Legal Archiving and Qualified Electronic Archiving for Legal Compliance
Legal proceedings and compliance are often interwoven with the critical task of archiving. Legal archiving is not just about stacking files or securing digital data on a server. It’s about preserving the authenticity and integrity of information that might one day be pivotal in a court of law. This post provides an essential understanding of legal archiving. It introduces you to Qualified Electronic Archiving (QeA), a necessity under the legislative framework in places like Belgium and increasingly across Europe. Legal Archiving: Ensuring Information Authenticity and Retention Management What is Legal Archiving? Legal archiving refers to safeguarding information so that its authenticity can be established and its retention period can be effectively managed. It requires a systematic approach to document management so that the authenticity can be proven and retained afterwards. Legal archiving does not have a universal certification that stamps a solution as fail-proof, contrary to qualified electronic archiving. In the wake of litigation, only an expert’s scrutinous analysis and conclusions can affirm if the information has been preserved in line with legal standards. The Role of Document Management Solutions Document management and records management solutions are the contemporary custodians of legal documents. They ensure you can retrieve documents in their original form, evidencing their originality and conformity to legal requirements. Whether you deal in contracts, agreements, case files, or compliance documentation, a robust solution is integral to your legal toolkit. Despite the robust nature of document management and records management solutions, it’s crucial to recognise their limitations in legal safeguarding. While indispensable for organising and preserving documents, these systems only fulfil some criteria for a qualified electronic archive (QeA). Specifically, they lack the certification to store electronic signatures and stamps legally. This is a significant shortfall because e-signatures and digital stamps are becoming increasingly central in legal and business transactions. The absence of this qualification means that, in a legal scenario, documents preserved in these systems might not hold the requisite legal standing, especially when the authenticity of electronic endorsements is called into question. Therefore, while document management solutions are critical for day-to-day operations, they must be more than just relied upon for the comprehensive legal archiving of documents, particularly those bearing e-signatures and digital stamps. The Era of Qualified Electronic Archiving (QeA) In regions like Belgium, the Digital Act made it mandatory for specific types of information to be archived using a QeA solution. More compelling is the anticipated roll-out of this requirement for other kinds of information across Europe, fueled by the eIDAS (Electronic Identification, Authentication and Trust Services) regulation. Under this regulation, electronic services, including archiving, are required to meet specific standards of verification and security. Unlike standard document management solutions, a QeA solution carries a certification badge. Only certified solutions can comply with the stringent guidelines for electronic archiving. Non-certified solutions offer some assurance but can’t guarantee adherence to regulatory expectations. One of the landmark advantages of using a qualified solution is the reversal of the burden of proof. This means that if a dispute arises concerning the authenticity of a document, it’s the court’s responsibility to prove its legitimacy. This reversal is a fundamental shift in legal dynamics, offering a basis for legal certainty when QeA systems are employed. Who Needs to Be QeA-Compliant? Awareness of the niche requirements of QeA is imperative for legal and compliance officers across sectors. Whether you operate in finance, healthcare, real estate, technology, or within governmental agencies, ensuring that your electronic archiving system meets these criteria is not only about being compliant; it’s about being prepared for any legal scrutiny that may come your way. Archive Requirements Compliance is non-negotiable; numerous international and regional standards dictate how legal archiving should be managed. Let’s explore some of the most influential directives in the field: ISO (International Organization for Standardization) Regulations ISO standards serve as a bedrock for establishing a reliable framework for archiving practices. Crucial to the discussion are ISO 9001 and the ISO 30300 series. Here’s a brief overview of their implications for legal archiving: ISO 9001: Quality Management Systems Application: ISO 9001 outlines principles for quality management that ensure legal archiving processes are consistent, efficient, and traceable. Compliance: Adhering to ISO 9001 helps organisations demonstrate their ability to provide services that meet customer and regulatory requirements. ISO 30300 Series: Records Management System Purpose: It specifies requirements for a records management system, guiding the creation, capture, and preservation of records. Implementation: Organisations must establish policies and objectives for records management, catering to regulatory archiving demands. GDPR (General Data Protection Regulation) Regulations Personal Data Management: GDPR requires an organisation’s archiving processes to align with rigid requisites to protect individual rights. Data Retention: Archives under GDPR must be kept only as long as necessary to protect the rights of the individuals to whom the data pertains. eIDAS (Electronic Identification, Authentication and Trust Services) Regulations eIDAS sets the stage for standardised regulation across electronic identifications and trust services, especially for digitally archived documents. Framework: eIDAS defines conditions for secure and seamless electronic interactions between businesses, citizens, and public authorities. Legal Acceptability: Ensures the legal recognition of electronic signatures, which is integral to the validity of archived electronic documents. ETSI Standards ETSI dictates the technical standards to which compliance is essential for archiving electronic documents, particularly concerning eIDAS. Technical Specifications: Covers the stipulations for digital signatures and ensures their validity over time, which is crucial for document authentication. Trustworthiness: Demonstrates the integrity of electronic signatures, proving that archived electronic documents are trustworthy and tamper-proof. e-Ark Standards Providing technical specifications and tools is essential for developing an integrated archiving infrastructure, facilitating improved availability, access, and use. Furthermore, a rigorous analysis of aggregated sets of archival data is crucial for deriving valuable insights and ensuring the effectiveness of archival processes. Digital Archive Integration: Supports digital preservation and the management of electronic records to ensure long-term reliability. Compliance: Achieves integration with eIDAS standards, securing the authentication of electronic
What isn’t Qualified Electronic Archiving or Digital Preservation?
Whenever we chat with our clients about their approach to “Digital Archiving,” their common reply is, “No problem, we’re covered! We use a DMS or have a backup solution.” While these are valuable solutions for your organization, we must clarify– They are not digital preservation solutions. For simplicity, let’s use Digital Preservation instead of Qualified Electronic Archiving (QeA), with the latter being Digital Preservation with some extra “add-ons” for enhanced trust. This blog will help you better understand that while a DMS serves your organization’s current needs and keeps your business operational, it may need more depth for comprehensive digital preservation. Find out the benefits of Digital Preservation, Qualified Electronic Archiving, and the limitations of alternatives. The Benefits of A Document Management System A company needs a DMS because a Document Management System (DMS) typically encompasses a range of essential functionalities to streamline document handling within an organization. It gives full version control to enable efficient tracking and management of document revisions. The biggest benefit of DMS is that it gives you full control over document access and edits so you are aware about who has checked in and checked out of the document. So this enhances the security and integrity of the data and is seamlessly integrated with other business systems, such as ERP and CRM, for enhanced workflow efficiency. Mobile access features are a bonus feature of a DMS to facilitate document retrieval and collaboration. Altogether, these functionalities contribute to the effective management and utilization of digital documents in a business environment. What Is Digital Preservation? Digital preservation is the ease of accessibility and usability over a period of time, avoiding data loss or corruption. You may be required to include planned and conscious efforts to protect digital assets, addressing challenges such as file format obsolescence and technological changes. However, it’s important to note that by default digital preservation lacks specific regulations and requirements related to preservation as defined in the eIDAS (Electronic Identification and Trust Services) framework. Read our latest blog about the importance of digital preservation strategies. We have discussed three key approaches – Refreshment, Migration, and Emulation. Find out which strategy perfectly suits your buisness requirements. Why Do You Need a Digital Preservation Strategy? Digital preservation directly contributes to ensure long-term access and usability of digital assets, safeguarding valuable data, protecting cultural heritage, and ensuring future generations can access and learn from our digital information. A Digital Preservation Strategy is crucial for companies dealing with critical and valuable digital assets that require long-term accessibility and usability. Unlike basic Document Management Software (DMS), a Digital Preservation Strategy is particularly beneficial for organizations that: Deal with historical, cultural, or archival data, where the preservation of digital assets is crucial for maintaining cultural heritage or complying with regulatory requirements. Organizations involved in research or scientific endeavors that produce valuable data need a Digital Preservation Strategy to ensure the long-term integrity and accessibility of their findings. Government agencies that handle sensitive information benefit from a Digital Preservation Strategy, ensuring the authenticity and legal admissibility of archived records. Industries subject to stringent regulations, such as healthcare, finance, and pharmaceuticals, where compliance and data integrity are paramount, find a Digital Preservation Strategy crucial for meeting industry-specific requirements. Main Functionalities of Digital Preservation: These are requirements that a proper Digital Preservation solution should cover and the benefits it offers the businesses: Main Functionalities of Digital Preservation Actively Manage and Maintain digital assets, not just passive storage Address File Format Obsolescence Ensure Ongoing Accessibility and Usability by adapting to technological changes over time Maintain Metadata and Context by providing the necessary information for understanding and utilizing the data Uphold Authenticity for Reliability throughout their digital lifespan What Is Qualified Electronic Archiving? Qualified Electronic Archiving (QeA) refers to a specialized form of electronic document preservation that goes beyond basic digital archiving. QeA includes additional features and standards to ensure compliance with regulations and legal requirements. It emphasizes the long-term retention of digital assets while adhering to specific industry or governmental standards. Key features of QeA often include: It uses advanced security measures to protect the integrity and confidentiality of archived electronic documents. It integrates digital signatures to enhance the authenticity of archived document. It is designed to align with industry-specific regulations and legal frameworks. For example, in the European Union, it may comply with the eIDAS regulation Its main focus is to maintain the accessibility and usability of archived documents over an extended period. The Difference Between Document Management Systems and Digital Preservation A Document Management System (DMS) and Qualified Electronic Archiving (QeA) serve distinct purposes in managing digital information. The businesses must understand that a DMS is not an archive and a DMS primarily focuses on the organization, storage, and retrieval of electronic documents to meet current organizational needs, QeA goes beyond by incorporating additional features for enhanced trust and legal compliance. This diagram will help you understand the difference between the two: QeA, or Digital Preservation with extra layers of trust, specifically addresses the long-term preservation of digital assets. It ensures compliance with regulations, guarantees the authenticity and integrity of information, and adds features like retention management and records disposal. In contrast, a traditional DMS may lack the depth required for comprehensive, long-term digital preservation and the specific legal considerations covered by QeA. The following table will help you dig deeper how digital preservation is different from DMS: System Type Functionality Key Features Primary Focus Document Management System Governs active records, overseeing creation, editing, and disposal of non-permanent records during their retention period. – Creation, editing, and disposal of active records. Active record lifecycle management. Digital Preservation System Maintains records post-active use, emphasizing features like transfer receipts, and integrity monitoring for long-term or permanent retention. – Transfer receipts – Metadata recording – Chain of custody documentation – Integrity monitoring Ensuring authenticity and survivability, safeguarding records against degradation. What isn’t Digital Preservation: 1. Backup Backup Purpose To
Checklist to start with Qualified Electronic Archiving
In the 1900s, office tables were often cluttered with papers and files containing crucial data. To transition from this chaos to a more organized approach, qualified electronic archiving has become essential. It was customary to keep all essential information accessible, especially before an audit team’s visit. However, this practice posed significant risks to data, such as fire accidents. Fortunately, times have changed, and modern offices have transitioned to a more efficient and secure data storage method—electronic archiving. With qualified electronic archives, you can bid farewell to paperwork and enjoy the digital database in your public or private setup. After reading this blog, you will be in a better position to evaluate the business’s present archiving procedures. By properly examining the company’s filing and archiving structure, you can begin your search for qualified archive providers. An expert in the electronic archive system Electronic archiving systems store, index, categories, and manage electronic data while ensuring its integrity and retention throughout its lifecycle. Experts in qualified electronic archiving prevent data modification or corruption and allow the production of certified copies for audit or legal purposes. But first, let’s find out who this guide is for. Who is this checklist for? Maintaining electronic data is crucial whether you run a business, a school, work for the government, or are an entrepreneur. This guide will benefit organisations looking for specialists to handle their digital transactions. Thus, all sectors looking for tools for long-term archiving and easy accessibility of corporate digital content will benefit from electronic record-keeping. Below, we have discussed how QeA offers promising benefits for the following sectors. Finance department It can benefit from QeA because it provides secure and easy access to financial documents. The main focus is on tools for securely preserving digital content, archiving financial results and annual reports. Insurance sector QeA offers a legally recognized method for storing and preserving various documents, including policies, claims, underwriting files, customer records, and compliance documentation for the insurance sector. Banking Say goodbye to physical storage challenges. qualified electronic archiving (QeA) enables the digitization and secure storage of customer account records, loan agreements, transaction documents, and other paper-based information for the banking sector. Healthcare QeA guarantees secure electronic record storage, e.g., X-rays, MRIs, and CT scans, along with their related reports. Remote access to these images facilitates timely diagnosis and treatment planning. QeA integrates digital identity verification, digital signing, and the generation of associated contracts into business processes to achieve a paperless world, and can be a game changer to all the industries above. What makes an archive “qualified”? An electronic archive must meet the following requirements to be “qualified” to assist private and public authorities: Integrity and authenticity While trusting a data archive, your biggest concern should be that the electronic records remain unaltered and their origins can be verified. Qualified electronic archiving ensures the integrity and authenticity of the data. Compliance with standards The archive must adhere to relevant technical requirements and standards accepted by the European Commission. There are formats, metadata, and security measures for these standards. Auditability The archive should keep track of all operations performed on the stored data, including any access, modification, or deletion. Transparency and traceability of actions within the archive are all made possible thanks to the audit trail. Accessibility Throughout the retention period, the qualified electronic archiving system must permit authorised access to and retrieval of the stored data. It should provide means for search, retrieval, and presentation of the archived information in a usable format, ensuring the integrity and security inherent in qualified electronic archiving. Long-term preservation Mechanisms for archiving files for the necessary retention period must be in place. This includes taking the necessary technical precautions to prevent data loss or corruption. To protect your valuable assets, you can securely store research data, patents, and trademarks with QeA. If you want to know how to digitize your business operations paperwork, tailored specifically for banks and insurance companies, check out our blog: Digitizing your Business Operations Paperwork – A Step by Step Process for Banks and Insurance Companies. Why do you need a qualified electronic archive? By embracing qualified electronic archives, you simplify and expedite data storage and retrieval, conveying a powerful message that you are prepared for the future. Switching to qualified electronic archives positions your organisation at the forefront of digital transformation and sets a positive example for others in your industry. Since electronic archiving will soon be required, it is important to qualify projects now. It makes no sense to discard outdated technology if it cannot accommodate the new requirement. So, this data must be safely stored, arranged, and easily accessible. It can be made possible if the preservation of electronic documents complies with EU-adopted regulations, such as eIDAS. eIDAS stands for Electronic Identification, Authentication, and Trust Services. The regulation provides a secure framework for electronic signatures, digital certificates, electronic seals, timestamps, and other authentication mechanisms to enable safe and legally recognized electronic transactions. If you want to learn in detail about QeA please visit our blog: What Is Qualified Electronic Archiving (QeA) And Why It Should Matter to you. Checklist to start with qualified electronic archiving Step 1: Understand QEA Basics Familiarise yourself with the Qualified Electronic Archiving (QEA) concept and its significance in ensuring data integrity, authenticity, and legal validity. Step 2: Assess Your Archiving Needs Identify the specific archiving needs of your organisation or project. Evaluate the types of documents and data you need to archive and the level of security required. Step 3: Research QEA Regulations Explore the relevant regulations and standards governing qualified electronic archiving in your region or industry. Understand the legal and technical requirements to ensure compliance. Step 4: Select the Right qualified electronic archiving Solution Research and compare different qualified electronic archiving solutions on the market. Look for providers that offer Robust security features Conform to important laws such as GDPR