InterPARES 3 Project, 5th International Symposium
17-18 June 2011, Sarawak State Library, Pustaka Negeri, Sarawak, Malaysia

Day 1: Friday, June 17, 2011

Symposium Lecture

Guidelines and Recommendations for E-mail Records Management and Long-term Preservation - Massimiliano Grandi; FAO Project Analyst / TEAM Italy
Abstract: All over the world, e-mails have, since the end of the past century, been straining the corporate resources available for records management to the limit. The huge amount of e-mails created and sent daily, the maze of documental flows they originate, the complexity of their technological and intellectual structure and the great number of issues associated with their treatment make it necessary to delve into their nature and properties. That is the only way to correctly identify e-mail records and enable recordkeeping systems and digital repositories to appropriately handle them. Starting from the definition of digital record developed during the first two phases of the InterPARES Project, the author of the paper argues that the keystone of proper and effective e-mail records management is the full integration of all the records conveyed by e-mail in existing corporate recordkeeping systems, since there is nothing worse than to manage e-mails as if they were a separate records series, identified only by some technological features shared by all the entities that form it. The guidelines and recommendations for e-mail records management suggested by the author with regard to a number of questions (development of proper procedures for the capture and filing of e-mail records, long-term preservation issues, streamlining of workload and the like) are therefore predicated on the assumption that a records creator must handle e-mail records in compliance with the practices established for any other record, because they can refer to any function, subject or activity carried out by the creator. However, the sheer amount of e-mails and the difficulties intrinsic to the analysis of their intellectual structure mean that current recordkeeping systems must be improved to deal with more substantial and complex records flows.

Welcoming Speech - Japri Bujang Masli; Acting Chief Executive Officer, Pustaka Negeri Sarawak
Speech - Laili Bin Hashim; Dean, Faculty of Information Management, Universiti Teknologi MARA (UiTM)
Congratulatory Address and Overview of the InterPARES Project - Luciana Duranti; Director, InterPARES Project & TEAM Canada
Speech and Official Launching Presentation - YB Datuk Hajah Fatimah Abdullah; Minister in Welfare, Women and Family Development, State of Sarawak

Day 2: Saturday, June 18, 2011

SESSION 1

Chair: Abdul Rahman Deen; Professor, UiTM, & Rappourteur TEAM Malaysia

1. The InterPARES General Studies: Independent, Mixed Methodology Research in Support of Case Studies - Luciana Duranti; Chair & Professor, Archival Studies, SLAIS / Director, InterPARES Project & TEAM Canada
Abstract: The primary methodology of InterPARES 3 has been action reserach, which has been conducted through case studies, where the archival organizations of the participating researchers serve as test-beds and welcome student research assistants conducting ethnographic studies. However, to support the case studies and, at times, to make sense of them or to use the knowledge derived from them to make generalizations, InterPARES 3 has also conducted general studies; that is; studies not linked to a specific archival organization but relevant to most or all, and carried out using mixed methodologies. Some of these general studies, like the Terminology Database, have the purpose of acting as a reference for all case studies. Others, like the organizational culture study, have resulted from observations made in the context of several case studies and are meant to build knowledge that will help to address the issues encounted in each of them. Others, like the community archives e-records assessment, involve pure collection of data that will support ourunderstanding of specific preservation issues. Yet others, like the records policy templates study, are meant to provide case studies with products that have a standard form and type of content. Finally, several general studies are meant to address issues that are understood to affect all archival oragnizations and the solution of which needs some fundamental guidelines, like the cost-benefit analysis study. This paper presents the InterPARES 3 general studies and explain the purpose of each and their already dexpected products.

2. TEAM Brazil: UNICAMP Staff Pay Checks - The Preservation of a Record Created and Maintained in an Interactive Electronic System - Claudia Lacombe Rocha; Archivist, National Archives of Brazil / Director, TEAM Brazil
Abstract: UNICAMP is a public university of the State of Sao Paulo. Since 2001 all wage-related events regarding staff, collaborators and all unversity personnel are processed and registered exclusively in database format in an interactive electronic system. There were precedent systems that operated differently and created records in microfiche form which are maintained in the archives and are easily accessible until today, but presently all recordings resulting from the processing of payroll are stored in database format. The payroll and pay checks serve as proof of wage payments and must remain reliable, authentic and accessible through time. The case study examined these digital entities, according to InterPARES methodology and findings, in order to verify if they can be considered as records and to set up basic management and preservation procedures.

3. TEAM Malaysia: Case Study 03 - Digital Preservation Policy for Pustaka Negeri Sarawak - Rusnah Johare; Deputy Dean (Quality and Research), Faculty of Information Management, UiTM / Director, TEAM Malaysia
Abstract: A transformation from paper-based records to computer-based records is well underway at the Sarawak State Government agencies. Computer storage devices are replacing cabinets and bookshelves as electronic record formats become significant in record creation and retention. By 2011, electronic records at the Sarawak State agencies supported many of the critical functions of the Sarawak State Government from the creation of administrative records to archiving of personnel data. As the custodian of intellectual heritage of the State, the Sarawak State Library (PUSTAKA) must be prepared for the preservation of archival records and materials in digital forms. This paper reports the methodology and findings of TEAM Malaysia Case Study 03 pertaining to the development of policy for digital preservation for PUSTAKA by using the InterPARES 3 case study templates for data collection and analysis.

SESSION 2

Chair: William Nyigor; Director, Human Resources Department, Sarawak, & Rappourteur TEAM Malaysia

1. TEAM Italy: Completed Case Studies - Massimiliano Grandi; FAO Project Analyst / TEAM Italy

2. TEAM Malaysia: Web Archiving in the Federal Ministries - Siti Noorsiah Jamaludin; Lecturer, UiTM / TEAM Malaysia
Abstract: This paper discusses the World Wide Web archiving initiatives and reports the findings of web archiving practices in the Malaysian federal ministries. The study has been conducted with the objectives to identify the existing states of web archiving practices in the federal government ministries; to identify the assigned staff managing web archiving; to identify the awareness of record managers and IT personnel on the concepts of web archiving; and to identify issues and problems of implementing web archiving in the surveyed ministries. This preliminary study used a survey questionnaire as the method of data collection. Twenty-four ministries were involved in the study, with their respective records managers and IT personnel as respondents. The findings suggest that the majority of the surveyed ministries did not archive their websites. Indeed, this is an indication that the Malaysia federal government may have already lost records of its activities hosted on the Internet. It is the intention of TEAM Malaysia to conduct further research using the InterPARES concepts, theory and model for the preservation of web archives of the Malaysian government.

3. TEAM Korea: Certified e-Document Authority (CeDA) - Eun Park; Associate Professor, School of Information Studies, McGill University / Academic Co-investigator, TEAM Korea
Abstract: The Certified e-Document Authority (CeDA) is a trusted third party repository (TTPR) for the secure retention and exchange of electronic documents between its clients. CeDA aims to: 1) meet the legal mandate of keeping electronic documents and records, 2) certify the authenticity, reliability and integrity of electronic documents and records retained in CeDA and 3) ensure a secure exchange of electronic documents. This case study focuses on reviewing how TTPRs have been implemented in the Korean context to establish regulations, systems and services.

SESSION 3

Chair: Mohd Sharif Mohd Saad; Senior Lecturer, UiTM & Rappourteur TEAM Malaysia

1. TEAM Turkey: Enterprise Information and Content Management: The Example of a Defence Industry Organization in Turkey - Tolga Çakmak; Department of Information Management, Faculty of Letters, Hacettepe University, Ankara, Turkey / TEAM Turkey
Abstract: Organizations tend to integrate the systems, such as document, records, web content and e-mail management that they develop for various purposes under enterprise content management. In this respect, the aim of this study is to analyze the current conditions and expectations of a defense industry organization in Turkey. The action research method is used in this study. In accordance with this method, the document management systems, electronic mail systems, web content management applications used by the employees while running their day-to-day activities and the document/records systems used for official correspondence in 167 departments by 337 users within an organization specialised in defence industry in Turkey have been analyzed. According to the results of the analyses, the electronic mail management sysems in the related organizations are at a higher level than the other systems, and it is required that, above all, the enterprise records management systems be developed, and that awareness be raised on the integration of different in-house information systems. This study evaluates the content management applications in a large scale defence organization carrying out its activities at an international level for which information systems are of great importance. It is considered to be a probable source of inspiration for similar studies in the future.

2. TEAM Malaysia: Preservation of Primary Research Data and Records for Research: Presentation of Survey Findings - Alwi Mohd Yunus; Senior lecturer, Faculty of Information Management, UiTM, Malaysia / Co-investigator, TEAM Malaysia
Abstract: This is a status report discussing the preliminary finding of the study on the preservation of primary research data and records for research in research institutions and related organizations in Malaysia. The data were collected through survey, which was based on the elements of a framework adapted from the InterPARES Chain of Preservation Model and the UK Data Archive Model. The findings reported a gap in the management and preservation of primary research data in the agencies surveyed. Policies, strategies, methods, format, storage, metadata and access are generally not in place, which may, accordingly, depict probable data manipulation that resulted in inaccurate data reporting.

3. TEAM Malaysia: ERMS Recordkeeping Functional Requirements for Superior Courts of Malaysia - Nurussobah Hussin; Senior Lecturer, Faculty of Information Management, UiTM, Malaysia / Co-ordinator, TEAM Malaysia
Abstract: This paper highlights the need for electronic court records management in the Judiciary. The awareness and the practical approaches adopted by other countries in developing electronic court records management should be extended to the Malaysian courts. Accordingly, a preliminary study has been conducted at the Court of Appeal to identify the existing practices in managing court records in electronic format in the Malaysian Superior Courts. The data collection involved face-to-face interviews, direct observation and document analysis. The results reveal that, at present, the Malaysian Court of Appeal has not yet implemented an electronic recordkeeping system for its records. Therefore, a comprehensive study is currently being carried out with the aim to develop recordkeeping functional requirements for the management of court records in electronic format as one of the strategies to implement a credible court records management system in the Malaysian Judiciary. In addition, this paper discusses the results of the data analysis of the various international and national best practices of functional requirements for electronic records management and functional standards for courts across selected organizations in Australia, Canada, UK, US, Singapore and Malaysia. Based on the findings, it is hoped that the development of the framework requirement will contribute to automated recordkeeping functionality, enhance the ability to support auditing activities, improve the Court of Appeal business processes and assist to ensure good governance through good recordkeeping.

Symposium Speaker Biographies

Tolga Çakmak graduated from the Middle East Technical University in 2008. He is currently attached to the Department of Information Management, Faculty of Letters, Hacettepe University, Ankara, Turkey. He previously worked as an assistant librarian in various libraries and he is now a researcher for TEAM Turkey of the InterPARES 3 Project. His main research interests are information technologies, human-computer interactions, web usability, navigation systems, records management and open access and open archives systems.

Luciana Duranti is Chair of the Master of Archival Studies at the School of Library, Archival and Information Studies of the University of British Columbia, Canada, and a Professor of archival theory, diplomatics, and the management of digital records in both its master’s and doctoral archival programs. She has been the Director of InterPARES since 1998, a multi-national and multi-disciplinary research project studying the long-term preservation of authentic electronic records. In addition to teaching, she is involved in numerous scholarly, professional, and knowledge dissemination activities, including participation in international conferences and in archival committees, public talks in events open to non-specialized audiences, and invited lectures in several universities. She also publish widely in the areas of archival theory and history, and diplomatics.She is the recipient of several prestigious awards such as the Jacob Biely Faculty Research Prize and the appointment to the Italian Supreme Council for Cultural Properties by the Italian government. Prof Duranti is being cited for "her enormous and outstanding research contributions to the field of archival studies." More information is available on her web site at www.lucianaduranti.ca.

Massimiliano Grandi is a member of TEAM Italy of the InterPARES 3 Project. He graduated in Greek History in 1996 from the University of Florence, and in 1999 from the University of Rome with a degree in Archival Science. Grandi has been working as an archivist and records manager since 1996. In 2010, he earned a Certificate of Advanced Study from the School of Library, Archival and Information Studies (SLAIS) at The University of British Columbia. He is currently project analyst in the Records Management Modernization Project at FAO (Food and Agriculture Organization), a UN agency headquartered in Rome. Since 2001, he has been involved in mark-up based languages (SGML, XML, XSLT, RDF, EAD, EAC...) and their applications to records and archives, above all for long-term preservation purposes. He has also written for iged.it, an Italian quarterly magazine that addresses the application of new technologies to document and records management.

Nurussobah Hussin is a senior lecturer in the Faculty of Information Management, UiTM, Malaysia. She received her Bachelor’s degree in Business Administration (Hons) from Universiti Utara Malaysia (UUM) and her MSc in Information Management from UiTM. Currently, she is persuing her PhD in electronic court records management. Her research interest is in the field of electronic records management and business records management. She is the Coordinator of TEAM Malaysia of the InterPARES 3 Project.

Siti Noorsiah Jamaludin is a lecturer in the Faculty of Information Management, UiTM, Malaysia. She received her degree in records management and MSc in Information Management, both from Universiti Teknologi MARA (UiTM). Her areas of research are in records management and archives.

Rusnah Johare received her professional certification and MA in archival studies, both from University College London and her PhD in records management from Northumbria University, Newcastle, UK. She has many years of professional and academic experience in records and archives management field, ranging from job as an archivist at the National Archives of Malaysia to her current position as an Associate Professor in the Faculty of Information Management, University Teknologi MARA (UiTM), Malaysia. Her major areas of research are in electronic records management and long-term preservation of corporate memory. She is currently the Director of TEAM Malaysia of the InterPARES 3 Project and a member of the Technical Committee of the Malaysian Standards Development for Records and Archives.

Eun G. Park received her PhD in Information Studies from University of California, Los Angeles and MBA from University of Pittsburgh. She is currently an Associate Professor in the School of Information Studies, McGill University, Canada. She is an outstanding researcher and her research areas are in digital archiving, digital preservation, electronic records systems, document imaging, content management, metadata and institutional repositories. She has been involved in the InterPARES Project since 2003 and currently is a member of TEAM Korea.

Claudia Lacombe Rocha received a bachelor's degree in History from Pontificia Universidade Catolica do Rio de Janeiro, and an MA in Informatics from Universidade Federal do Rio de Janeiro. She is currently an archivist at the National Archives of Brazil, where she has been in charge of the Electronic Records Management and Preservation Task Force since 2003. She is also the President of the Electronic Records Committee at the National Council on Archives of Brazil and is the Director of the InterPARES 3 Project’s TEAM Brazil.

Alwi Mohd Yunus is a senior lecturer in the Faculty of Information Management, UiTM, Malaysia, a position he has held since 1999. He holds an honors degree from the International Islamic University and a Master of Science degree in Information Management from UiTM, specializing in records and electronic records management. He is currently pursuing his PhD in data archives.

Event Program