Electronic Records Survey

DEFINITION

A trustworthy digital repository cannot fully execute its mission or engage in realistic digital preservation planning without a projected volume and scope of permanent electronic government records that will come into its custody. It is likely that some information already exists in approved retention schedules but may require further elaboration as well as periodic updates, especially with regards to preservation ready, near preservation ready, and legacy electronic records held by records producing units.

The Archives/RM unit has little or no capability or resources to collect and analyze information about the volume, location, media, format types, and life cycle management requirements for electronic records.

Move Up to Level 1:

Download the CoSA MoVE-IT Electronic Records Transfer form and use it as a discussion guide with a small group of stakeholders (archives staff, records officers or liaisons, agency staff, etc.) to profile a few collections of electronic records identified on retention schedules as having archival value.

Use the exercise to develop a checklist of essential properties (i.e., minimum mandatory metadata) that the Archives/RM unit will collect going forward on permanent electronic government records.

The Archives/RM unit relies on existing retention schedules to identify permanent electronic government records in the custody of records producing units. The Archives/RM unit conducts ad hoc one-time interviews or surveys to identify permanent electronic government records in the custody of selected records producing units.

Move Up to Level 2:

Develop training and guidance materials on the Archives/RM unit’s essential properties checklist. Integrate the checklist into existing Archives/RM unit appraisal, advisory and transfer processes and systematically gather information about where and how permanent government electronic records are being managed.

Deliver training on essential properties to the network of agency records liaisons, agency leadership, and IT personnel in your jurisdiction and ask for their assistance in identifying the volume, location, media, format types, and lifecycle management requirements of permanent electronic government managed by their units or third parties. Capture information about the file formats in use/stored within the state/territory.

The Archives/RM unit conducts systematic interviews, surveys, and retrospective analysis of existing retention schedules to identify permanent electronic government records in the custody of selected records producing units. The Archives/RM unit periodically analyzes existing retention schedules to identify “at risk” permanent electronic government records in the custody of selected records producing units.

Move Up to Level 3:

Establish a process for managing information gathered by the Archives/RM unit on permanent electronic government records produced in the state/territory. Assign responsibility for systematically updating the inventory as information is gathered through routine work processes.

Leverage the risk management and contingency planning framework used by your state/territory administration and IT unit to identify issues and opportunities associated with permanent electronic records management. At risk electronic records may be held in proprietary or obsolete file formats or managed by a third party without a transfer plan in place. Use this exercise to establish a framework for agency-to-Archives transfer methods and requirements.

The Archives/RM unit supplements retention schedule analysis through collection of information about the media and format types of permanent electronic government records in the custody of records producing units. The Archives/RM unit works closely with most designated communities to establish appropriate dissemination and access profiles to meet their needs and requirements.

Move Up to Level 4:

Integrate data collected during retention schedule reviews/approvals, records transfers, and advisory sessions with record producing units with its permanent electronic records inventory and file format registry.

Issue a statement identifying and describing the designated communities of the Archives/RM unit to help set expectations and to communicate the commitment of the Archives/RM unit to records preservation and access.

The Archives/RM unit has identified preservation-ready and non-preservation-ready permanent electronic government records in the custody of all records producing units. The Archives/RM unit uses information (e.g., date eligible for transfer) about permanent electronic government records in the custody of all records producing units as an inventory to systematically manage the transfer and ingest of their electronic records.

Sustain Level 4:

Promote best practices for lifecycle management of electronic government records and use information about the records-producing units to support planning and budgeting for records accession, preservation, and access.

HELPFUL HINTS

Collecting information about the electronic records you currently have and understanding the scope of records that will come into your custody is important. To be able to do this well, you will also need to understand your designated community - or whose records you are responsible for preserving. (Review the Designated Community capability component) One method of doing this is to use retention schedules, however additional information will be needed as the majority of states do not specify media or formats in their schedules.

Conducting an inventory of current electronic records that includes formats and size of the files will be important when it comes to understanding your digital archiving obligations. An inventory is flexible and ranges from a simple collection of information to a complex item level documentation for all of your holdings.

DPC Components

Preservica
National Archives