Ill. Admin. Code tit. 44, § 4500.80 - Management of Electronic Records
a) Born-digital Records. Born-digital records
shall be subject to the same record 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 Commission (see Appendix A) 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 using a combination of these, or
other media approved by the Commission (see Appendix B). 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 Guidelines for Federal
Information Systems and the New York State Archives' "Record 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) 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, in the case of vendor failure, in a format
complying with the requirements of 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
4500.50
and
4500.60.
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
with 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
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