Life cycle of files
The term lifecycle of files found its way into German usage in the 1990s and comes from the Life Cycle Concept that was predominant in state archives in the USA and Canada in the 1980s . In its original sense, the term life cycle referred to both analogue and digital documents , although it can be observed that today it plays a role primarily in the area of digital documents.
Life cycle of analog files
The Life Cycle Concept provides for continuous maintenance and control of the archive throughout the entire life cycle in order to facilitate and ensure a possible takeover from the start. In general, a subdivision is made into four phases:
| phase | Explanation |
|---|---|
| 1 | The file is newly created or is received by an authority as an existing file. |
| 2 | Active phase in which it is used for ongoing processing. |
| 3 | In the semi-active phase, the file is barely used or not used at all and is kept in the registry or the old registry. |
| 4th | Destruction or archiving. A decision on cassation or takeover is made by the responsible archive. |
Electronic file life cycle
Problem
In the case of conventional documents, the archive is only included when it is accepted. This is not a problem because the content and context can usually still be recognized or reconstructed afterwards. In the electronic field, however, this is generally not possible without special precautions. Unattended and neglected electronic documents also run the risk of being lost. It is therefore necessary to consider the entire life cycle of an electronic file and to consider whether it is to be removed or taken over when it is created.
Need for metadata
Metadata play a crucial role in structuring the life cycle of an electronic document. They should describe files, processes and documents in terms of content and reveal a connection between things that belong together. They should therefore enable the understanding and processing of the written material. With the help of metadata, deadlines should also be set and processes should be initiated and controlled. They ensure the reliability and authenticity of the document.
Aim of a structured life cycle
A continuous and controlled life cycle of an electronic document, from the system to its disposal or takeover, is intended to guarantee permanent and secure archiving. All information relevant to the decision must be in a meaningful context. In addition, the electronic files in the old registry should continue to be accessed and processes, if necessary, revived and processed further. Ultimately, a process monitored in this way results in the possibility of correct and, above all, automated removal. At the same time, this makes it possible to maintain clarity both in the files that are still in use and in the electronic old registry .
Four phases of the life cycle
Four phases of life are also distinguished for electronic documents, which, however, differ significantly from those of an analogue one.
Phase I: New creation of a file / a process / a document. Metadata must already be specified in this phase; the "retention period", "type of disposal" and "transfer period" are essential.
- Retention period: It is determined for what period of time files / processes / documents that have already been processed are to be retained by the management office. These deadlines can either be specified by legal and administrative regulations or can be assigned by the record-keeping body at its own discretion. Documents without a deadline cannot be sorted out and burden the system or reduce the clarity. A mandatory deadline is intended to make a time-consuming individual check of readiness for disposal unnecessary.
- Type of disposal: Since a disposal must be based on an archival evaluation , this metadata may only be specified by the responsible archive. You can choose between destruction or delivery to the archive.
- Transfer period: It is given for technical reasons and is intended to ensure readability and availability even with long retention periods. It shows how long a closed file / a closed process / a closed document has been in its original format and how long it can be processed again. When the transfer deadline expires, the transfer into a long-term stable format such as PDF / A or TIFF must be carried out or this is done automatically in the background of the system. This format migration usually results in functional losses, for example full-text research is not possible with TIFF files, copying out of a PDF / A document and resuming editing is impractical. The transfer deadline therefore also indicates from when the loss of function due to infrequent recourse to the documents (usually two to three years after the closure) is acceptable. Ideally, the conversion should already take place at the agency in order to save the data as early as possible.
When the file is closed, the "to-the-files" disposal (zdA) takes place. This must be entered manually and should be done promptly, since deadlines can only begin with documents that have been ordered by the ZdA and disposal processes to relieve the system can be initiated. The zdA ruling marks the end of phase II and the beginning of phase III.
Phase II: With the zdA ruling, the process is considered to have been processed and completed, so that the documents can be filed in a revision-proof manner. From this point in time, the transfer period begins, during which further processing of the document that is still in the original format is possible. If there is no further processing, phase II ends with the relocation to the old registry.
Phase III: This is an intermediate step that can vary depending on the system and the amount of data. Basically, this phase represents a relief of the active document inventory and means an outsourcing of the completed processes to other storage.
Phase IV: It begins with the expiry of the retention period and means submitting the document to the responsible archive or destroying it. For the separation, constant cooperation between the issuing or separating body and the archive is necessary. The system uses the "retention period" metadata to determine which documents have expired. The so-called four-stage process and the two-stage process are available for the further procedure.
Vierstufiges Verfahren:
- In the first step, an electronic list of offers is generated on the basis of the expired retention periods, with the exception of those files for which the responsible archive has already issued a general approval for destruction.
- The next step is to read this list into the archive system and give it an evaluation decision. "A" for "archive", "B" for "assess" and "V" for "destroy" are suitable for this. An evaluation list has thus emerged from the list of offers and is sent back as such to the office in charge of the files.
- The assessment register is read into the authority's system. The documents marked with a "V" and the documents assessed as not worth archiving ("B") will be deleted, for which appropriate evidence must be provided.
- Together with the necessary metadata and an electronic submission directory, the remaining processes are taken over by the archive. A deletion of these processes at the authority is only to be carried out if the archive has certified the successful takeover.
The constant reading in and out of the various systems of the departments involved means a high level of personnel and organizational effort. The two-step procedure simplifies these processes.
Zweistufiges Verfahren:
Even before the separation, the archive defines a type of separation with an evaluation catalog and transfers it to the authority's system. As soon as the retention period has expired, the further procedure automatically takes place in the second step according to the type of disposal already specified.
Ultimately, with the help of metadata, more detailed information about the submitting office, the content and the duration (for example under "Submission") must be made and transferred to the archive. Under "Filing plan" information about the filing plan used must be given.