Electronic Records Research 1997: Resource Materials

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

Bibliography of Background Materials and Findings
S, T, U

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Samuel, Jean. "The Intellectual Infrastructure Underpinning Records Management within Pfizer Central Research." (Sandwich, Kent: Pfizer Central Research, 14 April 1997). Document not available in electronic form.
In discussions with fellow professionals regarding the progress that Pfizer Central Research is having in installing and implementing its Central Electronic Archive (CEA) there is always surprise expressed that its development is complementary to and has the same intellectual base as our hard copy Records Centre. Although the mantra of 'regardless of medium" has been used in the records management world for at least a decade it now seems that it Was only thought to apply to the need for records management not the actual process. When formal records management, in the form of the Records Management Unit (RMU) was established at Pfizer Central Research, Sandwich, it was fully recognised that the programme and operations put into place must be anticipate and be applicable to electronic records. This resulted in an intellectual schema developed by records management the concepts of which is equally effective regardless of medium. The schema, known within RMU as the Matrix, is the back bone of accessions, retrieval and retention scheduling operations. It became clear that our success heavily relied on the fact that, although it has been implemented across many products and systems, the concept stands independent of them. Members of Pfizer Research records management team have repeatedly been asked to publish this concept for others to share, particularly in tems of understanding the CEA approach, and so this paper. [abstract taken from document Introduction.]

Smith, David. EROS: Case Studies: Department of Health: Management of Electronic Documents Strategy. (London: Public Records Office and Central Computers and Telecommunications Agency, October 1996). Format: Rich Text Format
[Crown copyright. Reproduced by permission of the Controller of Her Britannic Majesty's Stationary Office.]
This case study traces the progression of the U.K. Department of Health's Office Information System, which, given circumstance outlined in the paper, had to be installed in the DH estate over a short 24 months, through the subsequent Document Management Initiative (DMI), and the Management of Electronic Documents Strategy (MEDS). The author outlines the strategic aims, major requirements, system structure/architecture, controls/rules/standards, information/records structure and retrieval, and draws conclusions about the strategic implications and implementation of this project.

Soutar, Ian, Richard Blake, and Ian Macfarlane. EROS: Case Studies: Foreign and Commonwealth Office (FCO): Minerva Project (London: Public Record Office and Central Computers and Telecommunications Agency, October 1996). Format: Rich Text Format
[Crown copyright. Reproduced by permission of the Controller of Her Britannic Majesty's Stationary Office.]
The Foreign and Commonwealth office (FCO) had installed in 1992 an office automation system for the registration and transmission of documents called Automation and Electronic Registry System (ARAMIS) and it is now used by the vast majority of FCO departments in the UK and many overseas posts as well. It is a character-based system that runs on RS6000 hardware under IBM AIX, and employs Uniplex, BRS-Search and Informix software. All registration of files now takes place on ARAMIS within those departments that have it. Documents created within ARAMIS are registered and held in a purely electronic form. The Library and Records Department (LRD) which is responsible for the maintenance of the FCO Official Record and for ensuring that the FCO fulfills its obligations under the Public Records Acts had to prepare to accept an intake of records in electronic form. To address this need it developed a procurement requirement for an electronic archival system capable of holding registered documents and associated data originating in ARAMIS in a secure central repository. This system is to be known as the Multiple Information Evaluation and Retrieval System (MINERVA) and its purpose is to hold the FCO's official record, which will be transferred to the Public Record Office after 30 years. All the data must be readable, accessible and secure. It will form a central component of the FCO's records management operations, and is expected to receive some 15 million documents in the first 10 years of its life. The system will support the records retrieval and enquiry service provided by the Archives and Retrieval Services to the FCO and other Government Departments and, when the files are 27 years old, will also support the processes of the Selection Review and Declassification Services that sift, prepare and transfer records to the PRO. [abstract reproduced from publication's Introduction.]

Sutton, Michael J. D. Document Management for the Enterprise: Principles, Techniques, and Applications (New York: John Wiley & Sons, 1996).
Enterprise Document Management is a new and fast-developing field. It is also a tool that businesses and other organizations can--and I would say must-use to survive and to compete in the modern world. Further, I would say that Enterprise Document Engineering (EDE) will change the way that enterprises operate...This book treats the business of building and maintaining document management systems as a professional engineering activity. The best professional techniques and tips are integrated with specialized knowledge of document management systems. A summary of Points To Remember concludes each chapter, highlighting the most significant information. [abstract taken from book Preface.]

Sutton, Michael J. D. "Organizational Obstacles to Managing Electronic Records: Corporate Dis-eases to Overcome for a Successful Initiative," Information Management: Strategies, Systems and Technologies (Spring 1997).
Why do so many private and public sector workplaces unwillingly embrace change? Change, of course is stressful. Too often we have to run as fast as we can just to stay in the same place, and any perceived or actual progress means running at least twice as fast. There are many stresses that come with the introduction of an Enterprise Document Management System (EDMS). Some aggravate organizational issues such as resolving which documents to file and which to trash. Some provoke system issues such as selecting an ad hoc, de facto, ISO, or industry accepted standard to apply to an EDMS. And, some are exacerbating people issues such as the skill set required of staff and managers to appropriately administer an EDMS as it is implemented. In this article we will attempt to itemize some of the obvious and not so obvious obstacles inherent in the document engineering processes embraced by an EDMS initiative. [The author's] objective is to arm the IS manager or end user business manager with an awareness of the issues that evolve before and during implementation. Hopefully, some of the suggested approaches to overcoming these obstacles will be found to be useful. [abstract taken directly from article Introduction.]

Sutton Michael J.D. "Obstacles to Overcome for a Successful Enterprise Document Management System Initiative." ARMA Technologies for Managing Information (Spring 1997).
There are many stresses that come with the introduction of an Enterprise Document Management System (EDMS). Some aggravate organizational issues such as resolving which documents to file and which to trash. Some provoke system issues such as selecting an ad hoc, de facto, ISO, or industry accepted standards to apply to an EDMS. And some are exacerbating people issues such as the required interaction with staff and managers who become glass-eyed when they reminisce about the workplace of yesterday. This article is an attempt to itemize some of the obvious and not so obvious obstacles inherent in the document engineering processes embraced by an EDMS initiative. [abstract taken directly from article.]

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Thiele, Harold. "Electronic Recordkeeping: Accountants and the Internal Revenue Service: Accountability with Teeth in the Electronic Age." [working draft] unpublished. Format: Rich Text Format
[This paper discusses how] the theoretical framework supporting the Functional Requirements for Evidence in Recordkeeping should provide a strong framework that will enable the ARM community to join forces with the accounting profession in seeking robust and compliant recordkeeping systems. If these two groups can find agreement with and use the functional requirements in conjunction with the IRS mandates to buttress their case with the IS/IT staff, they can develop a working recordkeeping system that supports the tax reporting requirements. This effort should provide an exemplar system that can then be extended to cover other recordkeeping areas. [abstract taken from document conclusion.]

Tombs, Kenneth. PRO Electronic Records in Office Systems Programme, Industry Change (sub-) Programme (EROS-ICP) -- Joint British Standards Institution and Public Record Office Standard Working Group IDT/1/4. (London: Public Records Office, October 1996). Format: Rich Text Format
[Crown copyright. Reproduced by permission of the Controller of Her Britannic Majesty's Stationary Office.]
The basic requirement of the EROS Programme is to find ways acceptable to both departments and the PRO of transferring electronic records into the PRO, storing them and eventually making them available to the public, electronically rather than on paper. The Industry Change Programme (ICP) is that part of the EROS approach that focuses on suppliers and the elements of their EDM systems that impact upon how EROS meet its objectives. To focus the work required with suppliers the Advisory programme Board has agreed a Strategy for bringing about industry change. This Strategy is based upon a pragmatic view of standards, supplier influences and their customer communication. This strategy is intended to be 'alive and dynamic,' which requires this operational document to be 'live' and a reflection of the current situation. The ICP BSI Working Group forms a major component of the EROS programme to safeguard and facilitate the transfer of electronic records from government departments to the PRO to meet the requirements of the Public Records Act. It is expected that the WG will be transitory and in time be replaced by an exclusively BSI or ISO Committee. In turn, it is expected that this Working Group will spawn and motivate further standardisation, and more elegant solutions to the long term needs of archive community. [abstract taken from Introduction.]

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United States, Alabama, Alabama Department of Archives and History, Government Records Division. Functional Analysis of Alabama Government. [extracts] undated. Format: Rich Text Format
Public officials are responsible by law for ensuring that their records are protected and accessible. This responsibility applies regardless of the records storage media. These guidelines are for use by public officials in the design of responsible digital imaging systems that may be used for creating or maintaining long-term or archival records. The guidelines are advisory in character and are not intended to serve as a rigid set of requirements. National technical standards, established practices, and research in the professional literature form the basis for these guidelines. The leaflet is designed to identify critical issues for public officials to consider in designing, selecting, implementing, and operating digital imaging technologies. These issues are especially important for systems used for mission critical records or for long-term or archival records. Stated briefly, digital imaging is defined as the ability to capture, store, retrieve, display, process, and communicate or disseminate records electronically using a variety of hardware and software components. Digital imaging technology continues to change at a rapid pace, but with the proper planning and design, an agency can significantly improve its business operations without endangering business processes through technology obsolescence. The potential benefits of digital imaging systems can best be achieved through an agency planning process. This process examines the information needs and records requirements of the agency as a whole rather than a single, isolated application. The recommendations for this set of guidelines are listed in order of their implementation. [abstract taken from document Introduction.]

United States, Alabama, Alabama Department of Archives and History, Government Records Division. Guidelines for the Use of Digital Imaging Technologies for Long-Term Government Records in Alabama -- Technical Leaflet. Revised Draft (April 1997). Format: Rich Text Format
A functional analysis of government supports the examination of all its activities, and therefore, encourages the documentation of the full multiplicity of activities that make up modern organizations. With a functional understanding of government, the Alabama Department of Archives and History, hereinafter referred to as the Archives, can select wisely from the abundance of records to ensure the identification, preservation, and accessibility of archives. [abstract taken from document Introduction.]

United States, Alabama, Alabama Department of Archives and History, Government Records Division. Legal Admissibility of Public Records (January 1996). [http://www.asc.edu/archives/ol_pubs/leg_adm.html]
Private organizations and government agencies throughout the world use records as a basic business too. Records serve as an instrument management, document business transactions, show compliance with statutes and regulation, and provide the recorded history of an organization. Computers raise new legal questions about the creation and management of records. These questions must be answered by agency officials so that the use of new information technologies complies with the legal records requirements of the organization. The most important feature of a record keeping system is to support good management but, without the appropriate records, and organization can be fined or penalized, lose rights, or experience adverse judgments or administrative decisions. [abstract reproduced from Introduction.]

United States, Alabama, Alabama Department of Archives and History, Government Records Division. Public Officials: Your Records Responsibilities and the Law. (January 1996). [http://www.asc.edu/archives/ol_pubs/pub_off.html]
Public officials are legally obligated to create and maintain records that adequately document government business. Government records provide evidence of agency operations and serve as a mechanism of accountability to the citizenry. Public officials, therefore, are responsible for ensuring that their records, despite storage medium (i.e., paper, microfilm, magnetic tape, or digital optical disk), are usable for as long as necessary to satisfy record keeping requirements. Good record keeping practices form part of the overall management of an organization, in addition to satisfying official and legal obligations. [abstract reproduced from Introduction.]

United States, Delaware, Delaware Public Archives. The Delaware Project: Ensuring Our Electronic Legacy. [http://del-aware.lib.de.us/archives/del-proj.htm]
The Delaware Project is a two-year, federally funded project by the Delaware Public Archives to design and implement a program for the ongoing management of electronic records in Delaware government. The project has received funding from the National Historical Publications and Records Commission (NHPRC) in the amount of $101,000. The Delaware Project consists of three distinct tracks: training and education, a study of functional requirements for electronic record keeping, and an examination of existing electronic systems in government. [abstract taken from home page introduction.]

United States. National Historical Publications and Records Commission. Research Issues in Electronic Records. (St. Paul, Minnesota: Minnesota Historical Society, 1991). [obtain from NHPRC by emailing: nhprc@arch1.nara.gov].
On January 24-25, 1991, forty-six individuals from a variety of disciplines gathered in Washington, D.C., for the Working Meeting on Research Issues in Electronic Records. The purpose of the meeting, sponsored by the Minnesota Historical Society and funded by a grant from the National Historical Publications and Records Commission (NHPRC), was to: 1) identify issues; 2) describe research opportunities, methodologies, and projects; and 3) determine priorities for projects contributing to the better management of archival information in electronic form. In short, meeting participants were to examine issues related to the identification, preservation, and long-term use of electronic records and to produce a national agenda for research in the archival management of such records. Their recommendations were to guide the NHPRC and other funding agencies interested in supporting archival electronic records projects. [abstract reproduced from Executive Summary.]

United States. Texas. Facing the Future: A Vision for Information and Technologies to Serve Tomorrow's Texans." [http://www.state.tx.us/DIR/sap95.html]
[The] Vision of a Future Texas describes a broad new approach to providing government information and services to the public. It promises improved sharing of information between agencies, and addresses roles for public and private sector providers. To illustrate how this plan will benefit average Texas citizens, several personal profiles are featured throughout the document... [the] Current Assessment summarizes the major challenges of coordinating information resources across the sprawling bounds of the state. Agencies strive to meet citizen needs through creative applications of information resources. Innovative technologies are emerging throughout state government, and slowly changing the ways that services are delivered. .. In Goals and Objectives [they] champion both a general direction and specify ways that information and technologies should be used to help achieve [their] vision of a future Texas. [Their] four goals entail establishing an information resources infrastructure, standards, and methodologies, and improving information accessibility and usability. These goals set specific objectives for projects and practices, and identify important initiatives such as electronic mail, videoconferencing, and indexes to government information. Taken together, [their] recommendations are those having the potential to generate the most positive effect on the appropriate strategic application of technology to meet citizens' needs. [abstract taken from web site Introduction.]

University of British Columbia - Masters in Archival Studies Programme, The Preservation of the Integrity of Electronic Records Research Project. [also available online at the following address: http://www.slais.ubc.ca/users/duranti]
The objectives of the research project are: to establish what a record is in principle and how it can be recognised in an electronic environment; to determine what kind of electronic systems generate records; to formulate criteria that allow for the appropriate segregation of records from all other types of information in electronic systems generating and/or storing a variety of data aggregations; to define the conceptual requirements for guaranteeing the reliability and authenticity of records in electronic systems; to articulate the administrative, procedural and technical methods for the implementation of those requirements; and to assess those methods against different administrative, juridical, cultural and disciplinary points of view. [abstract taken from project web site.]


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