); problem of interpretability (readability, visualization); the problem of changing (aging) the software and hardware storage environment; the problem of reliability of the software and hardware storage environment; the problem of information security of the software and hardware storage environment.

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Long-term preservation of legally significant electronic document

Оглавление

Introduction

Literature and Problem Rewiev