Issues in Electronic Record Keeping

1
Issues in Electronic Record Keeping

• Presentation to Electronic Records Working Group

Chris Prom, Assistant University Archivist
2
What Ill Cover

• University Archives Interest in Electronic
  Records
• What are Records and Archives?
• Transience of Electronic Information
• A Few Examples
• Legal and Administrative Issues--Discussion Later

3
UIUC Archives Mission

• UIUC Archives Mission Statement To select,
  preserve, and make accessible an authentic record
  of the programs, people, and operations of the
  University of Illinois
• Includes administrative functions, teaching,
  research, student life
• General rules and State Law mandate records
  management functions related to paper and
  electronic systems

4
What are Records and Archives?

• Records all books, papers, maps, photographs,
  or other official documentary materials,
  regardless of physical form or characteristics,
  made, produced, executed or received by any
  agency in the State in pursuance of state law or
  in connection with the transaction of public
  business and preserved or appropriate for
  preservation by that agency or its successor as
  evidence of its organization, function,
  policies, decisions, procedures, operations, or
  other activities . . . or because of the
  informational data contained therein 5 ILCS 160
• Archives are the organized noncurrent records
  of an institution or organization retained for
  their continuing value in providing a) evidence
  of the existence, functions, and operations of
  the institution or organization that generated
  them, or b) other information on activities or
  persons affected by the organization.
  (University Archives Definition)

5
Simpler Definitions (Phil Bantin, Indiana
University)

• Records recorded information in any form
  created or received and maintained by an
  organization or person in the transaction of
  business or the conduct of affairs and kept as
  evidence of such activity
• Archives documents made or received and
  accumulated by a person or organization in the
  course of affairs and preserved because of their
  continuing value

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How do records differ from data or information?

• Part of a filing system
• Not just information, but the consequence or
  product of an event
• Are recreatable in the future, inviolate
• Trustworthiness less susceptible to legal
  challenge
• Have appropriate metadata
• Appraisal Not all electronic records can or
  should be retained permanently

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Why keep electronic records and archives?

• Wise investment of University resources
• Risk management
• Allow for informed decisions
• Provide permanent evidence of rights,
  obligations, entitlements
• Support rule of law and provide accountability
• Communicate social, political, and cultural
  values
• Education, research, and personal enrichment

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Our Assumptions

• Electronic records are now as or more important
  than paper
• Electronic Records needing attention include ERP
  systems, EDMS, websites, e-mail, files created in
  desktop applications, scanned images of paper
  documents, others
• Preserving appropriate records requires
  partnerships between record creators,
  technologists, legal counsel, archivists,
  librarians, auditors, and others.

9
Transience of Electronic Records

• Often created dynamically the record is
  assembled from a variety of sources, but does not
  exist as a discrete item until created
• Systems may lack appropriate metadata to allow
  for recreation of record
• Decentralized work processes
• When is record created?
• When can it be captured?
• Most records depend on software
• Media on which records are stored is frail

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Transience Issues (Slide 1)

• Transaction Processing Systems (DBMS, ERP, Data
  Warehouses)
• limit data redundancy, improve integrity
• good for current business or intermediate
  reporting needs
• not designed to capture business records
• often keep excessive amounts of data much longer
  than necessary for legal or administrative reasons

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Transience Issues (Slide 2)

• Electronic Document Management Systems (EDMS)
  and Records Records Management Systems (ERMS)
• Paper-based subject files are disappearing
• EDMS
• most offices do not use one
• no provision for file management, retention,
  disposal
• ERMS
• less common (TRIM, Provenance Systems)
• DOD 5015.2
• includes filing system for items of record
• requires retention periods, version control
• Reduce information liability provide risk
  management

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Transience Issues (Slide 3)

• Websites
• constant change
• dependencies on other sites, hyperlinks
• E-mail
• lack of appropriate metadata (e.g. recipient
  lists)
• no control over retention of important e-mail
• usually not managed in EDMS or RDA

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Examples of Records Needing Attention

• Data being migrated to UI Integrate
• Department and office files
• Documents to be managed by OTG system
  (preliminary survey indicates no record-keeping
  component, limited version control)
• Web-based resources
• Course Catalog (U Mich example)
• Campus Administrative Manual
• Student Web Pages
• Email