Record Keeping and the Web

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Record Keeping and the Web

• Johanne Pelletier Garron WellsMcGill University
  University of Toronto
• ECURE October 12 2001

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Session Objectives

• Review why preserving the web is an issue
• Development of the web within IT framework
• Archival/RM literature key issues
• Outline strategies and operational considerations
  for preservation
• Promote awareness of the importance of web site
  analysis for institutional accountability

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University of Toronto

• University of Toronto, est. 1827
• Largest university in Canada
• 60,000 students
• 10,000 employees
• University Archives
• Archives Records
• University Library (RBSC)

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McGill University

• McGill University
• Universitas 21
• est. 1821
• 35,000 students
• 8,000 employees
• University Archives
• Archives Records
• University Secretariat

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Why the Web?
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University Web Activity

• Communications
• banner or brand
• client services
• recruitment
• student services
• alumni
• Teaching/Outreach
• Teaching Learning
• Research
• Administrative Functions

• New University record
• Static sites
• Calendars
• Administrative functions
• Interactive functions
• Admissions
• Teaching
• Access to Administrative data/Intranet
  applications
• HR
• Finance
• Student Records

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Policy Gap?

• Site creation
• Content ownership
• Vision of the web/branding
• Content management
• Privacy/Risk
• Concurrence of sites with other records systems

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Site Development Issues Implications for
Preservation

• Content control accuracy
• Branding
• official sites
• Compliance on look and feel
• Preservation formats strategies
• Access and privacy
• Links/consistency

• Relative url addresses
• XHTML use for all sites
• Minimize software dependence use neutral
  formats
• Avoid use of proprietary search engines

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Policy Infrastructure Risks

• RM Preservation Strategy
• Web Policy
• IT Policy
• Administrative
• Research
• Teaching Learning

• ? Content control
• data, records, information accuracy
• Ownership management
• ? Uneven content across the university
• ? Accountability
• Risk loss of records
• Risk release of corporate information

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Accountability and Records
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Literature Key Issues

• McClure/Sprehe Study Risk Analysis
• Information Management Forum (IMF)
• National Archives of Australia (NAA)

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McClure/Sprehe

• Features of McClure and Sprehe study
• identified confusion in terms record and
  publication when applied to web sites
• proposed guidelines for managing information on
  web sites based on records management theory
• developed risk model to analyze an organizations
  accountability exposure

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IMF

• IMF Features
• applied McClure/Sprehe model to Canadian
  government and its agencies
• added feature Local Site repository
• separated responsibility for preservation of web
  site information between National Archives and
  the National Library

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NAA

• NAA Features
• builds on McClure/Sprehe and IM Forum work
• simplifies risk assessment model
• provides practical strategies for storage and
  preservation of web-based resources for long term
  accessibility

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NAA
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Current Responses
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Responses

• Policy level intervention
• Records management scheduling
• Web sites as series
• Pilot projects
• Snapshots local site repositories
• Intranet
• Comprehensive approaches
• Policy
• Snapshot LSR Historical Log
• Scheduling/Transfer/Preservation Strategy

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Snapshot (Dollar Consulting)

• Complete, accurate, executable copy of a site or
  html page. Replicates al functionality of the
  site (option is to capture as object in PDF)
• Must also capture third-party web sites or links
  within the sites
• advocated by NARA and NAA for archival transfer
• PDF capture option (but cannot be exported back
  into HTML)

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U. of T. Strategy

• Strategies
• assessing risk - records management strategies
• Accountability Low, Moderate and High Risk Sites
• Historical Log
• Local Site Repository

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U. of T. Strategy
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Faculty of Arts and Science
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Faculty of Arts and Science
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Local Site Repository

• electronic repository, established under the
  control of an office for the purposes of
  temporarily managing dormant copies of that
  offices electronically recorded information
  until the corporate recordkeeping system is
  adequate for the task
• replicates at time of posting all pages posted to
  an active web site in a separate storage device

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Local Site Repository (Contd)

• Features
• is a means of reconstructing the information
  content of an active site
• facilitates the organized disposition of recorded
  information through
• controlled deletion
• transfer of archival records to UTARMS (both
  publications and official records)

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Historical Log

• Is an official record and is subject to a
  retention schedule
• Contains the following data elements
• Title or name of posting
• Version number of posting
• Originating author/office name, address, contact
  info. This is the Content Manager, the person or
  office responsible for content creation
• Hyperlinks in this posting
• Date of Initial posting
• Date of last modification
• Date of replacement or withdrawal
• Disposition of posting after replacement or
  withdrawal

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Faculty of Arts and Science
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Faculty of Arts and Science
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Conclusion U of T

• University Archives role
• Acquisition and Accessioning
• Arrangement and Description
• Use
• Preservation

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Strategic Approach - RM/Archives

• Jurisdiction
• Archives Act Privacy Legislation support RM
  (for records in all forms)
• Combined RM/Archives program
• Campus wide records retention schedule (approved
  by government agency)
• Reports to Administration

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Record Keeping Culture

• RM Program
• Emerging web policy infrastructure
• Emerging vision for IT development
• Record aware community

• Decentralized IT
• WEB Uneven content across
• the university

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Cues - Key Factors

• Approach web as records APPRAISE
• Appraise sites (site development broadly) within
  records retention schedule
• Look and Feel preservation does not drive the
  process
• Policy development and infrastructure development
  before preservation

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Ideally

• Schedule the Web - RM
• Treat web sites as a records series?
• Transfer web sites and pages to archives
  repository require that documentation
  accompany the transfer of sites and pages
• Use policies requiring required documentation
  about web sites
• Site content, creation, version control,
  technology platform supports
• Impediments??

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Operational Considerations

• Can your institutional archives manage electronic
  transfers?
• Can the sites and pages be copied/reformatted to
  new storage media?
• Secure environment with read only access
• Back up copies
• Disaster recovery, temperature/humidity

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Comprehensive Strategy

• Policy leadership/development 2001
• Senate Committee on Information Systems and
  Technology
• Site/page integration into records retention
  schedule (appraise sites as per risk analysis)
  2002
• Risk Analysis Test projects (2002-)
• Snapshots/local site repository

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IT Policy Web?
RM/DM
Teaching Learning computing
Web
Research computing
Administrative computing (HR, FINANCE, GOVERNANCE)
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Policy Agenda - Key Areas

• Technical infrastructure
• Content
• Management

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Policy Issues Beyond Look and Feel

• Technical infrastructure
• Relative url addresses
• XHTML use for all sites
• Minimize software dependence use neutral
  formats
• Avoid use of proprietary search engines

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Policy Issues Beyond Look and Feel

• Management
• Routine capture of major changes
• Capture of audit trail metadata
• Copy sites and pages
• Minimize hardware dependence transfer of sites
  to new storage media
• Operational support for long-term preservation
• Secure access to personal information
• High risk sites/risk analysis/loss of
  data/information
• Preservation of sites/retention
• costs/operational demands to manage sites
  designated for preservation

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Policy Issues Beyond Look and Feel

• Content
• Defines official content and sites (analogy to
  scheduled agencies in federal governments)
• Site accuracy (risk in posting inaccurate
  content?)
• Branding/hallmarking
• Compliance campus-wide
• Privacy and access considerations

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Next Administrative Computing

• Defining adminstrative computing
• Information policy
• Data/record/information  trustees 
• Computing Model/Hardware Standardization
• Software Standardization
• Workflow/document management
• Integrated Archives/records Functions
• Office enabling software (Groupware solutions)
• Enterprise resource planning (custody, transfer
  of data between data holders)

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Recommendations

• Clues from record keeping culture
• Jurisdiction support record keeping culture
• Collaboration
• Integration of RM
• Policy development
• Test pilot projects (snapshots)
• Combined strategies

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Recommendations

• Ensure operations can support preservation
  strategy
• archives/records supported for long-term
  preservation

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Recommendations

• Preservation strategy reflected in front-end
  policies
• administrative, web policies
• Appraise sites/html as other records

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Session Objectives

• Review why preserving the web is an issue
• Development of the web within IT framework
• Archival/RM literature key issues
• Outline strategies and operational considerations
  for preservation
• Promote awareness of the importance of web site
  analysis for institutional accountability

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Session Objectives - Summary
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Session Objectives - Summary

• Why preserve the web? OR Where are we going?
• archival approach applies across record formats
  (goal is the same preserve records of long-term
  value, ensure accountability)

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Session Objectives - Summary

• Strategies Operational Issues
• Strategies vary according to institutions
• Preservation strategy must be supported by
  front-end policy
• Archives/RM operational needs for preservation
• Importance of Analysis
• Ease of storage costs does not relieve
  responsibility for preservation

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Bibliography

• Educause (www.educause.edu/policy/policy.html)
• IM Forum Internet and Intranet Working Group.
  Managing internet and intranet information for
  long term access and accountability -
  implementation guide. Sept. 24, 1999
• http//www.imforumgi.gc.ca/consult/inter-intr
  a/implement2_e.pdf
• McClure, Charles and J. Timothy Sprehe, Analysis
  and development of model quality guidelines for
  electronic records management on state and
  federal websites. January, 1998.
  http//istweb.syr.edu/mcclure/nhprc/nhprc_title.h
  tml
• National Archives of Australia. Archiving web
  resources - policy (revised January, 2001)
  www.naa.gov.au/recordkeeping/er/web_records/policy
  
• Archiving web resources - guidelines (March
  2001) www.naa.gov.au/recordkeeping/er/web_records/
  guide

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Bibliography

• McGill and University of Toronto sites
• McGill University Web Communications Group
  Policies
• www.mcgill.ca/administration/vpist/web/wcg/g
  oals/
• University of Toronto Web Publishing Guidelines
• www.library.utoronto.ca/webguide.htm
• University of Toronto Guidelines for Archiving
  Web Sites
• www.library.utoronto.ca/utarms/preservation

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Questions?
Johanne Pelletier Garron Wells Johanne.Pelletier
_at_mcgill.ca Garron.Wells_at_utoronto.ca