Electronic Records Research 1997: Resource Materials

Adams, Margaret O'Neill. "Punch Card Records: Precursors of Electronic Records." American Archivist 58, no. 2 (March 1995): 182-201.
(Abstract Provided).
Section 2 of the 1939 Federal Records Act defines the meaning of records to preface regulation related to records disposal and explicitly includes punch cards among the record types. The definition of records from the 1939 act and from its subsequent revisions have been used traditionally and statutorily as the definition of records applied to archives. The appearance of punch cards in a list of types of records at such an early point in the history of the U.S. National Archives suggests enlightened consensus on the records nature of this then-new form of documentary material. Punch card records emerged as a by-product of the introduction of information technology in the U.S. federal government in the early twentieth century, yet the U.S. National Archives accessioned only a very few collections of punch card records. This history of punch card records offers perspective on the manner in which records creators and archivists responded to the unprecedented challenge of punch cards as a form of documentary material. A review of this history provides the basis for an interpretation of the archival mission in a technologically based records environment.

Barry, Richard E. "Addressing Electronic Records Management in the World Bank." Electronic Records Program Strategies, 19-29. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18, Pittsburgh, PA: Archives and Museum Informatics, 1993.
Brief review of the evolution of records management in the World Bank since its creation in 1946. The author stresses the various approaches tried by this institution to manage its records and the various challenges posed by the increasing use of personal computers, connectivity to the Internet and the increasing use of electronic mail, and the rapidly changing demands on the employees -- especially an increased emphasis on speed and efficiency. The author focuses on the most recent approach -- a focus on document control.

Boss, Amelia H., and Mario A. Decastro. "The Impact of Fiscal Recordkeeping Requirements on the Migration Towards Electronic Technologies: The United States Experience." The EDI Law Review 1 (1994): 175-193.
(Abstract provided).
Companies utilizing electronic recordkeeping and governmental entities attempting to accomodate electronic recordkeeping within their existing recordkeeping requirements should take note of new regulation issued by the United States Internal Revenue Service governing the retention of mandated business records using electronic means.

Bradsher, James Gregory. "An Administrative History of the Disposal of Federal Records, 1950-1985." Provenance: Journal of the Society of Georgia Archivists IV, no. 2 (September 1986): 49-73.
The author discusses the efforts of the U.S. National Archives, over the course of three and a half decades, to effectively dispose of "temporary" records. Bradsher's overview eventually leads to a brief discussion of the issue of machine-readable records.

Doorn, Peter. "Electronic Records and Historians: The Case of the Netherlands." Electronic Information Resources and Historians: European Perspectives, Eds. Seamus Ross, and Edward Higgs, 219-225. The British Academy, London, 25 June 1926. St Katharinen: Scripta Mercaturae Verlag, 1993.
(Abstract provided).
The preservation of electronic records has become an important issue during the last few years in The Netherlands. The Dutch Public Records Office is carrying out research and pilot projects in order to develop a policy of electronic data archiving. Archiving and access to data files in public and private institutions are of great concern to scientific data archives such as the Netherlands Historical Data Archive (NHDA) and the Steinmetz Data Archives (STAR) for the social sciences. The tasks of these data archives are primarily oriented to computer files created for scientific purposes. Experience gained from the treatment of research files can be of use for 'traditional' archives which are confronted with masses of institutional files. This paper will pay attention to the following aspects of electronic data archiving: the size of the problem, financial aspects, centralized versus decentralized storage, criteria for selection of files, documentation and cataloguing standards, the problem of hardware and software dependence, and juridical aspects (privacy, confidentiality, copyright).

Fagerlund, Liisa. "Management of Electronic Records in the United Nations." Electronic Records Management Program Strategies, 12-18. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18 ed. Pittsburgh, PA: Archives and Museum Informatics, 1993.
Brief description of the United Nations' effort to manage electronic records since 1987, based on an approach of integrating electronic records with other traditional records systems.

Florida, Joint Committee on Information Technology Resources. Remote Computer Access to Public Records in Florida, Florida Joint Committee on Information Technology Resources, Tallahasee, FL, January 1985.
This report is a result of the Joint Committee on Information Technology Resources being asked to analyze the issue of computer access to public records in Florida -- with an emphasis on the impact of information technologies on accessing these records. The report "1) examines how access to computer-stored information is currently provided by record custodians; 2) explores the economic and technical feasibility of authorizing record custodians to provide computer access to public records; and 3) proposes policy to govern the provision of computer access to public records under Chapter 119, 'The Public Records Act.'" [1].

Frost, Eldon, and National Archives of Canada - Government Archives Division. "Issues Relating to Electronic Records: Report of the Government Division." (10 July 1992): 16 p.
This report outlines the direction and priorities of the Government Archives Division's Electronic Records Program -- including a two year working plan. Changes and adjustments to the directions set out in 1989 are explained. The following directions are detailed: 1) implementation of the acquisition strategy for government records through the planned approach will continue to provide the means for identification and acquisition of archival records in electronic form, 2) records in government office systems will be given more prominent consideration in records appraisal -- attention, by archivists, to the acquisition of such records and an annual review of the acquisition strategy will ensure this focus, 3) options for control and servicing of electronic records provided by the In-House System will be tested and expanded, and 4) development and training of staff to cope with records in electronic form.

Gottlieb, Peter. "Wisconsin's Electronic Records Work, 1979-93: A Once and Future Program." Electronic Records Management Program Strategies, 73-79. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18, Pittsburgh, PA: Archives and Museum Informatics, 1993.
As the author notes, this was the first state archives to have an electronic records program and the first to fail in managing such records. This essay follows the program from its start in 1979 with a grant from the National Historical Publications and Records Commission to the present. Gottlieb describes recent efforts, including an effort to have all public records staff involved in working with electronic records in order to avoid being dependent upon a single professional -- the model that led to early failure.

Granstrom, Claes. "Swedish Society and Electronic Data." Electronic Information Resources and Historians: European Perspectives, Eds. Seamus Ross, and Edward Higgs, 135-148. The British Academy, London, 25 June 1926. St Katharinen: Scripta Mercaturae Verlag, 1993.
(Abstract provided).
In Sweden the legal structure has a major impact on the issues surrounding electronic data. The most important act is the Freedom of Press Act which, amongst other things, states that every Swedish citizen shall have free access to official documents (records) in order to encourage the free interchange of opinion and the enlightenment of the public. Electronic data are equated with documents in the traditional sense. When a piece of information becomes an official document is also defined in the act. Also other acts such as privacy legislation, integrity legislation and archival legislation will be described as they are related to each other. How different directives etc from the European Community will affect this legislation will be described as well as the intensive discussion in Sweden about these matters. As the universities in Sweden are state agencies, the above mentioned acts are relevant for the work in the universities. Researchers at the universities have taken advantage of these acts to obtain information from other agencies. This fact and that Swedish society extensively uses a lot of EDP together with a 'personal number,' which is unique for each individual, is significant for the Swedish scientific society.

Hedstrom, Margaret. "New York State Archives and Records Administration (SARA) Electronic Records Program Status Report." Electronic Records Management Program Strategies, 68-72. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18, Pittsburgh, PA: Archives and Museum Informatics, 1993.
Like Kentucky and Wisconsin, New York has been a pioneer in developing electronic records procedures. This essay describes ten years of efforts, concluding with a new direction -- in the light of the lack of a unified state government information policy -- built on the assumption that "effective strategies for electronic records management and archival programs must be closely integrated with agency programs and practices and must utilize practical and effective tools that can be built into automated systems." [70].

Hesse, Bradford W., Lee Sproull, Sara Kiesler, and John P. Walsh. "Computer Network Support for Science: The Case of Oceanography."
(Abstract provided).
Scientific communities increasingly are establishing a presence on computer networks. We evaluated possible effects of network use on work and social structure in oceanography, using a random sample survey of ocean scientists and their institutions, the scientists' use of networks, are associated with scientific outcomes and styles of work. Our data suggest that, at least in this discipline and this population, computer support for science reinforces the social structure and work of the discipline -- enhancement effects. Some analyses suggest also that activities on computer networks contribute to structural and work changes in the discipline -- transformation effects. These results have implications for science technology policy, although the cross-sectional nature of our data requires further investigation through studies of change over time across disciplines and technologies.

Kelly, Wayne P. "GPO: Moving to an Electronic World." Information Services & Use 13 (1993): 41-45.
The author discusses the challenges facing the Government Printing Office (GPO) in "trying to transform itself from a printer to a multi-media disseminator of information products." [43].

Kesner, Richard M. "Group Work, "Groupware," and the Transformation of Information Resource Management." American Archivist 58, no. 2 (March 1995): 154-169.
(Abstract Provided).
This essay briefly considers the increasingly important role of computer-mediated tools in effective organizational communications: (1) electronic mail, offering one-to-one communication; (2) electronic conferencing, offering many-to-many communication; and (3) corporatewide information systems (CWIS), offering one-to-many communication. It then proceeds to explore in greater detail the role that a new generation of computer software, so-called groupware, is coming to play as an enabler and enhancer of these technologies, thus transforming information resource management (IRM) withing the modern organization. The author illustrates his points through the use of three mini-operations of Babson College. The Babson study is supplemented by two summary references to the use of similar products within a global accounting/consulting firm and within a large U.S. government agency.

Knight, Virginia. "The 1991 Census Datasets and Social Historians." Electronic Information Resources and Historians: European Perspectives, Eds. Seamus Ross, and Edward Higgs, 269-279. The British Academy, London, 25 June 1926. St Katharinen: Scripta Mercaturae Verlag, 1993.
(Abstract provided).
Manchester University is holding data from the 1991 Census both as microdata and as aggregated tables. Many of our users are social historians, and we offer support to them at all stages. The paper will discuss the potential of the 1991 Census for social research, the problems which must be acknowledged and how it may be used in conjunction with data from previous Censuses; it will also describe the setting up of the service and the technical problems in managing such large datasets.

Landis, William E., and Robert Royce. "Recommendations for an Electronic Records Management System: A Case Study of a Small Business." Archival Issues 20, #1 (1995): 7-21.
(Abstract provided).
The electronic records project underway at the University of Pittsburgh has promulgated functional requirements for record-keeping systems intended to be applicable to any setting. In fact, many components of these requirements delineate what should be "best practice" for the immediate and long-term design and management of electronic systems of all kinds regardless of their status as producers of records. As such, they indicate clearly the transferability and relevance of archival principles and practice to many facets of information technology applications. The authors have attempted to demonstrate this relevance by applying these functional requirements to the electronic files created by a graphic design company. Additionally, they recommend a balance of software and policy implementations appropriate for rationalizing the company's management of electronic records.

Marker, Hans-Jorgen. "Data Conservation at a Traditional Data Archive." Electronic Information Resources and Historians: European Perspectives, Eds. Seamus Ross, and Edward Higgs, 185-193. The British Academy, London, 25 June 1926. St Katharinen: Scripta Mercaturae Verlag, 1993.
(Abstract provided).
The Danish Data Archives (DDA) founded in 1973 has recently been incorporated into the national archives of Denmark, Statens Arkiver. The DDA holds strong views on the standard of documentation and processing needed for the long term preservation of data. The standards employed by the DDA exceed those used by most other data archives and most certainly are beyond what is feasible for a public archives receiving masses of data from the administration. Nevertheless the methods employed by the DDA and the general philosophy behind them, could serve as a starting point for a discussion on what to do with data that are so bulky that it is impossible within normal economic resources to get detailed knowledge on what they contain.

McDonald, John. "Managing Information in an Office Systems Environment: The IMOSA Project." American Archivist 58, no. 2 (March 1995): 142-153.
(Abstract Provided).
This paper is reprinted from John McDonald, "Information Management and Office Systems Advancement," in Information Handling in Offices and Archives, edited by Angelika Menne-Haritz (New York: K.G. Saur, 1993). It describes a public-private-academic partnership project that was led by the National Archives and that investigated the impact of office systems technologies on the management of electronic records. Prototype software for managing electronic records was tested, and functional requirements and other related products were developed. This paper describes the project and summarizes the findings.

McPhetres, Diana. "One Department's Development of a Data Management Strategy." Managing Electronic Records: Papers from a Workshop on Managing Electronic Records of Archival Value, eds. Dagmar Parer, and Ron Terry, 87-95. Sydney, New South Wales, Australia, 30 October 1992. Canberra, Australia: Australian Council of Archives Inc. and Australian Society of Archivists Inc., April 1993.
Description of the Australian Department of Immigration's use of electronic information technology. Most interesting was the difficulty in defining a record and a comparison of the electronic to the older paper system.

Miller, Michael L. "Disc Players, the Records Manager/Archivist, and the Development of Optical Imaging Applications." American Archivist 58, no. 2 (March 1995): 170-180.
(Abstract Provided).
Although the computer literature is full of stories about successful imaging (optical disc) applications, records management professionals have countless stories about failed ones. As the technology matures, archivists and records managers are increasingly being asked to join imaging application development teams. How can these disciplines contribute to a successful application? This paper suggests some indicators archivists and records managers can use in evaluating imaging applications and some questions they can pose to improve the chances that the application will be a successful one. It is not the goal here to look at long-term storage and transportability issues; rather, the essay concentrates on what records professionals can do to improve the odds that an imaging application -- either their own or one whose records they may someday inherit -- is a success.

Mills, A. Imaging and Records Management, Australian Government Employees Superannuation Board, June 1993.
Description of efforts by the Government Employees Superannuation Board to move from a paper-based records management system to an image based document management system. This report describes their intent to move from paper to electronic management, but it provides an excellent description of the problems of records management, what is involved in planning such a transition, and the need to contend with corporate culture. Nemeth, Gunther. "The Austrian Archive and its Data." Electronic Information Resources and Historians: European Perspectives, Eds. Seamus Ross, and Edward Higgs, 195-203. The British Academy, London, 25 June 1926. St Katharinen: Scripta Mercaturae Verlag, 1993.
(Abstract provided).
This study examines the need for the Austrian archive, the difficulties in using archive data for secondary analysis (e.g. questions posed and not posed by the users, the lack of awareness of secondary analyses), and explains where the archived datasets come from (e.g. via co-operating with donors and official data collectors). Among the problems that are examined are the important information not provided by donors and the effects of this upon secondary analysis, for example: sampling methods, weighting procedures, and mechanisms for substituting missing data. The work of the archives has also forced us to address the issues of comparability of data and questionnaires (e.g. basic problems comparing national and international datasets and the translation of questionnaires), the documentation standards of WISDOM, and accessibility of the data catalogue and the technological aspects of disseminating the data and documentation.

New York State Forum for Information Resource Management. Kiosk and Networked Delivery of Government Services - Final Report, NYS Forum for Information Resource Management, Albany, NY, 22 March 1994.
This report discusses the New York State Government's proposal to develop kiosk and networked service systems to transfer information (between what may entail widely dispersed locations) in support of government services to their constituents. The author's point out the goals this project is meant to work toward, the challenges that such a project presents, as well as consider the standards by which they will measure it's success. In addition, this report offers an overview of similar programs, either being piloted or that are in use, in other states and localities.

Parrott, Keith. "The Networked Access Model." Managing Electronic Records: Papers from a Workshop on Managing Electronic Records of Archival Value, eds. Dagmar Parer, and Ron Terry, 111-114. Sydney, New South Wales, Australia, 30 October 1992. Canberra, Australia: Australian Council of Archives Inc. and Australian Society of Archivists Inc., April 1993.
Brief description of efforts by the Australian Archives to develop policies for regulating electronic records being maintained by agency creators.

Picot, Anne. "Electronic Records Systems in the Roads & Traffic Authority, NSW." Archives and Manuscripts 22, no. 1 (May 1994): 52-66.
(Abstract provided).
The Roads & Traffic Authority of NSW is a state-wide organization with a large number of regional, zone and local offices. The article describes three computerized systems in the RTA, NSW, to illustrate some disposal and design problems and the various approaches taken to deal with them. It concludes with some general comments on these problems and on the implications of the current, transitional phase between paper-based systems and genuine, electronic records systems. It argues that archivists and records managers should intervene before re-creations of nineteenth century control systems are imposed on us as solutions to twenty-first century problems.

Prochaska, Alice. "The British Library and the Challenge of Electronic Media: A View from the Perspective of Special Collections." Electronic Information Resources and Historians: European Perspectives, Eds. Seamus Ross, and Edward Higgs, 167-173. The British Academy, London, 25 June 1926. St Katharinen: Scripta Mercaturae Verlag, 1993.
(Abstract provided).
The British Library is accustomed to the challenges of preserving information in many media. But electronic media present difficulties of a new order of magnitude, because of the high costs involved, as well as the volatility of much electronic material, both physically and in its textual content. The Library is becoming a producer of electronic materials on a large scale in its own right. In collection building, it is working carefully with publishers to secure the deposit of electronic materials; and it is exploring possible revisions to the law of 'copyright' deposit. In the case of archival acquisitions, the Library aims to acquire material of value to the 'national heritage' (a definition subject to continual review), in electronic as well as other forms.

Robb, Charles. "Kentucky Department for Libraries & Archives: Public Records Division Electronic Records Program Overview." Electronic Records Management Program Strategies, 63-67. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18, Pittsburgh, PA: Archives and Museum Informatics, 1993.
Consideration of the efforts since the early 1980s by Kentucky's State Government Archives to manage electronic records. The author notes successes and failures, but he stresses that the successes, and perhaps the future of such efforts, are the result of the archivists building relationships with the Kentucky information resources managers and policymakers.

Satarov, Georgy. "INDEM-USSR Systems: Data and Knowledge for Users." Electronic Information Resources and Historians: European Perspectives, Eds. Seamus Ross, and Edward Higgs, 73-76. The British Academy, London, 25 June 1926. St Katharinen: Scripta Mercaturae Verlag, 1993.
(Abstract provided).
INDEM-Union is a unique, historically important political information system embracing the fundamental data on Congresses of Peoples Deputies that transformed the Soviet Political System from 1989 to 1991. For example, INDEM-Union's analytical system permit researchers to explore voting patterns and relationship, to study the evolution of fractions, to contrast and compare voting behavior before and after major turning points in USSR political history. The political information system's database includes biographies of each deputy, details of their constituency, particulars of their status in the Supreme Soviet, and sources of bills and voting records.

Shinn, Hugh W. "The Electronic Triumvirate: The Archives; The Data Processors; and the New York State Department of Correctional Services Inmate Files: A Case Study." Unpublished conference paper IASSIST, 1992.
(Abstract provided).
The New York State Archives and Records Administration (SARA) was one of the first state archives in the United States to accession electronic records into its holdings and make them available to the public. SARA worked with the New York State Education Department's (SED) electronic data processing division (EDP) to obtain main frame computing services. SARA's dependency on SED EDP for data processing services required the development of a positive relationship with SED EDP. This case study examines the relationship between a government archival institution working with electronic records and a centralized data processing unit that is completely unfamiliar with the operation and requirements of a data archive. There are two levels of a successful relationship: formal, which includes agreements on hardware, disk space, training, etc.; and informal, including the development of creative solutions to technical or procedural problems. These levels of interaction were necessary because SARA (unlike other SED divisions) developed and executed its own applications rather than use the traditional EDP services.

Skaggs, Deborah. "Alabama Electronic Records Program Status Report." Electronic Records Management Program Strategies, 58-62. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18, Pittsburgh, PA: Archives and Museum Informatics, 1993.
An interesting report on activities by the oldest state government archives in the nation, focusing on efforts of the past five years. This report stresses the needs to develop more strategic initiatives and to try to re-position a traditional government archives and records management program in order to deal with electronic records. Not surprisingly, this assessment reveals no evidence of actual success in managing this state's electronic records but emphasizes preparations for taking on such work.

Stout, Lee. "Electronic Records Program at Penn State University." Electronic Records Management Program Strategies, 80-81. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18, Pittsburgh, PA: Archives and Museum Informatics, 1993.
Brief description of the National Historical Publications and Records Commission (NHPRC) funded project to evaluate 3200 data history files held by Penn State University.

Stout, Lee. "The Role of University Archives in the Campus Information Environment." American Archivist 58, no. 2 (March 1995): 124-140.
(Abstract Provided).
Building on a successful records management program, the Pennsylvania State University Archives launched an Electronic Records Appraisal project as an opportunity to join as a partner with administrative computing in addressing the retention and disposition of electronic records. More than 3,600 datasets from fourteen administrative and academic areas were evaluated in the twenty-seven month project. Only fourteen datasets were appraised as having archival value, however, the vast majority lacked sufficient documentation to make a full appraisal decision. The project's recommendations addressed this problem and also pointed out policy inconsistencies on use of confidential data. The archives has continued to work with administrative computing on electronic archiving and records management policy and process issues. This partnership helps the archives advance its services a both historical information provider and steward of institutional records in all formats of enduring value.

Thibodeau, Kenneth. "Electronic Records Activities at the U.S. National Archives and Records Administration." Electronic Records Management Program Strategies, 55-57. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18, Pittsburgh, PA: Archives and Museum Informatics, 1993.
Very brief description of recent activities of NARA's Center for Electronic Records, mostly describing efforts since 1988 when the Center was formally organized. This review reflects the traditional approaches of accessioning electronic records. The author, while noting planning efforts, suggests that the Armstrong, et al v. Executive Office of the President, et al court case, regarding the definition of electronic mail as records, cannot be dealt with because of the continuing status of the case.

United States National Technical Information Service. FEDLINE: A Feasibility Study of the Establishment and Operation of FedWorld, a Government-Wide Information Locator System at NTIS, 28 April 1993.
This paper responds to the American Technology Preeminence Act of 1991's requirement, in the statute, that a feasibility study be done to examine the establishment and operation, by the National Technical Information Service (NTIS), of a Government online locator system, called FEDLINE (referred to as "FedWorld" in this paper, as "FEDLINE" is already a commercial registered trademark). [1].

Last Modified: 8/14/96 [kjb]