Issues in Electronic Record Keeping
Presentation to Electronic Records
Working Group
Chris Prom, Assistant University Archivist
University of Illinois Archives
Slide 1
What I’ll 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
University of Illinois Archives
Slide 2
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
University of Illinois Archives
Slide 3
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)
University of Illinois Archives
Slide 4
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”
University of Illinois Archives
Slide 5
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
University of Illinois Archives
Slide 6
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
University of Illinois Archives
Slide 7
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.
University of Illinois Archives
Slide 8
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
University of Illinois Archives
Slide 9
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
University of Illinois Archives
Slide 10
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
University of Illinois Archives
Slide 11
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
University of Illinois Archives
Slide 12
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 recordkeeping component, limited version control)
• Web-based resources
– Course Catalog (U Mich example)
– Campus Administrative Manual
– Student Web Pages
• Email
University of Illinois Archives
Slide 13