TEAM Colombia TEAM Turkey TEAM Norway TEAM Malaysia TEAM Mexico TEAM Korea TEAM Italy InterPARES 3 TEAM China TEAM Catalonia TEAM Canada TEAM Brazil TEAM Africa

General Studies

General studies are the investigations carried out by each TEAM within its scope for the purpose of achieving its research objectives, but not related to specific cases or test-bed partners. General studies were shared with all TEAMs by posting them on the common website. Each TEAM could either take the initiative for a general study considered important only in its own context or propose a study useful to everybody but not needing everybody’s contribution.  The Director of the International TEAM could propose a general study to be carried out by all TEAMs and relevant to all, such as terminology.

01 • 02 • 03 • 04 • 05a • 05b • 06 • 07 • 08 • 09 • 10 • 11 • 12 • 13 • 14 • 15 • 16 • 17 • 18 • 19 • 20 • 21 • 22

  GS01 - Review of Digital Preservation Projects (TEAM Canada)
  GS02 - International Terminology Database (All TEAMS)
  GS03 - Annotated Bibliography of Canadian Standards (TEAM Canada)
  GS04 - Annotated Bibliography of International Standards (TEAM Canada)
  GS05a - Keeping and Preserving E-mail (TEAM Italy)
  GS05b - Guidelines and Recommendations for E-Mail Records Management and Long-Term Preservation (TEAM Italy)
  GS06 - Website Preservation (TEAM Singapore)
  GS07 - Organizational Culture (TEAM Canada)
  GS08 - Open Source Records Management Software (TEAM Canada)
  GS09 - Social Media (TEAM Canada)
  GS10 - Survey of University Institutional Repository/University Recordkeeping Systems (TEAM Canada)
  GS11 - Policy and Procedures Templates (TEAM Canada)
  GS12 - Digital Records Management/Preservation Education Modules (TEAM Canada)
  GS13 - Community Archives e-Records Assessment (TEAM Canada)
  GS14 - Digital Protocol Registry Preservation (TEAMs Italy, Catalonia and Brazil)
  GS15 - Metadata Application Profiles (TEAM Canada)
  GS16 - Digital Preservation Cost-Benefit Models (TEAM Canada)
  GS17 - Public Sector Audit Reports (TEAM Canada)
  GS18 - Records/Archives Appraisal in Latin America (including Spain) (TEAM Mexico)
  GS19 - File Viewers (TEAM Canada)
  GS20 - Examining the Criteria for Open Standard File Formats (TEAM Korea)
  GS21 - Preservation of the Digital Photographic and Audiovisual Heritage of Catalonia (TEAM Catalonia)
  GS22 - Managing and Preserving Office Documents: Evidential Value and Best Practices (TEAM Catalonia)



General Study Abstracts and Documents

General Study:
01
Topic/Title:
Past and Present Digital Preservation Projects Devoted to the Long-term Preservation of Digital Records and Digital Information
TEAM Lead:
Canada
Started:
November 2007
Status:
Completed
Last Revised:
May 2013
Current Version:
1.5
Abstract:
Since 1999, the InterPARES Project has been examining the complex issue of preserving digital records. The Project is not alone in its efforts to address the issues concerned with the long-term preservation of digital records, however. Since 1999, various research projects and related initiatives have been devoted to similar purposes. The objective of this study was to document the current projects and some of their findings. Given the dynamic nature of the digital preservation environment, readers should consider the report generated by this study to be a constantly evolving document, to which periodic revisions will be made to incorporate newly discovered or updated information, including information about new projects.
Documents:
Final Report
 
General Study:
02
Topic/Title:
International Terminology Database
TEAM Lead:
International Alliance
Started:
November 2007
Last Revised:
April 2012
Status:
Completed
Website:
Terminology Database
 
General Study:
03
Topic/Title:
Canadian Legislation, Standards, Policies, Regulations and Guidelines Relevant to the InterPARES 3 Project
TEAM Lead:
Canada
Started:
May 2008
Status:
Completed
Last Revised:
May 2013
Current Version:
2.4
Abstract:
The objective of this study was to provide annotated citations for Canadian federal and provincial legislation, standards, policies, regulations and guidelines relevant to the research activities of the InterPARES 3 Project, particularly TEAM Canada. This includes legislation, standards, etc., that are relevant to the goals, objectives, research activities and expected outcomes of the Project as a whole and to TEAM Canada in particular. Given the dynamic nature of federal and provincial legislation, standards, etc., readers should consider the report generated by this study to be a constantly evolving document, to which periodic revisions will be made to incorporate newly discovered or updated information.
Documents:
Final Report
 
General Study:
04
Topic/Title:
International Standards Relevant to the InterPARES 3 Project
TEAM Lead:
Canada
Started:
January 2008
Status:
Completed
Last Revised:
April 2013
Current Version:
1.8
Abstract:
The objective of this study was to provide annotated citations for all international standards (ISO standards, ICA standards, etc.) relevant to the research activities of the InterPARES 3 Project. These include standards that are relevant to the goals, objectives, research activities and expected outcomes of the Project as a whole. It should also be noted that the search for relevant international standards was not limited to de facto standards, it also included de jure standards. Within this context, the term "international" was interpreted to include standards that are issued by, and/or that might apply to, any organizations that have a multinational, sectoral or discipline-wide composition. Given the dynamic nature of the international standards environment, readers should consider the report generated by this study to be a constantly evolving document, to which periodic revisions will be made to incorporate newly discovered or updated information.
Documents:
Final Report
 
General Study:
05a
Topic/Title:
Keeping and Preserving E-mail
Related studies:
05b
TEAM Lead:
Italy
Started:
November 2007
Status:
Completed
Last Revised:
June 2009
Current Version:
4.1
Abstract:
The aim of this study was to investigate the technical aspects relevant to e-mail creation, capture and maintenance (i.e., records management) and permanent preservation (i.e., archival) processes. This is important since e-mail messages have a rather complex structure, and because of the need to take into account the peculiar infrastructure through which they are delivered (i.e., the Internet).

To this end, both the functionalities of the commercial products for e-mail management, including the so-called “e-mail archiving” systems, and the requirements expressed in several important reference documents were investigated. Devising precise and systematic procedures for e-mail records management and/or permanent preservation was not a goal of this study, and indeed cannot be done in a general study, since these procedures may heavily depend on the characteristics of the organization where the process is taking place.

For this reason, the definition of a more detailed e-mail records management and permanent preservation model was carried out as a separate general study (05b, below) within the InterPARES 3 Project, which involved a more thorough discussion, involving records management, archival and IT competences.
Documents:
Final Report
 
General Study:
05b
Topic/Title:
Guidelines and Recommendations for E-Mail Records Management and Long-Term Preservation
Related studies:
05a
TEAM Lead:
Italy
Started:
November 2007
Status:
Completed
Last Revised:
May 2011
Current Version:
2.2
Abstract:
This general study divides proposed recommendations for e-mail records management according to the two main phases of the records life cycle. Most relate to the period of time in which e-mail records are current or semi-current, namely when the records creator uses them to carry out its ordinary business activities.

A smaller set of recommendations refers to e-mail records selected for long-term preservation, when they become historical records transferred to the custody of a trusted preserver, are not used on a regular basis, and are preserved mostly for cultural reasons and/or sporadic use for reference and action.

Several recommendations are intended to establish good practices to create e-mail records intended to be integrated in a recordkeeping system. Recommendations for long-term preservation of e-mail records focus on aspects of management that need to be modified when records become historical or on actions that are exclusively intrinsic to long-term preservation (e.g., use of given formats, organization of procedures for migration).

Key recommendations of this study include:

  • Integrate e-mail with recordkeeping systems
  • Preform the operations of capture and filing solely through e-mail accounts that have been programmed to directly communicate with the recordkeeping systems
  • Maintain an audit trail for e-mail records
  • Include a long-term preservation plan that addresses best practice as well as preserving e-mail records and all of their components
  • Include a description of e-mail elements (such as attachments, digital signatures and links) associated with the e-mail records
Documents:
Final Report
 
General Study:
06
Topic/Title:
Website Preservation
TEAM Lead:
Singapore
Started:
November 2007
Status:
Withdrawn
Abstract:
The objectives of this study were to analyze the capabilities of existing software applications for preserving Web sites and to assess whether these applications fulfill relevant legislative requirements.
Documents:
No documents are currently available
 
General Study:
07
Topic/Title:
Organizational Culture
TEAM Lead:
Canada
Started:
November 2009
Status:
Completed
Last Revised:
April 2013
Current Version:
2.4
Abstract:
The objective of this study was to develop a consistent framework for analyzing the impact of organizational culture on recordkeeping and preservation practices across various case studies in InterPARES 3 within the national context of Canada. Findings gleaned from this research may also be applicable to a general study of the dynamics amongst organizational cultures, recordkeeping and preservation practices for all the other countries participating in InterPARES 3.
Documents:
  • Final Report
  • Research Proposal
  •  
    General Study:
    08
    Topic/Title:
    Open Source Records Management Software
    TEAM Lead:
    Canada
    Started:
    November 2009
    Status:
    Completed
    Abstract:
    The objective of this study was to identify open source records management software and to map the functionality of the software to the InterPARES 2 Creator and Preserver Guidelines and to key records management and archival standards, such as MoReq2, ISAD(G) and ISO 15489.
    Documents:
  • Final Report
  • Research Proposal
  •  
    General Study:
    09
    Topic/Title:
    Social Media
    TEAM Lead:
    Canada
    Started:
    November 2009
    Status:
    Completed
    Abstract:
    The objectives of this study were to identify and evaluate the potential consequences of the use of Web 2.0 technologies on existing records management /archival theory and practice, and to make recommendations for future research to examine these consequences in more detail with the aim of devising concrete Web 2.0 policy and procedure recommendations.
    Documents:
  • Final Report (Annotated Bibliography)
  • Research Proposal
  •  
    General Study:
    10
    Topic/Title:
    Survey of University Institutional Repository/University Recordkeeping Systems
    TEAM Lead:
    Canada
    Started:
    November 2009
    Status:
    Withdrawn
    Abstract:
    The objective of this study was to gain an understanding of the recordkeeping practices and policies within universities and university institutional repositories in English speaking countries worldwide.
    Documents:
    No documents are currently available
     
    General Study:
    11
    Topic/Title:
    Policy and Procedures Templates
    TEAM Lead:
    Canada
    Started:
    November 2009
    Status:
    Completed
    Abstract:
    The objective of this study was to develop a set of generic policy and procedures templates for the management and preservation of digital (and analogue) records that can be disseminated within the Canadian archival system (and beyond) to be adopted and adapted as needed according to whatever specific structure is required within a specific institution or organizational context.
    Documents:
  • Final Report
  • Research Proposal
  •  
    General Study:
    12
    Topic/Title:
    Digital Records Management/Preservation Education Modules
    TEAM Lead:
    Canada
    Started:
    November 2009
    Status:
    Completed
    Last Revised:
    July 2012
    Abstract:
    The objective of this study was to gain an understanding of the available education resources that can be used to support the development of training and education modules for preservers, professional associations and university programs; awareness and education modules for non-archivists, such as IT professionals, vendors and service providers; human resources and financial managers; doctors, communities of practice, members of the general public, etc.; and a strategy for delivering them.
    Documents:
  • Introduction video for the modules
  • Module 1: Introduction – A Framework for Digital Preservation: English / Español
  • Module 2: Developing Policy and Procedures for Digital Preservation English / Español
  • Module 3: Organizational Culture and its Effects on Records Management English / Español
  • Module 4: An Overview of Metadata English / Español
  • Module 5: From ad hoc to Governed – Appraisal Strategies for Gaining Control of Records in Network Drives English / Español
  • Module 6: Email Management and Preservation English / Español
  • Module 7: Management and Preservation of Records in Web Environments English / Español
  • Module 8: Cloud Computing Primer English / Español
  • Research Proposal
  •  
    General Study:
    13
    Topic/Title:
    Community Archives e-Records Assessment
    TEAM Lead:
    Canada
    Started:
    November 2009
    Status:
    Completed
    Abstract:
    The objective of this study was to gain an understanding of the digital records acquisition and preservation practices and policies within community archives across Canada.
    Documents:
  • Final Report
  • Research Proposal
  •  
    General Study:
    15
    Topic/Title:
    Metadata Application Profiles
    TEAM Lead:
    Canada
    Started:
    May 2010
    Status:
    Completed
    Abstract:
    The objective of this study was to identify the problems of creating metadata that are locally relevant, linked to archival theory, and reusable, especially to other organizations in the form of metadata application profiles.
    Documents:
  • Final Report
  • Research Proposal
  •  
    General Study:
    16
    Topic/Title:
    Digital Preservation Cost-Benefit Models
    TEAM Lead:
    Canada
    Started:
    May 2010
    Status:
    Completed
    Abstract:
    The objective of this study was to determine a measureable framework for assessing the benefit of recordkeeping systems. Although it is possible to establish the benefits of digital preservation, most organizations or institutions have only encountered the initial costs of the beginning stages of a digital preservation project. This study did not attempt to determine the actual costs and benefits; rather, it attempted to determine or develop the parameters that an organization should consider and examine when undertaking a cost-benefit analysis.
    Documents:
  • Final Report
  • Annotated Bibliography
  •  
    General Study:
    17
    Topic/Title:
    Public Sector Audit Reports on Digital Recordkeeping
    TEAM Lead:
    Canada
    Started:
    July 2010
    Status:
    Completed
    Abstract:
    The objective of this study was a comparative study of public sector audit reports: (a) to help identify common themes in existing policy, practice, or tools that impact on the effectiveness of program or service delivery of archival or other recordkeeping services and (b) to shed light on how resources are being allocated to manage information.
    Documents:
  • Final Report
  • Research Proposal
  •  
    General Study:
    18
    Topic/Title:
    Records/Archives Appraisal in Latin America (including Spain)
    TEAM Lead:
    Mexico
    Started:
    2009
    Status:
    Completed
    Abstract:
    The objective of this study was to examine issues related to appraisal of record/archives from the following points of view: 1) Appraisal analysis in different institutions, types of records and media—to recommend general criteria; 2) Professional education for appraisal for records manager and archivists—to try to standardise teaching methodology in educational centers, mainly in university institutions; 3) Terminology related to appraisal—to conduct a comparative study of the terminology adopted by the participating countries; 4) Sampling issues—to study and propose criteria and techniques applied according to the media; and 5) Special features for digital records appraisal—to develop general criteria for said material.
    Documents:
  • Publication
  • Book (title and publication page of print version; full digital version expected by July 2013)
  • Research Proposal/Summary of Activities
  •  
    General Study:
    19
    Topic/Title:
    File Viewers
    TEAM Lead:
    Canada
    Started:
    May 2010
    Status:
    Completed
    Abstract:
    The objective of this study was to analyse the possible use of file viewers in digital preservation. In particular, the study addresses the following four questions: 1) How to file viewers work? 2) What file viewer software is available? 3) How accurately do file viewers render files? 4) What role might file viewers play in digital preservation?
    Documents:
    Final Report
     
    General Study:
    20
    Topic/Title:
    Examining the Criteria for Open Standard File Formats
    TEAM Lead:
    Korea
    Started:
    May 2010
    Status:
    Completed
    Abstract:
    The objective of this study was to examine the appropriateness of various file format standards together with an examination of the various criteria described in the literature in the four major families (autonomy, interoperability, authenticity and functionality) to determine the basic requirements for choosing file formats for the long-term preservation of electronic documents. Such information can be used by archivists, records managers and others to help them access and select the best file formats for their long-term preservation needs.
    Documents:
    Final Report
     
    General Study:
    21
    Topic/Title:
    Preservation of the Digital Photographic and Audiovisual Heritage of Catalonia
    TEAM Lead:
    Catalonia
    Started:
    February 2009
    Status:
    Withdrawn
    Abstract:
    The main objectives of this study were: 1) to identify the state-of-the-art situation in Catalonia; 2) to compile a terminology database; 3) to compile a bibliography; 4) to draft policies/recommendations about ingest, transfer and preservation of digital photographic and audiovisual material; and 5) to develop teaching modules to train professionals (program proposals, content, etc.).
    Documents:
    Abstract
     
    General Study:
    22
    Topic/Title:
    Managing and Preserving Office Documents: Evidential Value and Best Practices
    TEAM Lead:
    Catalonia
    Started:
    September 2009
    Status:
    Withdrawn
    Abstract:
    The main objectives of this study were: 1) to evaluate and systematize, using the InterPARES Project's conceptual framework, the requirements and criteria needed to recognize office documents as records and archives; 2) to identify and describe a set of good practices to organize, appraise and preserve office documents in a LAN environment; and 3) to locate, and in some cases to develop, technological solutions to make easier the application of good practices. These solutions had to be simple, low-cost and readily available.
    Documents:
    Abstract
     

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