Since the publication of Research Issues in
Electronic Records (June 1991), the National Historic Publications and
Records
Commission (NHPRC) has funded numerous research projects on electronic records.
This bibliography pulls together citations to the publications and products
of these grant-funded projects. It includes published articles and reports,
links to project websites, and reports available on the web. Entries are
arranged
in reverse chronological order by year of the grant award. Each grant is
briefly described using information and the grant number from the NHPRC
website. This
list does not include all NHPRC electronic records projects. Consulting grants,
for example, have been omitted. It does include, however, grants for projects
for which no published materials have yet been located.
UCLA
& San Diego Supercomputer Center: A
conditional two-year grant on behalf of the University of California at Los
Angeles; the San Diego Supercomputer Center at the University of California,
San Diego; and the State University of New York, University at Albany; for
its Information Technology and Policy Curricula Project to identify educational
needs in the area of electronic records management. (2001-36)
Indiana University,
Bloomington, IN: A conditional two-year grant for its Developing Instructional
Programs in Electronic Records Management Project to develop and teach classes
on electronic records management. (2001-31)
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The Global Industry
Interagency Group, Woburn, MA: A conditional 15-month grant for its Good
Electronic Recordkeeping Practices Project to pull together from the best
available knowledge and practices Good Electronic Records Practices for the
long-term preservation of and access to electronic records. (2001-32)
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Minnesota Historical
Society, St. Paul, MN: A conditional two-year grant for its Educating
Archivists and Their Constituencies Project to develop workshops on the eXtensible
Markup Language (XML) and metadata as they apply to archival concerns about
electronic records.
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University at
Albany, SUNY: A 15-month grant to continue the funding of its Long-Term
Preservation of Authentic Electronic Records Project, which supports the non-NARA
elements of the U.S. research team taking part in the InterPARES Project,
an international research initiative to develop the theoretical and methodological
knowledge required for the permanent preservation of authentic records created
in electronic systems. (2001-5). Also, An 18-month grant of up to $425,000
for its Long-Term Preservation of Authentic Electronic Records Project to
fund the non-NARA elements of the U.S. research team participating in the
InterPARES Project. (99-073)
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The Ohio Historical Society,
Columbus, OH: A conditional three-year grant for its Developing Best Practice
for a Semi-Custodial Electronic Records Repository Project.
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South Carolina Department
of Archives and History, Columbia, SC: A conditional two-year grant for
its Electronic Records Training and Awareness Program to develop and conduct
six workshops on electronic records issues. (2001-35)
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San Diego Supercomputer
Center (SDSC) at the University of California, San Diego: CA, to conduct
This project will The Regents of the University of California: A three-year
grant to build upon the SDSC's previous research on long-term preservation
of and access to software-dependent electronic records. The previous research
was conducted for the National Archives and Records Administration (NARA),
the National Science Foundation (NSF), the Defense Advanced Research Projects
Agency (DARPA) and other sponsors. The NHPRC-funded project will specifically
look at the scalability and usefulness of the technology in archives other
than NARA.(2000-40)
- Project
Homepage: Methodologies for Preservation and Access of Software-dependent
Electronic Records. <http://www.sdsc.edu/NHPRC/>
(12 Nov 2000) The website provides access to the project proposals, project
reports, and progress reports, mostly in .pdf format.
PROJECT PROPOSALS:
- NHPRC
Proposal: June 1, 1999 Project Summary. <http://www.sdsc.edu/NARA/Publications/nhprc_summary.pdf>
(12 Nov 2000) The summary provides details of the purpose and goals of the
project, including an analysis of the project goals relative to the aims
of the NHPRC. It includes projected methodologies, a plan of work for the
period of the grant, goals for publications during the period of the grant,
and a list of key personnel.
- NHPRC
Proposal: June 1, 1999 Project Proposal. <http://www.sdsc.edu/NARA/Publications/nhprc_latest.pdf>
The proposal provides a detailed account of the goals and methodologies
described in the summary, as well as the motivation and need for the research
in terms of the goals of the NHPRC. It includes an in-depth description
of the use of XML in creating an IIP (infrastructure-independent proxy)
to allow for sustained access to preserved electronic records. Also included
are detailed reports on the goals of individual personnel involved in the
project.
PROJECT REPORTS:
- 2000
NARA Research & Development Plan and Schedule (RDPS). <http://www.sdsc.edu/NARA/Publications/nara-rdps-2000.pdf>
The 2000 RDPS details the progress of the three tasks described in the 1999
RDPS. The projects main tasks of studying data ingestion, persistent storage,
and metadata archiving are broken down into series of sub-tasks, complete
with detailed reports on the efforts of the researchers to address each
sub-task. The Archivists' Workbench is expanded to include an Accessioning
Workbench and a Reference Workbench.
- 1999
NARA Research & Development Plan and Schedule (RDPS). <http://www.sdsc.edu/NARA/Publications/nara-rdps-1999.pdf>
The 1999 RDPS details the three main tasks of the project: research of data
ingestion, persistent storage, and metadata archiving. Topics addressed
include the objectives, issues, and projected products of each of the three
tasks.
ARTICLES:
- Moore, Reagan, Chaitan Baru, Arcot Rajasekar,
Bertram Ludaescher, Richard Marciano, Michael Wan, Wayne Schroeder, and
Amarnath Gupta. Collection-Based
Persistent Digital Archives - Part 1. D-Lib Magazine 6:3(March
2000). <http://www.dlib.org/dlib/march00/moore/03moore-pt1.html>
The authors discuss the feasibility of preservation of digital information
for long periods of time, using technology from supercomputer centers and
data grid technology from the computer science community, information models
from the digital library community, and preservation models from the archivist's
community. The authors address problems of persistence issues and implementation
strategies.
- Moore, Reagan, Chaitan Baru, Arcot Rajasekar,
Bertram Ludaescher, Richard Marciano, Michael Wan, Wayne Schroeder, and
Amarnath Gupta, Collection-Based
Persistent Digital Archives - Part 2. D-Lib Magazine 6:4(April
2000). <http://www.dlib.org/dlib/april00/moore/04moore-pt2.html>
The authors discuss the creation of a one-million message persistent e-mail
archive. Outlines the four main problems facing the implementation of Collection
Based Persisted Archives: support for ingestion, archival storage, information
discovery, and presentation of the collection.
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Michigan Department
of Management and Budget, Records and Forms Management Division, Lansing,
MI: A two-year grant for a project to test the ability of a DoD 5015.2-certified
records management application (RMA) to classify, store, and manage the disposition
of electronic records created in state offices. (2000-59)
- Project
Homepage: Michigan's RMA. <http://www.state.mi.us/dmb/mgmtserv/oss/rfmd/rma/index.htm>
This site includes detailed montly progress reports as well as Power Point
images from presentations undertaken by the project members.
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University of
South Carolina, Columbia, SC: An 18-month grant for the Model Editions
Partnership to: 1) complete the markup guidelines, reference guide, and encoding
report for electronic historical editions; 2) publish five mini-editions to
explore the effectiveness of automated conversion; 3) prepare and publish
two mini-editions to demonstrate the interoperability of SGML digital library
resources; 4) develop a series of utilities to automate the conversion of
project word processing files into SGML files; and 5) prepare and publish
a study describing the uses of documentary materials in an electronic environment.
(99-021)
- Project
Homepage. <http://mep.cla.sc.edu/>
The primary function of this site is to provide links to four of the experimental
mini-editions based on full-text searchable document transcriptions; two
based on document images; and one based on both images and text. Specifically,
these mini-editions are the documentary histories of the First Federal Congress
and the ratification of the Constitution and the Bill of Rights, the papers
of Henry Laurens, the legal papers of Abraham Lincoln, the papers of General
Nathanael Greene, the Margaret Sanger Papers, and the papers of Elizabeth
Cady Stanton and Susan B. Anthony. The site also has links to information
about the Model Editions Partnership and Markup Guidelines for the mini-editions.
- A
Prospectus for Electronic Historical Editions. <http://mep.cla.sc.edu/mepinfo/MEP-Docs/proptoc.htm>
This document is the result of the group's effort to move toward its first
goal by identifying the principles which should govern the model editions,
exploring what electronic historical editions will look like, and outlining
an approach to developing an intellectual framework to implement the editions.
The "principles" are intended as general guidelines for designing electronic
editions of historical documents. The "models" provide a means for actively
thinking about how such editions might look and work.
- Chesnutt, David R., Susan M. Hockey, C.
M. Sperberg-McQueen. Markup
Guidelines for Documentary Editions <http://mep.cla.sc.edu/MepGuide.html>
This document provides a reasonably non-technical introduction to the SGML-based
markup scheme developed by the Model Editions Partnership (MEP) for the
production of historical documentary editions in electronic form. The most
important element types (or `tags') in the MEP markup system are introduced
with examples.
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Kansas State Historical
Society, Topeka, KS: a one-year project to develop and implement an electronic
records management policy for Kansas state and local governments. (96-009);
and a two-year applied research project to: 1) conduct applied electronic
records management research by testing key elements of the NHPRC-funded electronic
records management and preservation guidelines; 2) evaluate the feasibility
and effectiveness of the guidelines; and 3) modify the guidelines based upon
the research results. (99-020)
- Project
Homepage: ERC. <http://da.state.ks.us/itab/erc/>
The Electronic Records Committee (ERC), which is a Subcommittee of the Information
Technology Advisory Board (ITAB), recommends and reviews policies, guidelines,
and best practices for the creation, maintenance, long-term preservation
of and access to electronic records created by Kansas state government.
The site includes links to meeting minutes, agendas, membership, a draft
charter, as well as the publications produced as part of the NHPRC funded
project, listed here below. (Last Updated 7/10/2000)
- Kansas
Electronic Recordkeeping Strategy: A White Paper. <http://www.kshs.org/archives/ermwhite.htm>
An official statement that addresses the legal authority, division of responsibilities,
principles and best practices related to electronic recordkeeping by Kansas
state agencies. (Last Updated 3/1/2000)
-
Kansas Electronic Records Management Guidelines. <http://www.kshs.org/archives/ermguide.htm>
These guidelines were drafted by consultant Margaret Hedstrom. The KSHS
intends that these guidelines will provide guidance to users and managers
of computer systems in Kansas government on identifying, capturing, managing
and preserving electronic records. The guidelines will be tested in several
state agencies and then revised for adoption and use in guiding the management
and preservation of electronic records in Kansas state and local agencies.
(Last Updated 7/28/2000)
- Digital
Imaging Guidelines for State Government Records. <http://www.kshs.org/archives/digimag.htm>
The guidelines are a reproduction of a technical leaflet prepared by the
Alabama Department of Archives and History titled, "Guidelines for the Use
of Digital Imaging Technologies for Long-Term Government Records in Alabama."
The guidelines are included here to assist Kansas public officials in designing
responsible digital imaging systems that may be used for creating or maintaining
long-term or archival records. (Last
Updated 7/28/2000)
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Regents of the University
of Michigan, Ann Arbor, MI: A 30-month grant for a project entitled “Preserving
Electronic Records of Collaborative Processes,” to conduct an analysis of
recordkeeping practices in six private sector environments. The project goal
is to produce case studies, assess the degree to which functional requirements
for electronic recordkeeping are applicable in settings without highly structured
business processes, develop guidelines for electronic recordkeeping in such
settings, and publish a monograph based on this study. (98-029)
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Cornell University,
Ithaca, NY: A two-year grant for a project entitled “Archival Electronic Records
Practice,” to study the types of archival electronic records produced on the
college level within a large university. The goal is to initiate discussions
and provide recommendations that will form the basis for future efforts to
implement best practices for electronic recordkeeping for Cornell’s centralized
university information system (Project 2000). (98-028)
- Project
2000: Making Cornell a Best-Managed University. <http://www.cornell.edu/p2k/overview/overview.html>
This site is a description of Project 2000. It provides the project background,
its objectives, scope and approach, and the individuals and organizations
involved. Project 2000 is Cornell University’s plan to adapt processes,
policies, and structure to make the most out of new technology. Its objective
is to improve quality, reduce redundancy, and save resources by replacing
obsolete administrative software systems and reengineering business processes.
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The Research Foundation
of State University of New York, Center for Technology in Government,
Albany, NY: A two-year grant for a project entitled “Gateways to the Past,
Present, and Future: Practical Guidelines to Secondary Uses of Electronic
Records.” The goal is to develop guidelines to support and promote long-term
preservation of and access to public electronic records of value to secondary
users, including historians and other researchers. The project will examine
the factors that contribute to or impede secondary use of records, then use
applied research methodologies to assess technology tools, management strategies,
and resource-sharing models for their potential to facilitate such access.
(98-027)
- Project
Homepage. <http://www.ctg.albany.edu/projects/gateways/gatewaysmn.html>
The project summary page describes the purpose and goals of the project,
its national significance and relationship to the NHPRC goals, and the products
that the project will generate. The Gateways project evolved out of the
partnership between the Center for Technology in Government and the New
York State Archives and Records Administration that developed after their
previous NHPRC collaboration. This earlier grant (see NHPRC grant number
96-023) resulted in the publication Models for Action As stated on the Gateways
project website, this grant seeks to establish a set of practical guidelines
to support and promote secondary uses of electronic records. It will address
recordkeeping requirements in the context of the broad spectrum of historical
and other secondary uses. The collaborators of this project intend to do
this through a combination of best practices and project-based research.
The project seeks to produce robust records management processes and models
to ensure that the data maintained by government agencies will be available
and useable in the future. The products resulting from this grant will include
a best practices report on policies, management strategies, technology,
tools, and resource sharing models to support and promote secondary uses
of electronic records, a research report on incentives and barriers associated
with supporting and promoting secondary use of electronic records, a cost-benefit
framework for assessing the value of alternative models of maintenance and
access for secondary uses, and practical guidelines and strategies for building
maintenance, preservation, and access for secondary uses into both the design
of new systems and the functionality of operational ones.
- Opening
Gateways: A Practical Guide for Designing Electronic Records Access Programs.
<http://www.ctg.albany.edu/resources/pdfrpwp/gateways.pdf>
This 46-page guide helps organizations create electronic records access
programs. All kinds of people use government information, which is often
created and stored electronically. "Opening Gateways" presents
a series of tools that can help agencies develop affordable, manageable,
and effective programs that allow people access to their information resources.
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Association of
Research Libraries, Coalition for Networked Information, Washington,
DC: for a project entitled “Improved Access to Electronic Records,” to
develop, offer, and evaluate a pilot workshop that will bring together
teams of archivists and information technologists to explore electronic
records issues. (98-025)
- Working
Together: Promoting Collaboration Among Archivists, Records Managers,
and Information Technologists Workshop, December 1998. <http://www.cni.org/tfms/1999a.spring/handout/Lippincott99Stf.html>
This webpage is an electronic version of the handout developed for the
Coalition for Networked Information (CNI) Spring 1999 Task Force meeting.
The briefing describes the issues encountered in dealing with long-term
preservation of electronic records and also reports on the December
1998 workshop. The purpose of this workshop was threefold: to advocate
for the inclusion of archival and records management issues in systems
development projects; to create incentives for collaboration; and to
help remove organizational barriers that prevent archivists from implementing
electronic records programs and to educate archivists and information
technologists about shared responsibilities and interests in preserving
access to electronic records. This session built upon CNI’s previously
successful Working Together workshop format, designed to promote
collaboration between librarians and information technologists.
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Minnesota Historical
Society, St. Paul, MN: A two-year grant for the Society’s Electronic
Records Project. The goal is to establish electronic records pilot programs
with two state agencies in order to evaluate the metadata the agencies
produce, determine the applicability of that metadata to archival concerns,
and establish a set of “best practices” and guidelines that will provide
incentives for other state agencies to document their information systems
and provide the basis for a functioning, sustainable electronic records
program within the state archives. (98-001)
- Trustworthy
Information Systems Handbook. St. Paul: State Archives Department,
Minnesota Historical Society, 1999. <http://www.mnhs.org/preserve/records/tis/tis.html>
The Trustworthy Information Systems (TIS) Handbook was produced
to help information systems developers, policy makers, and current and
future system users in Minnesota government agencies. TIS serves to
ensure that information systems are accountable to elected officials
and citizens. It provides analytical tools to examine government information
for “trustworthiness”—an information system’s accountability and ability
to produce reliable and authentic information and records. The procedures
apply to both information and records, are not limited to computer-based
information systems, and can be used to evaluate the trustworthiness
of any government information system. The handbook includes a glossary
and bibliography, the methodology for developing and testing the TIS
criteria, pertinent Minnesota laws and policies, relevant citations
to case law, and case studies of Minnesota state government agency applications
of the TIS criteria.
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WGBH Foundation,
Boston, MA: a one-year project to develop and build support for a Universal
Preservation Format (UPF) for audio and video digital recordings. (97-029)
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Syracuse University,
School of Information Studies, Syracuse, NY: for a one-year project
to evaluate the degree to which Federal and state government agencies
are addressing records management and archival concerns in the management
of World Wide Web sites, and to develop a set of model “best practices”
guidelines for incorporating records management and archival considerations
into Website management. (97-014)
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Maine State Archives,
Augusta, ME: an 18-month project to develop statewide policies and procedures
for the identification and retention of permanently valuable electronic
records. (97-008)
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Mississippi
Department of Archives and History, Jackson MS: for a two-year project
to establish an electronic records program in conjunction with the planned
design of and move to a new state archives building. (97-003)
- Project
Homepage <http://www.mdah.state.ms.us/arlib/elecrecs.html>.
This project tests real-world strategies and methods for the long-term
preservation of electronic records. Its goal is to build upon current
technological advances and traditional archival and records management
practices to develop a viable electronic records program for the state
of Mississippi. It attempts to do this by: 1) engaging other state
agencies in discussion about the conceptual, economic, and technological
restraints on electronic records preservation; 2) defining the scope
of the task by surveying state agencies’ electronic records creation
and maintenance policies, and to cooperate with state agencies to devise
and test specific data warehousing, intranetworking, and intelligent
agent technologies for the long-term preservation of electronic records;
3) by working with the Department’s State Records Center and Official
Records Section to develop and disseminate standards and guidelines
to facilitate the long-term retention, storage, migration, and continued
public accessibility of permanent electronic records.
- Galloway, Patricia. Mississippi
Electronic Records Initiative: A case study in state government
electronic records. Final Report. <http://www.mdah.state.ms.us/arlib/er/finrept.html>.
May 2000.
- Galloway, Patricia, Jenice Tate, and
David Miller. Electronic Records
Management Survey: Report of Results. <http://www.mdah.state.ms.us/arlib/ersurvey.html>.
The purpose of this survey was to obtain a view of the current state
of electronic records in Mississippi state government. The results indicated
that there was a need for leadership from the Department of Archives
and History in the formulation of guidelines for the management of electronic
records. Many agencies are very much aware of the looming necessity
of developing policies for electronic records management, if only to
deal with legal exposure.
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City of Philadelphia,
Department of Records, Philadelphia, PA. A three-phase project (95-031,
96-089, 97-001) that tried to promulgate standards and exercise control
over electronic records and electronic record systems created by the City
of Philadelphia. The goals were to to implement, incorporate, and test
recordkeeping metadata recommendations to be incorporated into City agency
information technology system design; to develop e-mail policy recommendations
to submit to the City's Information Technology Steering Committee that
might accompany City Net implementation of the cc:Mail E-mail application;
to explore the possibility of developing background, application/platform
interface processes that could automate the retention and disposition
of City E-mail messages that qualify as public records; to develop file-naming
and directory structure conventions, using the Records Department DORIS
as a test case, that might accompany City agency office automation efforts.
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The Research Foundation
of State University of New York, Center for Technology in Government,
Albany, NY: a two-year project to develop a "system development model"
incorporating electronic recordkeeping and archival considerations into
the creation of networked-computing and communications applications. (96-023)
- Project
Homepage: Models for Action. <http://www.ctg.albany.edu/projects/er/ermn.html>
- Kelly, Kristine L., Theresa A. Pardo,
and Alan Kowlowitz. Practical
Tools for Electronic Records Management and Preservation, January
1999. <http://www.ctg.albany.edu/resources/pdfrpwp/mfa_toolkit.pdf>.
This guide was designed to help information and program managers integrate
essential records management requirements into the design of new information
systems. Practical Tools details techniques that seamlessly integrate
into the system design process, and result in the identification of
technology specifications and opportunities for improving performance
through improved access to records. The guide came out of the Models
for Action project that CTG conducted with the New York State Archives
and Records Administration.
- Kelly, Kristine L., Alan Kowlowitz, Theresa
A. Pardo, and Darryl E. Green. Models
for Action: Practical Approaches to Electronic Records Management and
Preservation. CTG Project Report 98-1, July 1998. <http://www.ctg.albany.edu/resources/pdfrpwp/mfa.pdf>.
This report describes generalizable tools that incorporate essential
electronic records requirements into the design of new information systems.
Moreover, the practical tools seek to bridge the gap between records
management theory and practice by linking an organization’s business
objectives to its records management processes. The project, conducted
with the New York State Archives and Records Administration (SARA),
and carried out with the New York Sate Adirondack Park Agency (APA)
and several corporate and academic partners, also produced a prototype
that is a network-based integrated document management and workflow
system capable of supporting a fully electronic record, and is also
capable of accessing, analyzing, and capturing information from the
APA’s geographic information system (GIS), and archiving the project
record.
- Kowlowitz, Alan and Kristine Kelly. Functional
Requirements to Ensure the Creation, Maintenance, and Preservation of
Electronic Records: Models for Action Project Working Memo,
April 1998. <http://www.ctg.albany.edu/resources/pdfrpwp/mfa-4.pdf>.
This document introduces one of the foundations for the Models for Action
project, the Functional Requirements to Ensure the Creation, Maintenance,
and Preservation of Electronic Records. These requirements, which were
based on the results from the Pittsburgh Project, outline a set of cues
and questions that facilitate the identification of technology, management,
and policy strategies that can be used to implement sound electronic
recordkeeping practices within an organization. This paper also discusses
the background, development, and usage of the Functional Requirements.
- Kelly, Kristine and Alan Kowlowitz. The
Records Requirements Analysis and Implementation Tool: Models for Action
Project Working Memo, April 1998. <http://www.ctg.albany.edu/resources/pdfrpwp/mfa-5.pdf>.
This document describes the Records Requirements Analysis and Implementation
Tool (RRAIT) one of the key products developed for the Models for Action
project. The RRAIT is a practical tool that is made up of two components:
the Records Requirements Elicitation Component (RREC0 and the Records
Requirements Implementation Component (RRIC). The former is used to
define organizational recordkeeping requirements and the latter is used
to identify mechanisms for implementing those requirements. This paper
examines the makeup of these tools and explores how the two are used
in conjunction with each other to define and implement policy, management,
and technology mechanisms to implement sound electronic recordkeeping
practices within an organization.
- Green, Darryl E. and Ann DiCaterino.
A
Survey of System Development Process Models: Models for Action Project
Working Memo, February 1998. <http://www.ctg.albany.edu/resources/pdfrpwp/mfa-3.pdf>.
This document provides an overview of the
more common system development Process Models, used to guide the analysis,
design, development, and maintenance of information systems. There are
many different methods and techniques used to direct the life cycle
of a software development project and most real-world models are customized
adaptations of the generic models. Though each of these methods is designed
for a specific purpose or reason, most have similar goals and share
many common tasks. This paper explores the similarities and differences
among these various models and will also discuss how different approaches
are chosen and combined to address practical situations.
- DiCaterino, Ann, Kai R. Larsen, Mei-Huei
Tang, and Wen-Li Wang. An
Introduction to Workflow Management Systems: Models for Action Project
Working Memo, November 1997. <http://www.ctg.albany.edu/resources/pdfrpwp/mfa-2.pdf>.
This document provides an introduction to workflow management systems.
Through a two-tiered approach, the reader is first exposed to a functional
review of workflow systems, including definitions, typical features,
benefits, tradeoffs, process selection, and success factors for implementation,
followed by a technical overview that describes a method for categorizing
workflow products, the state of the market, and emerging standards.
- Maio, Betsy. A
Survey of Key Concepts and Issues for Electronic Recordkeeping: Models
for Action Project Working Memo, August 1997. <http://www.ctg.albany.edu/resources/pdfrpwp/mfa-1.pdf>.
A survey of technology standards, government
policies, legal principles and best practices was conducted in April
1996. This report outlines the results of that survey and is intended
to serve as an introduction to key concepts and to guide the associated
choices which an organization is expected to face as it moves from a
largely paper-based business process to a networked document management
and workflow system.
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Delaware Bureau
of Archives and Records Management, Dover, DE: a two-year project
to develop an electronic records program for state government records.
(96-016)
- Project
Homepage <http://www.archives.lib.de.us/recman/toc.html>
This website largely summarizes the work of the project and presents
the Management of Electronic Records report published in 1998
by Public Systems Incorporated. The website does add a section addressing
other electronic record types not addressed in the earlier report, including:
records published on the Internet as World Wide Web text and graphics,
and communication records and documents maintained in the State's electronic
mail and offices systems. (Last Updated 12/23/1998)
- Management of Electronic Records:
Delaware Public Archives. Dover, DE: Public Systems Incorporated,
1998. This report provides a summary
of the entire project from background, project approach, site findings,
recommendations, and implementation work plan. This report also includes
a copy of the Model Guidelines and a drafted E-mail record policy statement.
- Model
Guidelines for Electronic Records. <http://www.archives.lib.de.us/recman/g-lines.htm>.
The guidelines are drawn directly from the work of the Requirements
for Evidence in Electronic Records project conducted by the University
of Pittsburgh. These guidelines are intended to guide agencies toward
developing electronic records systems, which create records that meet
the accepted standards for a variety of criteria, including legally
acceptable, readable, and evidential. The purpose of these guidelines
is to give agencies some guidance in the development of systems that
create electronic records. The statements are straightforward and understandable.
However, these guidelines are still in draft form. (Last Updated 3/22/1999)
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The Regents of the
University of Michigan, Ann Arbor, MI: a conference to assess progress
made in electronic records research and program development since the
1991 NHPRC-funded Working Meeting on Electronic Records. (96-012)
- Electronic Records Research and Development.
Final
Report of the 1996 Conference Held at the University of Michigan, Ann
Arbor, June 28 and 29, 1996. University of Michigan, School
of Information and the Bentley Historical Library, 1997. <http://www.si.umich.edu/e-recs/Report/FR0.TOC.html>.
The multi-disciplinary conference was held
to discuss the findings from recent research and development projects,
propose new research questions, and suggest strategies for new research,
and its implementation and funding. This report includes the conclusions
reached by the collective body of attendees and their recommendations
regarding the research agenda for electronic records management and
digital preservation.
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South Carolina Department
of Archives and History, Columbia, SC: a one-year project to plan
and develop a state information locator system. (96-010)
- South Carolina Budget and Control Board
Office of Information Resources and South Carolina Department of Archives
and History. South Carolina Information
Locator Service, 1996. <http://www.state.sc.us/scils/gl/>.
This site discusses the South Carolina
Information Locator Service (SCILS). SCILS is a virtual card catalog
designed to help state agencies manage and update the vast collection
of information resources recorded on all mediums. It also improves
public access to information created by State government and helps agencies
improve their electronic records management practices and comply with
laws and policies. The site describes the steps and objectives in developing
SCILS, its compatibility with the federal government’s Government Information
Locator Service (GILS), its compliance with records management and state
documents depository requirements, the efforts made to prioritize information,
definitions, types of information included in it, steps to be followed
after its creation, technical specifications, model guidelines for state
agencies, and information regarding participation in SCILS.
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Indiana University,
Bloomington, IN: a two-year project to analyze existing electronic records
system and policy, compare them to models or policies at comparable institutions,
and create and disseminate a repository information system model and information
policy standards. (95-033); and for phase II which is primarily focused
on the application and evaluation of the methodology. More specifically,
to implement and test 1) the Functional Requirements for Evidence in Recordkeeping
model developed by the University of Pittsburgh Electronic Records Project;
and 2) a methodology for applying the Pitt model developed during the
earlier funded project. (2000-36)
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The Research
Foundation of State University of New York, Albany, NY: a two-year
project to explore archival and records management issues using two electronic
recordkeeping systems under development at SUNY. (94-038)
- Online Electronic Documents and Distributed
Databases: An Examination of Archival Policy and Preservation Options.
Albany: State University of New York System, 1996. This
final report provides a comparative analysis of software used by various
departments and proposes recordkeeping requirements and guidelines for
the management and preservation of electronic text documents.
Vermont Secretary
of State, Vermont State Archives, Montpelier, VT: to enhance the state
archives’ participation in the development and implementation of a Vermont
Information Strategy Plan (VISP) for the entire state government. The
goal of the plan is to develop and share data across state agency organizational
lines. (94-037).
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Society of American
Archivists, Chicago, IL: to create and publish ten case studies with
teaching notes that address issues relating to archival electronic records
and the use of information technologies in archives. Archival educators
and archivists will use the case studies to raise the level of knowledge
and understanding of these issues within the profession. (94-007)
- Dollar, Charles M. and Deborah S. Skaggs.
Using Information Technologies to Build Strategic Collaborations:
The State of Alabama as a Test Case—A Case Study in Archives. Chicago:
Society of American Archivists, 1996. The
long-term management including preservation and access of archives and
records is discussed in the framework of emerging new digital technologies.
In particular digital imaging technologies are used as an example as
an alternative to paper recordkeeping. Some of the problems with the
implementing digital imaging technologies are discussed. Three important
factors concerning the implementation of collaborative projects are
discussed.
- Dryden, Jean E. Implementing Descriptive
Standards at the United Church Central Archives: A Case Study in Automated
Techniques for Archives. Chicago: Society of American Archivists,
1997. A brief history of the organization
is presented along with the problems and the shortcomings of the current
descriptive system and the problems of instituting new descriptive standards.
In order to put this scenario in context a history of is given from
a Canadian and a United States perspective of the automation, description
and archival descriptive standards.” There is also a discussion on
the nature of descriptive standards.
- Engst, Elaine D. and H. Thomas Hickerson.
Developing Collaborative Structures for Expanding the Use of University
Collections in Teaching and Research. Chicago: Society of American
Archivists, 1998. This case study
explores the issues of cooperation and the resolution of problems connected
with collaborative projects in the context of Cornell’s Digital Access
Coalition. The institutional setting of Cornell University Library’s
Division of Rare and Manuscript Collection is presented.
- Galvin, Thomas J. and Russell L. Kahn.
Electronic Records Management as Strategic Opportunity: A Case Study
of the State University of New York Office of Archives and Records Management.
Chicago: Society of American Archivists. This
case study concerns the expedition of an archives and records management
program through the use of an electronic records management system.
It addresses the institutional environment, problems and other obstacles
that needed to be conquered and how these issues were resolved. A general
overview of archives and record management including electronic records
is presented.
- Gilliland-Swetland, Anne J. Policy
and Politics: The Archival Implications of Digital Communications and
Culture at the University of Michigan. Chicago: Society of American
Archivists, 1996. The milieu of
digital communications and its surrounding culture is described at the
University of Michigan. This case study concerns what is involved in
the long-term management of digital communications from a policy and
politics perspective. Appendix A reprints the University’s policy concerning
the Proper Use of Information Resources, Information Technology and
Networks at the University of Michigan. Appendix B reproduces the
document Policy on Conditions of Use of the Resources of the Information
Technology Division. Appendix C contains the Policy on Privacy
of Electronic Mail and Computer Files at the University of Michigan
and Appendix C states the policy of the School of Information
and Library Studies Policy on E-mail and Security.
- Norris, Thomas D. Prison Inmate Records
in New York State: The Challenge of Modern Government Case Records.
Chicago: Society of American Archivists, 1996. This
case study examines how extensive record documentations concerning the
communication between individuals and government can be managed. A history
is presented of recordkeeping in the twentieth century with emphasis
on prison inmate case records. Some of the issues presented in this
study are: how to deal with records in paper and electronic format,
the difficulties in dealing with the legalities involved, and dealing
with the issues of multiple stakeholders. Other issues concern the
partnering with archives and agencies, and the development of new description
and preservation procedures for electronic records.
- Reed, Barbara, and Frank Upward. The
APB Bank: Managing Electronic Records as an Authoritative Resource.
Chicago: Society of American Archivists, 1998. This
case study examines how extensive record documentations concerning the
communication between individuals and government can be managed. A history
is presented of recordkeeping in the twentieth century with emphasis
on prison inmate case records. Some of the issues presented in this
study are: how to deal with records in paper and electronic format,
the difficulties in dealing with the legalities involved, and dealing
with the issues of multiple stakeholders. Other issues concern the
partnering with archives and agencies, and the development of new description
and preservation procedures for electronic records.
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University of
Pittsburgh, Pittsburgh, PA: to support continuation of an advanced
institute on electronic records and strategic planning for chief administrations
of state government archives. (91-073); for a three-year study to address
the first three questions in the agenda outlined in the Commission-funded
report, Research Issues in Electronic Records. (93-030); and for the third
and final phase of an advanced institute on electronic records and strategic
planning for states that have not participated in previous institutes.
(93-053)
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Association for Information
and Image Management, Silver Spring, MD: to develop a model uniform
law pertaining to legal acceptance of records produced by information
technology systems by Federal and state agencies and the legal admissibility
of such records as evidence in Federal and state courts. (93-038)
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Pennsylvania
State University, University Park, PA: to continue work to appraise
and provide access to data sets on magnetic tape created and used by the
university's administrative systems. (93-037S)
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New York State Archives
and Records Administration, Albany, NY: to analyze information management
practices in New York State agencies and to determine how agency policies,
procedures, and tools can support electronic records management and archival
objectives. (92-086)
- Building Partnerships: Developing
New Approaches to Electronic Records Management and Preservation, Final
Report. Albany: New York State Department of Education, 1994.
This report includes an analysis of requirements
for management and preservation of electronic records, survey of current
practices in state agencies, and led a series of recommendations for
improvement. It also includes a discussion of changes made in state
electronic records management policies as a result of the project’s
recommendations.
- Building Partnerships for Electronic
Recordkeeping: the New York State Information Management Policies and
Practices Survey, Summary of Findings. Albany: New York State Department
of Education, 1994. This report
summarizes the findings of the New York State Information Management
Policies and Practices Survey, conducted in the spring of 1993. It
both describes effective practices then employed by state agencies and
suggests ways to improve the preservation and management of the State’s
electronic records in the future.
The following working papers are available
at http://www.sara.nysed.gov/pubs/build.htm in both WordPerfect 5.1 and
PDF formats.
- Building Partnerships Case Studies:
Summary Reports.
- Building Partnerships for Electronic
Recordkeeping: The New York State Information Management Policies and
Practices Survey: Executive Summary.
- Building Partnerships Project: An
Alternative Program Model.
- Data Administration: A Case Study
of Three Implementations in New York State Government Agencies.
- Building Partnerships Project: Pilot
Accessioning Projects Summary Report.
- Electronic Records Management Requirements
Analysis: Discussion Draft.
- Identifying and Implementing On-Line/Off-Line
Retention Requirements: A Case Study of the Resource Tracking Purged
Project at the Department of Taxation and Finance.
- Inventorying and Describing Electronic
Records: A Case Study of the Automated Information Systems Inventory
at the New York State Office for the Aging.
- Maintaining Long-Term Access to Electronic
Records: The New York State Department of Health Vital Events Records.
- Preliminary Report on Agency Information
Management Policies and Practices: Discussion Draft.
- System Development Approach and Business
Process Analysis in the Department of Environmental Conservation.
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Governor’s Office
of Administration, Commonwealth of Pennsylvania, Harrisburg, PA: to
enable the executive branch of state government to develop an electronic
records program. (92-063)
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The Regents of the University of Michigan,
Bentley Historical Library, Ann Arbor, MI: for the first year of the university’s
project to examine the potential of electronic conferences to document
the intellectual and cultural life of institutions of higher learning.
(91-113).
- Gilliland-Swetland, Anne J., and Gregory
T. Kinney. “Uses of Electronic Communications to Document an Academic
Community: A Research Report.” Archivaria 38 (Fall 1994): 79-96. This
article reports on the Bentley Historical Library Computer Conferencing
Project, which sought to examine the possibility of using computer conferencing
“to document the intellectual, cultural, and social environment of colleges
and universities.” It makes recommendations about how these documentary
materials should appraised and—if they were found to be archival—how
they should be accessioned. The article provides an overview of computer
conferencing systems, outlines the project’s methodology and major findings,
and raises issues concerning the archival management of electronic record
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