Appraisal of Electronic Records

Introduction to Appraisal of Electronic Records

  • Historically, paper records were often left
    • 30-50 years or more before appraisal decisions were made.
  • Modern appraisal (especially for electronic records) must be proactive and systematic.
    • Identify what records exist / will be created.
    • Determine creators, purposes, and relation to core business functions.
    • Analyse how, when, and by whom records are used.
    • Decide which have enduring value and which can be destroyed once immediate usefulness ends.

Records That Typically Merit Permanent Preservation

  • Records that:
    • Document essential agency functions.
    • Contain important & unique info about people, places, things, events.
    • Provide automated access (e.g., indexes) to other permanent records.

Primary Values of Records

  • A single record may embody more than one primary value at any given time.

Administrative Value

  • Relate to origin, development, activities, accomplishments, and functions of an agency.
  • Examples:
    • Annual reports (e.g., county highway dept.)
    • Correspondence (city clerk).
    • Board/committee minutes.
    • Policy & procedure manuals.

Fiscal Value

  • Needed to account for & audit financial activities.
  • Examples: accounting records, audit reports, budgets, grant agreements, ledgers, payroll records, vouchers.

Legal Value

  • Protect rights & interests, demonstrate compliance, support litigation defence.
  • Examples: agreements, civil/criminal case files, contracts, leases, ordinances, land records, naturalisation papers.

Historical Value

  • Provide evidence of the past for students, researchers, citizens, governments.
  • Some must be retained permanently.
  • Examples: annual reports, birth/death records, selected correspondence, hearing transcripts, meeting minutes, photographs.

Definition of Appraisal

  • “Process of determining whether records & other materials have permanent (archival) value.” — Dictionary of Archives Terminology.
  • National Archives (UK): distinguishing records of continuing vs. no further value so the latter may be eliminated.

Dual Analyses Required in Appraisal

  • Content Analysis: evaluate evidential & informational value of data.
  • Technical Analysis: evaluate usability, i.e., can records be transferred from originating system to archival environment.

Appraisal Team Composition & Roles

  • Records Creator: understands day-to-day use & significance for business.
  • IT Specialist: advises on system changes & IT best practice.
  • Records Manager: balances evidential/informational needs vs. resource constraints; supports retention judgements.
  • Archivist: focuses on long-term authenticity, reliability, accessibility.
  • Possible additional experts: lawyers, auditors, compliance specialists, subject experts.
  • All guided by organisation’s mission & collection policy, which define priority subjects & material types.

Appraisal Criteria (Master List)

  • Level of Aggregation
  • Format
  • Records Linkage
  • Updates
  • Restrictions on Access to Personal Information
  • Supplementary Applications
  • Documentation
  • Readability
  • Software Dependence
  • Hardware Dependence
  • Costs

Detailed Discussion of Each Criterion

Level of Aggregation

  • Availability of micro-level (individual) data enables new or replicated analyses beyond the originator’s scope.
  • Consider whether input (raw data) or output (summaries) is more valuable.

Format

  • Records may exist in electronic & paper forms.
  • Determine most desirable format for long-term retention based on anticipated use.

Records Linkage

  • Combining datasets using common identifiers (e.g., name, SSN, DOB) or attributes (sex, race, age).
  • Electronics make large-scale linkage (thousands/millions of cases) feasible — enhances research potential.

Updates

  • Databases may change daily; design dictates what historical snapshots can be captured.
  • Evaluate system design to ensure adequate documentation of evolving content.

Restrictions on Access to Personal Information

  • Electronic format heightens risk of unauthorised access/reproduction.
  • Must align with privacy & data-protection laws.
  • Appraisal must weigh impact of restrictions, especially when they differ across versions/formats.

Supplementary Applications

  • Even if data lack detail for statistical research, they may serve as:
    • Indexes to paper/microform holdings.
    • Sampling frames for selecting records.
  • Archivists should consider auxiliary administrative/reference uses.

Documentation

  • System documentation is itself a valuable record; retain for the life of the system.
  • If electronic data are deemed permanent, documentation must accompany transfer; at times documentation may surpass data in importance.

Readability (Media Integrity)

  • Physical quality of storage medium must be tested (e.g., mount tape, attempt read).
  • Problems common after years in inactive storage but may be mitigated (e.g., cleaning magnetic media).

Software Dependence

  • Some datasets unusable without companion software.
    • Options: include software, reformat to software-independent structure, or generate neutral export via utility programmes.
  • Archivist must factor reformatting or software acquisition costs.

Hardware Dependence

  • Files requiring specific hardware risk obsolescence.
    • Need conversion to standard formats; otherwise likely unacceptable for archival preservation.

Costs

  • Fixed costs per file:
    • Archival-quality storage media (e.g., magnetic tape).
    • Computer processing to create master & security backup.
    • Staff preparation of documentation.
    • Ongoing maintenance (e.g., media refresh).
  • Additional costs for complex structures or dependency conversions, including technical help, extra processing, and documentation reconstruction.

Appraisal Checklist for Electronic Records (Key Questions)

  • Does the data file have: legal, evidential, informational value?
  • Immediate or long-term research value?
  • Original micro-level data?
  • Likely uses: statistical analysis or single-case retrieval?
  • Is the file at risk of deterioration/destruction?
  • Do similar records exist (paper \Box, microform \Box)? Will they be preserved?
  • Does this file contain unique information absent elsewhere, or vice-versa?
  • Are related records more suitable to keep given cost/arrangement considerations?
  • Are there use restrictions on paper vs. electronic versions?
  • Technical checks: readability, completeness of documentation, need for special hardware/software.
  • Quantitative measures collected:
    • Approx. volume of paper records.
    • Approx. number of electronic records.
    • Logical record length.

Standards Landscape

International Organization for Standardization (ISO)

  • Non-governmental body of 157 national standards institutes.
  • Develops & publishes standards for public/private sector needs.
  • Not all standards are legally enforceable; organisations choose applicable standards based on relevance & mandates.

ISO 15489 – Information & Documentation: Records Management

  • Key global ‘best-practice’ standard (published 2001).

Part 1 – General

  • Framework covering benefits of RM, regulatory considerations, formal assignment of responsibilities.
  • Defines RM requirements, system components, and processes (capture, classification, retention, storage, access, etc.).
  • Explains auditing of RM operations and training needs.

Part 2 – Guidelines

  • Practical guidance for implementing Part 1.
  • Details:
    • Policy & responsibility statements.
    • Designing/implementing record-keeping systems.
    • Developing processes/controls (thesauri, schedules, security, storage, disposal).
    • Establishing monitoring & audit programmes.
    • Staff training in RM practices.

Other Guidance & Equivalent Standards

  • Australia: AS ISO 15489.
  • United States: DOD 5101.20 (Design Criteria Standard for electronic RM).
  • Europe: MoReq2 (Model Requirements for Electronic Records).
  • United Kingdom: BS ISO 15489.

Practical Advice for Records Professionals

  • Review ISO 15489 before developing or revising electronic RM programmes.
  • Implement recommendations relevant to organisational needs & resources.
  • Align appraisal policies with broader organisational mission, compliance environment, and resource constraints.

Ethical, Philosophical & Practical Implications

  • Balancing openness vs. privacy: electronic access increases both research potential and risk of privacy breach.
  • Cost vs. cultural memory: limited resources require defensible criteria to prioritise what is saved.
  • Technology obsolescence vs. historical stewardship: must plan migrations, documentation, and software preservation to safeguard long-term authenticity.

Connections & Contextual Notes

  • Builds on earlier lectures about records life-cycle, retention scheduling, and legal compliance.
  • Reinforces foundational archives principle: appraisal shapes the documentary heritage.
  • Real-world relevance: accurate appraisal avoids digital dark ages, supports accountability, and preserves cultural identity.