in Higher Education: Policy Issues and Strategies ECURE 2001 Preservation and Access for Electronic College and University Records October 13, 2001 David A. Wallace School of Information University of Michigan

Outline zEvolving C&U ICT infrastructure zFrames for analyzing zRecordkeeping frame zContent analysis of C&U policies zCase study: University of Michigan zStrategies for capturing and preserving record

Evolving C&U ICT infrastructure zUsed to support: y Administration and support services y Research and development y Education zFactors: y responsibility (centralized / decentralized) y policy infrastructure (creation / implementation / evaluation) y technology infrastructure (hardware / software) y role of records management & archival programs

Frames for analyzing zAppropriate use zEtiquette zExpectations of privacy zOwnership zCopyright z Intellectual freedom z Security z Legal risk (liability) z Institutional memory (asset) z Communications utility z Recordkeeping

Recordkeeping frame …1 zRapid and dramatic increase in use zContemporaneous with: y new and emerging organizational forms y new and emerging communication forms (aka document genres) zShared meaning & practices absent zEnduser desktop autonomy z a software utility that creates many different forms of “records”

Recordkeeping frame …2 zWhen is a “record”? y university record, public record, non-record… zHow should records be managed throughout their lifecycle? yCreation (initiation, receipt) yUse (filing, access permissions, retrieval) yDisposition (appraisal, scheduling, preservation, destruction)

Recordkeeping frame - 3 zForm / function of message more important than its identification as an “ message” zPolicy implementation / evaluation vacuum zLifecycle management is essential zTraditional ARM practices will not scale zElectronic recordkeeping systems needed

Content analysis of C&U policies …1 z Identifying Records y Addresses record status of ? y Distinguished records from non-records? y Defines what a record is?

Content analysis of C&U policies …2 zFiling and Maintaining Records yPrint or electronic? yFiling suggestions? yDiscusses how to handle attachments? yDiscusses how to handle encryption? yLink to records schedule? yDiscusses long-term preservation and archiving?

Content analysis of C&U policies …3 zGeneral y Identifies entity responsible for policy? y Identifies sanctions for non-compliance? y Defines terms used in the policy?

Case study: University of Michigan …1 zHistory y Michigan terminal system (MTS) y Privacy ascendant over public recordness y Access controversies (applicability of FOIA) y Shift from centralized to decentralized system y Current confusion over public recordness y Archiving

Case study: University of Michigan …2 zPolicy infrastructure y Standard practice guide x proper use policy (5/90) x privacy of and computer files (12/93) x identification, maintenance and preservation of electronic records (5/97) y Guidelines for implementing the proper use policy (6/97)

Strategies for capturing and preserving record …1 zConsiderations y Existing culture(s) of use & management y Evolving legal environment re: recordness and discovery -- legal risks associated with unmanaged y Policies are created, but are they implemented and evaluated?

Strategies for capturing and preserving record …2 zStrategies y Clear and definitive records policy y Implement and evaluate on pilot basis, edit as necessary y Education and training y Appraise and retain based on “type” of , not on “format” of y Recognize applicability of FOIA y Recognize discovery risks y Adopt electronic recordkeeping