Council on archives international records management trust
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Records LinkageThe potential for records to link to other records or data is a significant factor in the appraisal of electronic records. Records linkage refers to the practice of combining data on identical or similar cases from two or more sources, using common identifiers such as name, address, social security number and date of birth or common attributes such as sex, race and age. In a paper-based environment, linkages are possible but time consuming. Electronic records facilitate large-scale linkage of thousands and perhaps millions of cases because of the relative ease of programming the computer to match cases that share identifiers or attributes. Therefore, consideration must be given to the existence of related data files and the exact data elements available for potential records linkage. UpdatesUpdating electronic records and data is common practice. The ability to update easily affects the appraisal of the informational value of electronic records. The contents of a database may change from day to day and the database design may determine the nature of the historical record that can be captured for preservation. In appraising records that are updated, it is important to evaluate the design of the system or database to determine what types of records are available to document the activities covered by it. Restrictions on Access to Personal InformationMaintaining personal information in electronic form has a twofold impact on appraisal. First, many electronic data files and records contain confidential information that documents the current status or recent past of many individuals and organisations. By collecting micro-level data in preference to aggregate statistics and by acquiring records shortly after they are created, data archives tend to hold large volumes of personally identifiable information of a contemporary nature. Some of these data files can be linked with data from other sources, with the potential to provide researchers with a more comprehensive picture of an individual or organisation than would otherwise be available. Records creators may be reluctant to release confidential records to the archival institution in electronic form because of the possibility of unauthorised access and reproduction. It is critical that restrictions on access also reflect legislation (such as data protection and privacy legislation). Second, electronic records and data offer greater flexibility in handling restricted information. It is possible to remove names and other personal identifiers from electronic data files and records and to produce public-use or disclosure-free versions of the files. When such techniques are employed, disclosure-free files may permit access to information that would not otherwise be made available. Appraisal should take into account the impact of restrictions on access, especially when the restrictions vary among different versions or formats of the same body of information. Supplementary ApplicationsSome data files and records, which lack sufficient detail to merit retention for statistical analysis and research use, have supplementary applications in archival institutions, which can use some electronic records to create indexes to paper and microform records in their holdings or to develop sampling frames for selecting samples of paper records. For example, many voluminous series of case files have automated indexes, called case management systems. These indexes usually contain a limited number of data elements such as case number, name, address, social security number, date of birth, sex, race and a few descriptive elements germane to the application. Such an index may lack sufficient detail to merit retention for research use, but it can be used to generate printed and electronic indexes to the case files. Archivists should consider potential auxiliary applications of electronic records for administrative and reference activities in their organisations. DocumentationIt is important to identify and review technical documentation to determine if it is sufficiently comprehensive and accurate to permit use of the data without relying on individuals who have specialised and extensive knowledge of the system. The documentation itself is a valuable record that should be retained for the life of the system. If the archival institution appraises electronic records as permanently valuable, the documentation must be transferred to archival custody along with the records. In some cases, the documentation may have more long-term value than the data itself. For instance, the data may no longer be required, but it is important to know that it once existed. A record layout and a codebook are the minimum documentation that must accompany each data set. (A codebook is a guidebook identifying and explaining the codes used in a computer file or database.) The record layout defines the content, size and position of the fields and lists all data elements in each logical record. The codebook lists the codes used to represent information in the file and defines acceptable codes for each variable. A file without minimum documentation is useless because its contents cannot be interpreted. Considerably more documentation is needed for complex data sets. For example, when a sample has been taken, documentation should include narrative and technical descriptions of the sampling techniques and sample size. If interviews were used, the interviewers’ instructions and techniques should be documented. A data set should not be retained if reasonable efforts to locate and assemble documentation fail to produce a record layout, codebook and other essential explanatory materials.
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