Electronic Records Research 1997: Resource Materials

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

Bibliography of Background Materials and Findings
G, H, I

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[ G ]

Guercio, Maria. "Records in an Electronic Environment: Definition, Nature and Functional Requirements of a Recordkeeping System." unpublished. Format: Rich Text Format
In a paper aimed at identifying strategies for the long-term conservation of electronic records, the problem of defining the "record" and its essential nature unquestionably constitutes not only the first step but also the basic theoretical premise upon which the entire study is based and which should, as such, be able to draw upon the consolidated bedrock of archival science. In actual fact, however, the task of identifying a common terminology and shared set of concepts has proved far more taxing than expected despite the existence of tools both known and used for quite some time in the international context, including the Dictionary of Archival Terminology published by the International Council on Archives (ICA). Paramount among the many causes from which this difficulty stems is the fact that the technological development now under way is leading to radical changes also in the area of record creation and management. The enormous growth of tools of digital communication is rapidly transforming traditional records into electronic formats in an increasingly large number of organizations using common systems and products that are integrated at both national and international level. Such advances are already forcing those operating in the sector to apply greater stringency in formulating a set of common principles and general solutions capable of going beyond national borders and the diversity of national legal systems. [abstract taken from Introduction.]

Guercio, Maria (Italian National Archives) and Stefano Pigliapoco (University of Macerata, Fermo School of Archival Science). "Identification and control of documentary and business procedures: an integrated model for accountability and transparency in the public sector." A Case Study from the University of Macerata. unpublished. Format: Rich Text Format
What we shall seek to analyse in this report through a case study and with reference to the European context comprises only one of these functions and the related procedures: records creation and its close connection with the documentary and business procedures which guide and regulate the creator's transactions, their phases, and their intermediate and final results from a documentary point of view. The aim of this analysis is to show the importance of the role played by an adequate recordkeeping system in the electronic environment both as regards officer accountability and the transparency of administrative activities with respect to the fragmentation of bureaucracy and its internal organization, and in the private sector with a view to providing an efficient and reliable records system to support the decision-making process and preserve documentary evidence. [abstract taken directly from paper. content.]

[ H ]

Hedstrom, Margaret, ed. Electronic Records Research and Development: Final Report of the 1996 Conference held a the University of Michigan, Ann Arbor, June 18-19, 1996. Sponsored by the School of Information and the Bentley Historical Library, funded by a grant from the National Historical Publications and Records Commission (96-12). (Ann Arbor, Michigan, 1997). [http://www.si.umich.edu/e-recs/]
On June 28-29, 1996 seventy-two people participated in an invitational conference on Electronic Records Research and Development at the University of Michigan in Ann Arbor. The purpose of the conference was to bring together archivists, records managers, educators, information management specialists, and representatives of funding agencies to evaluate the findings of recent research on the management and preservation of records in digital formats, consider the implications of these findings for graduate and continuing education, and propose topics and methods for future research. [abstract taken from Executive Summary].

Hedstrom, Margaret. "How Do We Make Electronic Records Accessible and Usable," paper prepared for Documenting the Digital Age, An Invitational Conference sponsored by Microsoft, MCI, and the National Science Foundation, San Francisco, February 10-12, 1997.
This paper provides a broad exploration of the concepts behind and actions needed to be taken to ensure meaningful access to and usability of digital materials over time.

Hofman, Johan (National Archives of the Netherlands). "The Dutch Experience in the Field of Electronic Records." Journal of the Irish Society for Archivists (Spring 1997): 37-41.
This paper presents an overview of the experiences gained over the past five years by the National Archives of the Netherlands. It also discusses the nature of the Digital Longevity project, of which the ultimate goal is to "guarantee/safeguard the enduring accessibility and availability of electronic records in all their appearances" and addresses future directions.

Hofman, Johan. "Multidisciplinary Aspects of Electronic Documents, Concept of Electronic Documents Life Cycle, Characteristics and Links with Information Flow/Workflow." earlier version of a paper in Proceedings of the DLM Forum on Electronic Records, Brussels 18-20 December 1996, Luxembourg 1997. Format: Rich Text Format
Paper given at the 1996 DLM Forum. This paper encompasses an exploration of 1) the nature of the information society as viewed through its developments and consequences, 2) the recordkeeping domain, by explaining a framework that "encompasses the domain of record keeping and a common language or terminology," 3) identifying the main issues with multidisciplinary aspects and possibilities for cooperation, and 4) considering what issues, with regard to electronic records, need to be addressed in future by the European Union.

Hopkins, Diane, Karl Lawrence, Ana Flavia Fonseca, Richard Barry, and Samia Benidir. "Extending EDMS to Encompass ARM Requirements at the World Bank." FID News Bulletin 45:6 (June 1995): 185-190.
Document management means many things to many people. In the context of an institution which produces and disseminates large volumes of information, most documents produced and used by staff in the course of daily business are actually records of the parent institution. There is a plethora of software packages on the market today which are known as document management systems, and an equally large array of packages that call themselves records management systems. However, there do not appear to be any products to-date which merge the functionality of both groups. In the context of the World Bank's information management architecture and computing strategy for the late 1990s, we have found it necessary to articulate the functional requirements of an electronic document management system (EDMS) that can serve as an institution-wide utility and a building block in application systems that support specific business processes. Given that the documents created by these systems would naturally be records resulting from the relevant business process, the EDMS must also incorporate features intended to support management and disposition of the record, and to ensure archival integrity and context. Assuming that the functional requirements for electronic document management are generally known to the FID audience, this presentation will focus on those requirements which specifically address archival and records management (ARM) concerns. [abstract reproduced from publication.]

[ I ]

Indiana University Electronic Records Project. [http://www.indiana.edu/~libarche/index.html]
In June, 1995, Indiana University began a two year project funded by the National Historical Publications and Records Commission (NHPRC) and Indiana University to implement functional analysis methodology and to test the ideas regarding functional requirements for recordkeeping and the critical role of metadata put forward by David Bearman, Richard Cox, and the project personnel associated with the University of Pittsburgh Electronic Records Project. Project personnel identified four stages of development for the project: Stage 1: Functional analysis of business units, identification of business transactions, and identification of basic information categories necessary for establishing evidence of specific business transactions; Stage 2: Identify and describe existing recordkeeping systems which store data for the previously identified business transactions; Stage 3: Evaluate the existing systems in terms of the "Functional Requirements for Evidence in Recordkeeping" and the Metadata Specifications Derived from the Functional Requirements" developed at the University of Pittsburgh; Stage 4: Analyze results and report on findings. The goal is to complete at least two field tests of the methodology before the project ends. The first field test is scheduled to begin at the end of April, 1997, and will focus on the business area of student financial aid. Project deliverables will include: Evaluations of results derived from the field tests of the methodology; an evaluation of the attempt to create recordkeeping systems from information systems; an analysis of costs associated with this methodology; rationales for selecting a subset of the Pittsburgh "Functional and Metadata Requirements;" a methodology for evaluating recordkeeping systems based on several field tests. [abstract taken from web site.]

International Council on Archives (ICA), Committee on Electronic Records. Guide for Managing Electronic Records from and Archival Perspecitive, Electronic Records Programs: Report on the 1994/95 Survey, and Electronic Records Literature Review (prepared by Alf Erlandsson). [www.archives.ca/ica/].
The Guide is designed to help archival institutions reposition themselves to address the management of archival electronic records. Part I begins with an overview of the technological, organizational and legal trends that are having an impact on the ability of organizations, including archives, to keep and manage records that are in electronic form. It continues with a discussion of key concepts such as "record" and "record keeping" describing how these are impacted upon in the electronic environment, and then proposes strategies for accomplishing the life-cycle management of electronic records. Part I concludes by describing - from the legal, organizational, human resources and technological perspectives - the implications for archives of repositioning themselves to manage archival electronic records. Over time, implementing the proposed strategies will require the crafting of tactics, including standards, which can be recommended for adoption by archives. Part II of the Guide represents a first attempt by Committee members to articulate such a tactical approach. It is anticipated that the contents of Part II will be expanded over the next year, and that it will form the basis for development by the Committee of a series of recommendations to guide archives at the "how to" level. ** The purpose of the survey, which was generously supported by the Centre des Archives contemporaines [Les Archives nationales de France] and the National Archives of Singapore, was to compile a directory of those archival institutions that have established or are planning to establish a program to manage electronic records. The directory is intended to facilitate information sharing and to highlight problem areas that the Committee should address. It is also intended to serve as a baseline upon which progress in establishing electronic records programs at the international level can be assessed through time. As well as a report on the findings of the survey, the product contains detailed tables describing information on the organizational and legal frameworks for electronic records programs, their program structures, and their technical specifications, information holdings, and access provisions. ** Based on an exhaustive review of the international literature on electronic records, Alf Erlandsson of the International Monetary Fund produced for the use of the Committee a substantial document that provided an excellent overview of the evolution that has taken place in the concepts and strategies related to the management of electronic records from an archival perspective. The Committee concluded that because the literature review could help archivists understand the broad context within which strategies such as those discussed in the Committee's draft Guide have been placed, it should be made available more broadly. It is hoped that the literature review will provide an important tool for use in education and training programs that focus on electronic records. The literature review will be updated periodically. [abstract taken from web site.]

International Council on Archives (ICA), Committee on Electronic Records. Products of the Committee on Electronic Records. (April 1997). Format: Rich Text Format
The ICA Committee on Electronic Records was created in 1993 to undertake study and research, promote the exchange of experience and draft standards and directives concerning the creation and archival processing of electronic records. Based on this mandate, the Committee developed three products, all of which were tabled as consultation drafts at the ICA Congress held in Beijing in September 1996. [abstract reproduced from publication.]


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