Ill. Admin. Code tit. 44, § 4400.80 - Management of Electronic Records
a)
Born-digital Records - Born-digital records shall be subject to the same
records schedules as those records originally created in other media.
b) Databases - Databases or components of
databases may or may not be considered records, depending upon their function
and contents. An agency's Records Retention Schedule, as approved by the
Commission, will be used to make such a determination.
c) Permanent Records - Records scheduled for
permanent retention must be stored in file formats approved by the State
Records Commission (see Appendix E) at the time the records are permanently
removed from the active system, at the time of active system decommissioning or
at the request of the Commission.
d) Storage Media - Electronic records may be
stored on a hard disk, magnetic tape, networks utilizing a combination of
these, or other media approved by the Commission (see Appendix F). Stored
records must be regularly migrated to new media in accordance with current
industry best practices, such as, but not limited to, ANSI/ARMA 16-2007, The
Digital Preservation Coalition's Digital Preservation Handbook and the
University of Illinois' "Best Practices for Media Selection and Migration". If
agencies are uncertain as to whether they are following appropriate best
practices, they should consult with the Illinois State Archives.
e) Access - Electronic records must be
maintained in such a way that each record is individually accessible for the
length of the scheduled retention.
f) Backup Copies - A minimum of two total
copies of all electronic records must be preserved for the length of scheduled
retention. Copies must be stored according to current industry best practices
for geographic redundancy, such as, but not limited to, NIST Special
Publication 800-34 Rev. 1 - Contingency Planning Guideline for Federal
Information Systems and the New York State Archives' "Records Advisory:
Electronic Records Disaster Preparedness and Recovery". If agencies are
uncertain as to whether they are following appropriate best practices, they
should consult with the Illinois State Archives.
g) External Vendors -
1) Subject to the Illinois Procurement Code,
agencies may contract with external vendors for the storage or management of
electronic records. The vendors must comply with all rules in this Section.
Contracting agencies will remain responsible for the proper management of
records in the custody of vendors.
2) Contracts for the storage of electronic
records by external vendors must allow for the return of all electronic data
files and indexing information to the agency at the expiration of the contract
or upon vendor failure to comply with subsections (c) and (e).
h) Identification - Each
electronic record must have a unique identifier to allow for ongoing management
of that record. If electronic records are stored on discrete storage media,
each physical unit must have a unique identifier.
i) System Requirements for the Management of
Permanent Records -
1) Electronic Records
Scheduled for Permanent Retention - These records must be stored and managed in
accordance with subsections (d) through (j). If those requirements are not or
cannot be met, then an additional microfilm or print copy must be created for
permanent preservation. Microfilm copies must be created in accordance with
Sections
4400.50
and
4400.60.
Certain record types that are unsuitable for print or microfilm reproduction,
such as audio or video files, are exempt from this requirement.
2) Classification - Systems used to store and
access electronic records must allow records to maintain their relationships to
one another.
3) Security - Systems
used to store and access electronic records must not permit unauthorized
additions, deletions or changes to the records. Access to the system must be
limited and strictly controlled.
4)
Access - Systems used to store and access electronic records must allow for the
retrieval of individual records and their associated metadata in a timely
manner.
5) Metadata - Systems used
to store and access electronic records must capture relevant structural,
descriptive and administrative metadata at the time a record enters the system.
The system must generate additional metadata whenever a record is moved within
the system or migrated to another format or storage medium.
6) Format Migration - Systems used to store
and access electronic records must allow for the migration of stored records,
and their associated metadata, notes and attachments, from one file format to
another.
7) System Maintenance -
Each agency shall ensure that hardware, software and documentation (including
maintenance documentation) used to store and access electronic records are
retained for the entire life of that system.
8) System Changes - If hardware, software
and/or documentation used to store and access electronic records is replaced,
or if the electronic records are migrated to a new system, the agency must
ensure that the replacement hardware, software and/or documentation meets all
requirements mandated in the approved records schedule and in this
Section.
j) Legacy
Systems - Agencies must make efforts to bring existing systems used for the
storage of electronic records into compliance with this Section. If systems are
unable to accomplish some of the required functions, agencies must attempt to
achieve the same results through separate processes. Vendor contracts for the
storage or management of government electronic records must be updated for
compliance when possible.
Notes
Added at 37 Ill. Reg. 7798, effective May 22, 2013
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