Electronic Records Research 1997: Resource Materials

Compilation Copyright, Archives & Museum Informatics 1998
Article Copyright, Author

Bibliography of Background Materials and Findings
A, B, C

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[ A ]

Andersson, Ulf. SESAM: Philosophy and Rules Concerning Electronic Archives and Authenticity. Sweden: ASTRA AB, 28 February 1996/ [http://www.si.umich.edu/e-recs/]
Sweden's largest pharmaceutical firm, ASTRA, adopted the task of investigating methods for dealing with electronic laboratory notebooks, the result of this effort was the defining of both a user vision and a technical vision for the development of information technology guidelines for electronically stored information.

Andersson, Ulf. Identification and Control of Business Records and Metadata at Information Process Modeling -- First Draft. (Sweden, ASTRA AB, May 1997). Format: Adobe Acrobat
Ensuring longevity and evidential value of electronic business records is becoming an important issue in modern enterprises. More and more information is, though there may be a final printout, held in computers during a considerable part of its life cycle. How the record is managed, during the period when it is stored in a computer, is critical regardless the final presentation for. The concept of the Sesam report tried to prove that it is possible to obtain both longevity and evidential value of electronic business. The theoretical concept was validated and found promising at a joint international workshop held by Astra AB and the Swedish National Archives. A theoretical records management concept is however not enough. It must be developed further to a concept for system design, expressing legal requirements and record management requirements in a way that makes them understandable and meaningful for systems engineers. In order to achieve this, the terminology of the previous refereed documents has been changed slightly to achieve the preciseness and consistency of terminology, necessary for information modeling. [abstract taken from Forward.]

Archives Authority of New South Wales, Government of NSW. Desktop Management: Guidelines for Managing Electronic Documents and Directories. (New South Wales, Australia: Archives Authority of NSW, last updated: Friday, 21 February 1997). [http://www.records.nsw.gov.au/erk/edm/httoc.htm]
These Guidelines suggest a range of strategies for managing electronic documents within a personal computing environment which is not subject to systematic data management practices and where electronic documents, consequently, are unmanaged. The guidelines are not obligatory. Depending on the individual requirements, agencies can adopt one or a mix of strategies to manage electronic documents and, thereby, reduce the threat of loss to unmanaged electronic records that may be stored on PC systems among these documents. [abstract reproduced from web site.]

Archives Authority of New South Wales, Government of NSW. Guidelines for the Destruction of Ephemeral, Facilitative and Duplicate records. (New South Wales, Australia: Archives Authority of NSW, last updated: Monday, 6 January 1997). [http://www.records.nsw.gov.au/disposal/ephem/httoc.htm]
The purpose of this document is to provide guidance to New South Wales public offices on the destruction of ephemeral, facilitative and duplicate records. The guidelines apply across the whole of the New South Wales public sector and are aimed specifically at individual officers within public offices who will have the responsibility of implementing these guidelines in the work place. [abstract taken from web site.]

Archives Authority of New South Wales, Government of NSW. Introducing Electronic Recordkeeping. [brochure] (New South Wales, Australia: Archives Authority of NSW, last updated: Tuesday, 26 November 1996). [http://www.records.nsw.gov.au/erk/intro/in-erka4.htm]
This web site provides a brief overview of the efforts of the Archives Authority of NSW's project team to introduce and provide guidance on electronic recordkeeping practices for the NSW public sector.

Archives Authority of New South Wales, Government of NSW. Policy on Electronic Messages as Records -- Final Draft (New South Wales, Australia: Archives Authority of NSW, 24 May 1997). Format: Rich Text Format
The purpose of this policy is to establish Government-wide policy on the management of electronic messages as records. This policy applies across the whole of the New South Wales public sector, including those agencies that are not subject to the Archives Act, No. 46 of 1960. It should be applied in conjunction with the Policy on Electronic Recordkeeping and the standards, codes of best practice and guidelines on recordkeeping noted as referenced documents [within]. [abstract taken from publication.]

Archives Authority of New South Wales, Government of NSW. Records Management Survey 1996 (New South Wales, Australia: Archives Authority of NSW, April 1997).Copyright Format: Rich Text Format
The 1996 Records Management Survey is the first in a series of annual records management surveys to be conducted by the Archives Authority of New South Wales. The primary purpose of the surveys are to acquire empirical data to enable the Archives Authority to measure its performance in achieving one of its key objectives -- to improve the quality and keeping of official records so that they facilitate the transaction, monitoring and auditing of official business -- across the New South Wales Government over time. [abstract taken from publication.]

Archives Authority of New South Wales, Government of NSW. Steering into the Future: Electronic Recordkeeping in New South Wales (New South Wales, Australia: Archives Authority of NSW, 1997). Format: Rich Text Format
This booklet aims to highlight the concepts and strategies that were announced in July 1995 as part of a whole of government approach to electronic recordkeeping in [their] publication, Documenting the Future -- Policy and Strategies for Electronic Recordkeeping in the New South Wales Public Sector. This booklet also aims to introduce the tools which are currently available and in development to help agencies create and manage records in the dynamic electronic environment. [abstract taken from publication.]

Archives Authority of New South Wales, Government of NSW. Whole of Government Framework for Records Management Standards, Guidelines and Other Products. (New South Wales, Australia: Archives Authority of NSW, undated). Format: Rich Text Format
Image illustrating the Whole of Government Framework developed by the Archives Authority of New South Wales.

Australian Council on Archives. Corporate Memory in the Electronic Age. (Sydney: Australian Council of Archives, 23 October 1995). [http://www.aa.gov.au/AA_WWW/ProAssn/ACA/Corpmenw.htm]
This is a statement of an agreed position produced by a meeting of key industry participants, individual practitioners, and organisations, sponsored by the Australian Council of Archives in Sydney on 23 October 1995. The purpose of this statement is to provide a common basis for Australian organisations -- in the private or public sector, for use within the organisation or across a whole jurisdiction -- to establish policy, standards, and practical strategies for electronic recordkeeping. The organisations that have endorsed this statement believe that such a common position is essential for the development of an effective, coherent, and consistent set of solutions to making and managing records in the electronic environment. As a summary of our common position, the statement provides evidence that initiatives consistent with it conform to widely accepted best practice in this area. It can be used or drawn on when developing submissions, business cases, policies, procedures, and explanatory materials relating to electronic recordkeeping. [abstract taken from publication.]

[ B ]

Bantin, Philip C., and Gerald Bernbom. "The Indiana University Electronic Records Project: Analyzing Functions, Identifying Transactions, and Evaluating Recordkeeping Systems -- A Report on Methodology." Archives and museum Informatics: Cultural Heritage Informatics Quarterly, 10:3 (1996): 246-266. [http://www.indiana.edu/~libarche/article1.html]
Managing and providing access to electronic information has the potential to radically alter the way archivists and records managers do business. It could and likely will transform every archival function, from initial appraisal to long-term preservation. This transformation has had such a profound effect on the design of the Indiana University Electronic Records Project, the authors would like to review briefly recent debate on three very basic questions pertaining to the management of records: 1) How do we define provenance? 2) What is a record? and 3) What is the focus or objective of records management? [abstract taken from article].

Barata, Kimberly J. (edited by) "Annotated Bibliography on Electronic Records." (August 1996) [This bibliography is updated periodically-- updated versions will be made available available at: http://www.sis.pitt.edu/~nhprc/bibtc.html].
The following bibliography, supplementing the earlier bibliography compiled by Richard J. Cox, Readings in Archives and Electronic Records: Annotated Bibliography and Analysis of the Literature, represents the working files for the University of Pittsburgh's Recordkeeping Functional Requirements Project. It is not a comprehensive bibliography. However, unlike its predecessor, many valuable unpublished writings, some of which fall into the category of gray literature, have been incorporated. All of the entries have been annotated -- primarily by the compiler. Although, in cases where a publication provides either an abstract or suitable summary, the original abstract or summary has been reproduced and is noted as being a reproduction. [abstract reproduced from web site.]

Barry, Richard E. "Catching the Multimedia Intranet Train Before it Leaves the Station." The Record (September 1996). [http://www.rbarry.com/NAR-REP2/NAR-REP2.html]
Organizational change is often accompanied with the introduction of new technologies that seem to appear threateningly on the horizon even before we have gotten our arms around the last one. It used to be that major changes came in periodic cycles with time in between to acknowledge, digest, accept, adapt and master to the best of our abilities. Now, and we are warned for the foreseeable future, change will be an inherent feature of modern organizations. Organizations will have to sense, learn and adapt to movements in the social and economic ecosystems in which they operate in ways that earlier we attributed only to humans and other biological forms. It is easy to understand why some archives and records management (ARM) professionals throw up their hands and hope that it will all somehow work itself out before anything really bad happens. [abstract taken from publication.]

Barry, Richard E. "Listing of recently published and unpublished articles and videotapes." [http://www.rbarry.com/PUBL-96/PUBL-96.html]

Barry, Richard E. "Metro Airport Reflections on Electronic Records R&D." (June 30, 1996) unpublished. Format: Rich Text Format
The attached note reflected thoughts on research and development in electronic records management that Barry shared with the organizers of the June 1996 Ann Arbor meeting on Electronic Records Research and Development. [abstract taken from paper.]

Berkowski, Gerry. "The Better Records Initiative." unpublished (Manitoba: Provincial Archives of Manitoba, 1997).
The Better Records Initiative was launched by the Provincial Archives in 1996, with a broad mandate to identify and address electronic records issues facing the Manitoba government. It is based on the Archives' statutory authority for corporate records management and archives policy and programs. The long-term goals of the Initiative are: the adoption and implementation of corporate recordkeeping standards and best practices; the protection and accessibility of viable electronic records; development of a new blueprint for preservation and provision of access to archival electronic records; and the drafting of new Archives legislation. [abstract taken from document.]

Bowen, David V., Steve Binns, and Alan Murdock. "Practical Issues in Implementing a Central Electronic Archive." in Proceedings of the DLM Forum on Electronic Records, Brussels, 18-20 December 1996, (Luxembourg,1997).
Pfizer Central Research at Sandwich has designed an electronic archive to provide long-term, secure, managed storage of business critical records. This Central Electronic Archive (CEA) is the result of close cooperation between Pfizer's Computing Services Department, Preclinical Information Technology Department, Records Management Unit, and several interested Users. Phase 1 of the project has been successfully completed and the archive is now operational. In this paper [the authors] will describe the architecture and operations of the archive and also some of the factors significant for the storage of electronic records within Pfizer. First we will outline the modular hardware and software architecture which we have implemented. Then [they] will describe the actual operation of the CEA from a User's perspective. Next [they] will outline the requirements that led us to this solution. Finally, we outline significant factors affecting the future of the archive. Throughout this paper [they] will use the functional requirements and metadata elements identified in the University of Pittsburgh project on electronic record-keeping systems as a reference point for our project. [abstract taken from document introduction.]

Bowen, David V., Alan Murdock, and David Ryan. "Roles and Responsibilities in Managing an Electronic Archive." in Proceedings of the DLM Forum on Electronic Records, Brussels, 18-20 December 1996, (Luxembourg,1997).
In this paper [the authors] will describe the emerging roles and responsibilities of creators, users and custodians of electronic records. Specifically, [they] will refer to the business imperatives that have led to the development and operation of an electronic archive within Pfizer Central Research division of Pfizer Ltd, in Sandwich, England. [They] will also refer to the roles and responsibilities that have been defined in system development, to the underlying and perhaps competitive requirements of record creators users and custodians, and how the Electronic Archive itself has extended the boundaries of responsibility for managing noncurrent electronic records. [abstract taken from document Summary.]

[ C ]

City of Philadelphia. Philadelphia Electronic Records Project. [http://www.phila.gov/city/departments/ems/erm.html]
The Philadelphia Electronic Records Project (PERP) is a two-year, National Publications and Records Commission (NHPRC)-funded effort to promulgate standards and exercise control over electronic records and electronic record systems created by the City of Philadelphia. The project, currently funded for its first year, is in its initial phase. The workings of the PERP is overseen by an Electronic Records Manager and a cooperative working group, the Electronic Records Group, that assists in accomplishing the multiple goals of the project. [abstract taken from web site.]

Committee IT/21, Records Management. Australian Standard® AS4390 -- 1996 (Homebush, NSW, Australia: Standards Australia, 5 February 1996).
The development and adoption of Standards Australia's Records Management Standard represents a substantial endorsement for the need to define responsibilities governing, in addition to implementing strategies for, the capture, maintenance, access, and disposal of records that satisfy recordkeeping requirements in both paper and electronic environments.

Cox, Richard J. "More Than Diplomatic: Functional Requirements for Evidence in Recordkeeping." Records Management Journal 7:1 (April 1997): 31-57. Format: Rich Text Format
In the 1990s, North American archivists and records managers shifted some of their concern with electronic records and record keeping systems to conducting research about the nature of these records and systems. This essay describes one of the major research projects at the University of Pittsburgh School of Information Sciences, supported with funding from the National Historical Publications and Records Commission. Specifically, the essay focuses on the project's four main products: recordkeeping functional requirements, production rules to support the requirements, metadata specification for record keeping, and the warrant reflecting the professional and societal endorsement of the concept of the recordkeeping functional requirements. [abstract taken from publication.]

Cunningham, Adrian. "Ensuring Essential Evidence."National Library of Australia News (November 1996).
This article presents a brief overview of modern approaches to ensuring that essential evidence in recordkeeping is captured and follows the development and impact of such conceptual models as the Australian records continuum and the University of Pittsburgh's Functional Requirements for Evidence in recordkeeping.

Cunningham, Adrian. "The Archival Management of Personal Records in Electronic Form: Some Suggestions." Archives and Manuscripts 22:1 (May 1994): 94-105.
The archival management of electronic personal records is notably absent from the increasing literature on electronic recordkeeping. This is a reflection of the fact that the professional impetus to develop strategies to manage electronic records has come from the government or organisational archives sector rather than from archivists working within the historic manuscripts tradition. Either by design or omission personal records have rarely entered the conceptual framework being explored by influential writers on electronic recordkeeping matters. This article outlines and analyses the issues surrounding the keeping of electronic personal records, suggests some strategies that personal records practitioners could consider adopting, and challenges both theorists and practitioners to open up this aspect of the electronic recordkeeping debate. [article reproduced from publication.]

Cunningham, Adrian. "Journey to the End of the Night: custody and the dawning of a new era on the archival threshold." Archives and Manuscripts 24:2 (November 1996): 312-321.
At the invitation of the editor, the author examines and comments upon the four preceding articles in this issue of Archives and Manuscripts. While initially critical of the position of the post-custodialists, the author now finds himself largely in agreement with the most recent development of the post-custodial position. He argues that the debate has been a positive development, a disagreement the archival profession had to have in order to achieve progress towards theoretically sound and workable solutions to the challenges posed by electronic records. [abstract taken from publication.]

Cunningham, Adrian, ed. "Personal Recordkeeping: Issues and Perspectives." theme issue of Archives and Manuscripts 20:1 (May 1996).


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