This paper argues that the growing importance of the World Wide Web means that Web sites are key candidates for digital preservation. After an [sic] brief outline of some of the main reasons why the preservation of Web sites can be problematic, a review of selected Web archiving initiatives shows that most current initiatives are based on combinations of three main approaches: automatic harvesting, selection and deposit. The paper ends with a discussion of issues relating to collection and access policies, software, costs and preservation.
Secondary Title
Research and Advanced Technology for Digital Libraries, 7th European Conference, ECDL 2003, Trondheim, Norway, August 2003 Proceedings
Publisher
Springer
Publication Location
Berlin
Critical Arguements
CA "UKOLN undertook a survey of existing Web archiving initiatives as part of a feasibility study carried out for the Joint Information Systems Committee (JISC) of the UK further and higher education funding councils and the Library of the Wellcome Trust. After a brief description of some of the main problems with collecting and preserving the Web, this paper outlines the key findings of this survey." (p. 462) Addresses technical, legal and organizational challenges to archiving the World Wide Web. Surveys major attempts that have been undertaken to archive the Web, highlights the advantages and disadvantages of each, and discusses problems that remain to be addressed.
Conclusions
RQ "It is hoped that this short review of existing Web archiving initiatives has demonstrated that collecting and preserving Web sites is an interesting area of research and development that has now begun to move into a more practical implementation phase. To date, there have been three main approaches to collection, characterised in this report as 'automatic harvesting,' 'selection' and 'deposit.' Which one of these has been implemented has normally depended upon the exact purpose of the archive and the resources available. Naturally, there are some overlaps between these approaches but the current consensus is that a combination of them will enable their relative strengths to be utilised. The longer-term preservation issues of Web archiving have been explored in less detail." (p. 470)
SOW
DC OAIS emerged out of an initiative spearheaded by NASA's Consultative Committee for Space Data Systems. It has been shaped and promoted by the RLG and OCLC. Several international projects have played key roles in shaping the OAIS model and adapting it for use in libraries, archives and research repositories. OAIS-modeled repositories include the CEDARS Project, Harvard's Digital Repository, Koninklijke Bibliotheek (KB), the Library of Congress' Archival Information Package for audiovisual materials, MIT's D-Space, OCLC's Digital Archive and TERM: the Texas Email Repository Model.
CA "Ironically, electronic records systems make it both possible to more fully capture provenance than paper recrods systems did and at the same time make it more likely that provenance will be lost and that archives, even if they are preserved, will therefore lack evidential value. This paper explores the relationship between provenance and evidence and its implications for management of paper or electronic information systems." (p. 177)
Conclusions
"Electronic information systems, therefore, present at least two challenges to archivists. The first is that the designers of these systems may have chosen to document less contextual information than may be of interest to archivists when they designed the system. The second is that the data recorded in any given information system will, someday, need to be transferred to another system. ... [A]rchivists will need to return to fundamental archival principles to determine just what they really wanted to save anyway. ... It may be that archivists will be satisfied with the degree of evidential historicity they were able to achieve in paper based record systems, in which case there are very few barriers to implementing successful electronic based archival environments. Or archivists may decide that the fuller capability of tracking the actual participation of electronic data objects in organizational activities needs to be documented by archivally satisfactory information systems, in which case they will need to define those levels of evidential historicity that must be attained, and specify the systems requirements for such environments. ... At a meeting on electronic records management research issues sponsored by the National Historical Publications and Records Commission in January 1991, participants identified the concept of technological and economic plateaux in electronic data capture and archiving as an important arena for research ... Hopefully this research will produce information to help archivists make decisions regarding the amount of contextual information they can afford to capture and the requirements of systems designed to document context along with managing data content. ... I will not be surprised as we refine our concepts of evidential historicity to discover that the concept of provenance takes on even greater granularity." (p. 192-193)
CA Discusses the ways traditional archival science can inform IT, and the ways IT can help the goals of archival science be achieved more easily and efficiently.
Conclusions
<RQ> "When archivists work with information technologies or electronic archiving specialists, they have a lot to offer. They are the ones who have the conceptual key to the analysis and design of the new archiving systems." (p. 174)
CA Makes a distinction between archival description of the record at hand and documentation of the context of its creation. Argues the importance of the latter in establishing the evidentiary value of records, and criticizes ISAD(G) for its failure to account for context. "(1) The subject of documentation is, first and foremost, the activity that generated the records, the organizations and individuals who used the records, and the purposes to which the records were put. (2). The content of the documentation must support requirements for the archival management of records, and the representations of data should support life cycle management of records. (3) The requirements of users of archives, especially their personal methods of inquiry, should determine the data values in documentation systems and guide archivists in presenting abstract models of their systems to users." (p. 45-46)
Phrases
<P1> [T]he ICA Principles rationalize existing practice -- which the author believes as a practical matter we cannot afford; which fail to provide direct access for most archives users; and which do not support the day-to-day information requirements of archivists themselves. These alternatives are also advanced because of three, more theoretical, differences with the ICA Principles: (1) In focusing on description rather than documentation, they overlook the most salient characteristic of archival records: their status as evidence. (2) In proposing specific content, they are informed by the bibliographic tradition rather than by concrete analysis of the way in which information is used in archives. (3) In promoting data value standardization without identifying criteria or principles by which to identify appropriate language or structural links between the objects represented by such terms, they fail adequately to recognize that the data representation rules they propose reflect only one particular, and a limiting, implementation. (p. 33-34) <P2> Archives are themselves documentation; hence I speak here of "documenting documentation" as a process the objective of which is to construct a value-added representation of archives, by means of strategic information capture and recording into carefully structured data and information access systems, as a mechanism to satisfy the information needs of users including archivists. Documentation principles lead to methods and practices which involve archivists at the point, and often at the time, of records creation. In contrast, archival description, as described in the ICA Principles[,] is "concerned with the formal process of description after the archival material has been arranged and the units or entities to be described have been determined." (1.7) I believe documentation principles will be more effective, more efficient and provide archivists with a higher stature in their organizations than the post accessioning description principles proposed by the ICA. <warrant> (p. 34) <P3> In the United States, in any case, there is still no truly theoretical formulation of archival description principles that enjoys a widespread adherence, in spite of the acceptance of rules for description in certain concrete application contexts. (p. 37) <P4> [T]he MARC-AMC format and library bibliographic practices did not adequately reflect the importance of information concerning the people, corporate bodies and functions that generated records, and the MARC Authority format did not support appropriate recording of such contexts and relations. <warrant> (p. 37) <P5> The United States National Archives, even though it had contributed to the data dictionary which led to the MARC content designation, all the data which it believed in 1983 that it would want to interchange, rejected the use of MARC two years later because it did not contain elements of information required by NARA for interchange within its own information systems. <warrant> (p. 37) <P6> [A]rchivists failed to understand then, just as the ISAD(G) standard fails to do now, that rules for content and data representation make sense in the context of the purposes of actual exchanges or implementation, not in the abstract, and that different rules or standards for end-products may derive from the same principles. (p. 38) <P7> After the Committee on Archival Information Exchange of the Society of American Archivists was confronted with proposals to adopt many different vocabularies for a variety of different data elements, a group of archivists who were deeply involved in standards and description efforts within the SAA formed an Ad Hoc Working Group on Standards for Archival Description (WGSAD) to identify what types of standards were needed in order to promote better description practices.  WSAD concluded that existing standards were especially inadequate to guide practice in documenting contexts of creation.  Since then, considerable progress has been made in developing frameworks for documentation, archival information systems architecture and user requirements analysis, which have been identified as the three legs on which the documenting documentation platform rests. <warrant> (p. 38) <P8> Documentation of organizational activity ought to begin long before records are transferred to archives, and may take place even before any records are created -- at the time records are created -- at the time when new functions are assigned to an organization. (p. 39) <P9> It is possible to identify records which will be created and their retention requirements before they are created, because their evidential value and informational content are essentially predetermined. (p. 39) <P10> Archivists can actively intervene through regulation and guidance to ensure that the data content and values depicting activities and functions are represented in such a way that will make them useful for subsequent management and retrieval of the records resulting from these activities. This information, together with systems documentation, defines the immediate information system context out of which the records were generated, in which they are stored, and from which they were retrieved during their active life. (p. 39) <P11> Documentation of the link between data content and the context of creation and use of the records is essential if records (archives or manuscripts) are to have value as evidence. (p. 39) <P12> [C]ontextual documentation capabilities can be dramatically improved by having records managers actively intervene in systems design and implementation.  The benefits of proactive documentation of the context of records creation, however, are not limited to electronic records; the National Archives of Canada has recently revised its methods of scheduling to ensure that such information about important records systems and contexts of records creation will be documented earlier. <warrant> (p. 39) <P13> Documentation of functions and of information systems can be conducted using information created by the organization in the course of its own activity, and can be used to ensure the transfer of records to archives and/or their destruction at appropriate times. It ensures that data about records which were destroyed as well as those which were preserved will be kept, and it takes advantage of the greater knowledge of records and the purposes and methods of day-to-day activity that exist closer to the events. (p. 40) <P14> The facts of processing, exhibiting, citing, publishing and otherwise managing records becomes significant for their meaning as records, which is not true of library materials. (p. 41) <P15> [C]ontent and data representation requirements ought to be derived from analysis of the uses to which such systems must be put, and should satisfy the day to day information requirements of archivists who are the primary users of archives, and of researchers using archives for primary evidential purposes. (p. 41) <P16> The ICA Commission proposes a principle by which archivists would select data content for archival descriptions, which is that "the structure and content of representations of archival material should facilitate information retrieval." (5.1) Unfortunately, it does not help us to understand how the Commission selected the twenty-five elements of information identified as its standard, or how we could apply the principle to the selection of additional data content. It does, however, serve as a prelude to the question of which principles should guide archivists in choosing data values in their representations. (p. 42) <P17> Libraries have found that subject access based on titles, tables of contents, abstracts, indexes and similar formal subject analysis by-products of publishing can support most bibliographic research, but the perspectives brought to materials by archival researchers are both more varied and likely to differ from those of the records creators. (p. 43) <P18> The user should not only be able to employ a terminology and a perspective which are natural, but also should be able to enter the system with a knowledge of the world being documented, without knowing about the world of documentation. (p. 44) <P19> Users need to be able to enter the system through the historical context of activity, construct relations in that context, and then seek avenues down into the documentation. This frees them from trying to imagine what records might have survived -- documentation assists the user to establish the non-existence of records as well as their existence -- or to fathom how archivists might have described records which did survive. (p. 44) <P20> When they departed from the practices of Brooks and Schellenberg in order to develop means for the construction of union catalogues of archival holdings, American archivists were not defining new principles, but inventing a simple experiment. After several years of experience with the new system, serious criticisms of it were being leveled by the very people who had first devised it. (p. 45)
Conclusions
RQ "In short, documentation of the three aspects of records creation contexts (activities, organizations and their functions, and information systems), together with representation of their relations, is essential to the concept of archives as evidence and is therefore a fundamental theoretical principle for documenting documentation. Documentation is a process that captures information about an activity which is relevant to locating evidence of that activity, and captures information about records that are useful to their ongoing management by the archival repository. The primary source of information is the functions and information systems giving rise to the records, and the principal activity of the archivist is the manipulation of data for reference files that create richly-linked structures among attributes of the records-generating context, and which point to the underlying evidence or record." (p. 46)
Type
Journal
Title
Migration Strategies within an Electronic Archive: Practical Experience and Future Research
Pfizer Central Research, Sandwich, England has developed an Electronic Archive to support the maintenance and preservation of electronic records used in the discovery and development of new medicines. The Archive has been developed to meet regulatory, scientific and business requirements. The long-term preservation of electronic records requires that migration strategies be developed both for the Archive and the records held within the Archive. The modular design of the Archive will facilitate the migration of hardware components. Selecting an appropriate migration strategy for electronic records requires careful project management skills allied to appraisal and retention management. Having identified when the migration of records is necessary, it is crucial that alternative technical solutions remain open.
DOI
10.1023/A:1009093604632
Critical Arguements
CA Describes a system of archiving and migration of electronic records (Electronic Archive) at Pfizer Central Research. "Our objective is to provide long-term, safe and secure storage for electronic records. The archive acts as an electronic record center and borrows much from traditional archive theory." (p. 301)
Phrases
<P1> Migration, an essential part of the life-cycle of electronic records, is not an activity that occurs in isolation. It is deeply related to the "Warrant" which justifies our record-keeping systems, and to the metadata which describe the data on our systems. (p. 301-302) <warrant> <P2> Our approach to electronic archiving, and consequently our migration strategy, has been shaped by the business requirements of the Pharmaceutical industry, the technical infrastructure in which we work, the nature of scientific research and development, and by new applications for traditional archival skills. <warrant> (p. 302) <P3> The Pharmaceutical industry is regulated by industry Good Practice Guidelines such as Good Laboratory Practice, Good Clinical Practice and GoodManufacturing Practice. Adherence to these standards is monitored by Government agencies such as the U.S. Food and Drug Administration (FDA) and in Britain the Department of Health (DoH). The guidelines require that data relating to any compound used in man be kept for the lifetime of that compound during its use in man. This we may take to be 40 years or more, during which time the data must remain identifiable and reproducible in case of regulatory inspection. <warrant> (p. 302) <P4> The record-keeping requirements of the scientific research and development process also shape migration strategies. ... Data must be able to be manipulated as well as being identifiable and legible. <warrant> (p. 303) <P5> [W]e have adapted traditional archival theory to our working environment and the new imperatives of electronic archiving. We have utilised retention scheduling to provide a vehicle for metadata file description alongside retention requirements. We have also placed great importance on appraisal as a tool to evaluate records which require to be migrated. (p. 303) <P6> Software application information is therefore collected as part of the metadata description for each file. (p. 303) <P7> The migration of the database fromone version to another or to a new schema represents a significant migration challenge in terms of the project management and validation necessary to demonstrate that a new database accurately represents our original data set. (p. 303-304) <P8> Assessing the risk of migration exercises is only one of several issues we have identified which need to be addressed before any migration of the archive or its components takes place. (p. 304) <P9> [F]ew organisations can cut themselves off totally from their existing record-keeping systems, whether they be paper or electronic. (p. 304) <P10> Critical to this model is identifying the data which are worthy of long-term preservation and transfer to the Archive. This introduces new applications for the retention and appraisal of electronic records. Traditional archival skills can be utilised in deciding which records are worthy of retention. Once they are in the Archive it will become critical to return time and again to those records in a process of "constant review" to ensure that records remain, identifiable, legible and manipulatable. (p. 305) <P11> Having decided when to migrate electronic records, it is important to decide if it is worth it. Our role in Records Management is to inform the business leaders and budget holders when a migration of electronic records will be necessary. It is also our role to provide the business with an informed decision. A key vehicle in this process will be the retention schedule, which is not simply a tool to schedule the destruction of records. It could also be used to schedule software versions. More importantly, with event driven requirements it is a vehicle for constant review and appraisal of record holdings. The Schedule also defines important parts of the metadata description for each file in the Archive. The role of appraisal is critical in evaluating record holdings from a migration point of view and will demand greater time and resources from archivists and records managers. (p. 305)
Conclusions
RQ "Any migration of electronic records must be supported by full project management. Migration of electronic records is an increasingly complex area, with the advent of relational databases, multi-dimensional records and the World Wide Web. New solutions must be found, and new research undertaken. ... To develop a methodology for the migration of electronic records demands further exploration of the role of the "warrant" both external and internal to any organisation, which underpins electronic record-keeping practices. It will become critical to find new and practical ways to identify source software applications. ... The role of archival theory, especially appraisal and retention scheduling, in migration strategies demands greater consideration. ... The issues raised by complex documents are perhaps the area which demands the greatest research for the future. In this respect however, the agenda is being set by vendors promoting new technologies with short-term business goals. It may appear that electronic records do not lend themselves to long-term preservation. ... The development, management and operation of an Electronic Archive and migration strategy demands a multitude of skills that can only be achieved by a multi-disciplinary team of user, records management, IT, and computing expertise. Reassuringly, the key factor in migrating electronic archives will remain people." (p. 306)
Type
Journal
Title
Warrant and the Defintion of Electronic Records: Questions Arising from the Pittsburgh Project
The University of Pittsburgh Electronic Recordkeeping Research Project established a model for developing functional requirements and metadata specifications based on warrant, defined as the laws, regulations, best practices, and customs that regulate recordkeeping. Research has shown that warrant can also increase the acceptance by records creators and others of functional requirements for recordkeeping. This article identifies areas related to warrant that require future study. The authors conclude by suggesting that requirements for recordkeeping may vary from country to country and industry to industry because of differing warrant.
Publisher
Kluwer Academic Publishers
Publication Location
The Netherlands
Critical Arguements
CA Poses a long series of questions and issues concerning warrant and its ability to increase the acceptance of recordkeeping requirements. Proposes that research be done to answer these questions. Discusses two different views about whether warrant can be universal and/or international.
Phrases
<P1> As we proceeded with the project [the University of Pittsburgh Electronic Recordkeeping Research Project] we ultimately turned our attention to the idea of the literary warrant -- defined as the mandate from law, professional best practices, and other social sources requiring the creation and continued maintenance of records. Wendy Duff's doctoral research found that warrant can increase the acceptance of some recordkeeping functional requirements, and therefore it has the potential to build bridges between archival professionals and others concerned with or responsible for recordkeeping. We did not anticipate the value of the literary warrant and, in the hindsight now available to us, the concept of the warrant may turn out to be the most important outcome of the project. <P2> In Wendy Duff's dissertation, legal, auditing and information science experts evluated the authority of the sources of warrant for recordkeeping. This part of the study provided evidence that information technology standards may lack authority, but this finding requires further study. Moreover, the number of individuals who evaluated the sources of warrant was extremely small. A much larger number of standards should be included in a subsequent study and a greater number of subjects are needed to evaluate these standards. <P3> We found a strong relationship between warrant and the functional requirements for electronic recordkeeping systems. Research that studies this relationship and determines the different facets that may affect it might provide more insights into the relationship between the warrant and the functional requirements. <P4> [W]e need to develop a better understanding of the degree to which the warrant for recordkeeping operates in various industries, disciplines, and other venues. Some institutions operate in a much more regulated environment than others, suggesting that the imporance of records and the understanding of records may vary considerably between institutional types, across disciplines and from country to country. <P5> We need to consider whether the recordkeeping functional requirements for evidence hold up or need to be revised for recordkeeping requirements for corporate memory, accountability, and cultural value -- the three broad realms now being used to discuss records and recordkeeping. <P6> The warrant gathered to date has primarily focused on technical, legal or the administrative value of records. A study that tested the effectiveness of warrant that supported the cultural or historical mandate of archives might help archivists gain support for their archival programs. <P7> This concern leads us to a need for more research about the understanding of records and recordkeeping in particular institutions, disciplines, and societies. <P8> A broader, and perhaps equally important question, is whether individual professionals and workers are even aware of their regulatory environment. <P9> How do the notion of the warrant and the recordkeeping functional requirements relate to the ways in which organizations work and the management tools they use, such as business process reengineering and data warehousing? <P10> What are the economic implications for organizations to comply with the functional requirements for recordkeeping in evidence? <P11> Is there a warrant and separate recordkeeping functional requirements for individual or personal recordkeeping? <P12> As more individuals, especially writers, financial leaders, and corporate and societal innovators, adopt electronic information technologies for the creation of their records, an understanding of the degree of warrant for such activity and our ability to use this warrant to manage these recordkeeping systems must be developed. <P13> We believe that archivists and records managers can imporve their image if they become experts in all aspects of recordkeeping. This will require a thorough knowledge of the legal, auditing, information technology, and management warrant for recordkeeping. <P14> The medical profession emphasizes that [sic] need to practice evidence-based medicine. We need to find out what would happen if records managers followed suit, and emphasized and practiced warrant-based recordkeeping. Would this require a major change in what we do, or would it simply be a new way to describe what we have always done? <P15> More work also has to be done on the implications of warrant and the functional requirements for the development of viable archives and records management programs. <P16> The warrant concept, along with the recordkeeping functional requirements, seem to possess immense pedagogical implications for what future archivists or practicing archivists, seeking to update their skills, should or would be taught. <P17> We need to determine the effectiveness of using the warrant and recordkeeping functional requirements as a basis for graduate archival and records management education and for developing needed topics for research by masters and doctoral students. <P18> The next generation of educational programs might be those located in other professional schools, focusing on the particular requirements for records in such institutions as corporations, hospitals, and the courts. <P19> We also need to determine the effectiveness of using the warrant and recordkeeping functional requirements in continuing education, public outreach, and advocacy for helping policy makers, resource allocators, administrators, and others to understand the importance of archives and records. Can the warrant and recordkeeping functional requirements support or foster stronger partnerships with other professions, citizen action groups, and other bodies interested in accountability in public organizations and government? <P20> Focusing on the mandate to keep and manage records, instead of the records as artifacts or intersting stuff, seems much more relevant in late twentieth century society. <P21> We need to investigate the degree to which records managers and archivists can develop a universal method for recordkeeping. ... Our laws, regulations, and best practices are usually different from country to country. Therefore, must any initiative to develop warrant also be bounded by our borders? <P22> A fundamental difference between the Pittsburgh Project and the UBC project is that UBC wishes to develop a method for managing and preserving electronic records that is applicable across all juridical systems and cultures, while the Pittsburgh Project is proposing a model that enables recordkeeping to be both universal and local at the same time. <P23> We now have a records management standard from Australia which is relevant for most North American records programs. It has been proposed as an international standard, although it is facing opposition from some European countries. Can there be an international standard for recordkeeping and can we develop one set of procedures which will be accepted across nations? Or must methods of recordkeeping be adapted to suit specific cultures, juridical systems, or industries?
Over the last decade a number of writers have encouraged archivists to develop strategies and tactics to redefine their role and to insert themselves into the process of designing recordkeeping systems. This paper urges archivists to exploit the authority inherent in the laws, regulations, standards, and professional best practices that dictate recordkeeping specifications to gain great acceptance for the requirements for electronic evidence. Furthermore, it postulates that this proactive approach could assist in gaining greater respect for the archival profession.
Critical Arguements
CA The use of authoritative sources of warrant would improve acceptance of electronic records as evidence and create greater respect for the archival profession.
Phrases
<P1> The legal, administrative, fiscal, or information value of records is dependent upon the degree of trust society places in records as reliable testimony or evidence of the acts they purport to document. In turn, this trust is dependent on society's faith in the procedures that control the creation and maintenance of the record. <P2> [S]ociety bestows some methods of recordkeeping and record creating with an authority or 'warrant' for generating reliable records. <P3> David Bearman first proposed the idea of "literary warrant." <P4> [S]tatements of warrant provide clear instructions on how records should be kept and delineate elements needed for the records to be complete. <P5> The information technology field promulgates standards, but in North America adherence to them is voluntary rather than obligatory. <P6> The University of Pittsburgh Electronic Recordkeeping Project suggested that requirements for electronic recordkeeping should derive from authoritative sources, such as the law, customs, standards, and professional best practices accepted by society and codified in the literature of different professions concerned with records and recordkeeping rather than developed in isolation. <P7> On their own, archival requirements for recordkeeping have very little authority as no authoritative agencies such as standards boards or professional associations have yet to endorse them [sic] and few archivists have the authority to insist that their organizations follow them. <P8> An NHPRC study suggested that archivists have not been involved in the process of meeting the challenges of electronic records because they are undervalued by their colleagues, or, in other words, are not viewed as a credible source.
Conclusions
RQ "By highlighting the similarity between recordkeeping requirements and the requirements delineated in authoritative statements in the law, auditing standards, and professional best practices, archivists will increase the power of their message. ... If archivists are to take their rightful place as regulators of an organization's documentary requirements, they will have to reach beyond their own professional literature and understand the requirements for recordkeeping imposed by other professions and society in general. Furthermore, they will have to study methods of increasing the accpetance of their message and the impact and power of warrant."
Type
Journal
Title
Law, evidence and electronic records: A strategic perspective from the global periphery
CA A recordkeeping paradigm set up around the records continuum will take us into the future, because it sees opportunities, not problems, in e-environments. It fosters accountability through evidence-generating recordkeeping practices.
Phrases
<P1> This challenge is being addressed by what Chris Hurley has called second-generation archival law, which stretches the reach of archival jurisdictions into the domain of the record-creator. A good example of such archival law is South Africa's National Archives Act of 1996, which gives the National Archives regulatory authority over all public records from the moment of their creation. The Act provides a separate definition of "electronic records systems" and accords the National Archives specific powers in relation to their management. Also significant is that the Act brings within the National Archives' jurisdiction those categories of record-creators commonly allowed exclusion -- the security establishment, public services outside formal structures of government, and "privatized" public service agencies. (p.34) <P2> A characteristic (if an absence can be a characteristic) of most archival laws, first and second generation, is a failure to define either the conditions/processes requiring "recording" or the generic attributes of a "record." (p.34) <P3> Archival law, narrowly defined, is not at the cutting edge and is an increasingly small component of broader recordkeeping regimes. This is one of the many signs of an emerging post-custodial era, which Chris Hurley speculates will be informed by a third generation of archival law. Here, the boundaries between recordkeeping domains dissolve, with all of them being controlled by universal rules. (p.34)
Conclusions
RQ What is the relationship between the event and the record? Is the idea of evidence pivotal to the concept of "recordness"? Should evidence be privileged above all else in defining a record? What about remembering, forgetting, imagining?
This article provides an overview of evolving Australian records continuum theory and the records continuum model, which is interpreted as both a metaphor and a new worldview, representing a paradigm shift in Kuhn's sense. It is based on a distillation of research findings drawn from discourse, literary warrant and historical analysis, as well as case studies, participant observation and reflection. The article traces the emergence in Australia in the 1990s of a community of practice which has taken continuum rather than life cycle based perspectives, and adopted postcustodial approaches to recordkeeping and archiving. It "places" the evolution of records continuum theory and practice in Australia in the context of a larger international discourse that was reconceptualizing traditional theory, and "reinventing" records and archives practice.
Publisher
Kluwer Academic Publishers
Publication Location
The Netherlands
Critical Arguements
CA Looks at the development of the Australian community of practice that led to records continuum theory: an approach that, in contrast to the North American life cycle approach, sees recordkeeping and archival practices as part of the same continuum of activities. Since the 1990s, there has been a lively debate between proponents of these two different ways of thinking. The second part of the article is highly theoretical, situating records continuum theory in the larger intellectual trend toward postmodernism and postpositivism.
Phrases
<P1> The model was built on a unifying concept of records inclusive of archives, which are defined as records of continuing value. It also drew on ideas about the "fixed" and "mutable" nature of records, the notion that records are ÔÇ£always in a process of becoming." (p. 334). <P2> Continuum ideas about the nature of records and archives challenge traditional understandings which differentiate "archives" from "records" on the basis of selection for permanent preservation in archival custody, and which focus on their fixed nature. Adopting a pluralist view of recorded information, continuum thinking characterises records as a special genre of documents in terms of their intent and functionality. It emphasises their evidentiary, transactional and contextual nature, rejecting approaches to the definition of records which focus on their subject content and informational value. (p. 335) <P3> [R]ecordkeeping and archiving processes ... help to assure the accessibility of meaningful records for as long as they are of value to people, organisations, and societies ÔÇô whether that be for a nanosecond or millennia. (p. 336) <P4> [I]f North American understandings of the term record keeping, based on life cycle concepts of records management, are used to interpret the writings of members of the Australian recordkeeping community, there is considerable potential for misunderstanding. <P5> Members of the recordkeeping and archiving community have worked together, often in partnership with members of other records and archives communities, on a range of national policy and standards initiatives, particularly in response to the challenge of electronic recordkeeping. These collaborative efforts resulted in AS 4390, the Australian Standard: Records Management (1996), the Australian Council of Archives' Common Framework for Electronic Recordkeeping (1996), and the Australian Records and Archives Competency Standards (1997). In a parallel and interconnected development, individual archival organisations have been developing electronic recordkeeping policies, standards, system design methodologies, and implementation strategies for their jurisdictions, including the National Archives of Australia's suite of standards, policies, and guidelines under the e-permanence initiative launched in early 2000. These developments have been deliberately set within the broader context of national standards and policy development frameworks. Two of the lead institutions in these initiatives are the National Archives of Australia and the State Records Authority of New South Wales, which have based their work in this area on exploration of fundamental questions about the nature of records and archives, and the role of recordkeeping and archiving in society. <warrant> (p. 339) <P6> In adopting a continuum-based worldview and defining its "place" in the world, the Australian recordkeeping and archiving community consciously rejected the life cycle worldview that had dominated records management and archives practice in the latter half of the 20th century in North America. ... They were also strong advocates of the nexus between accountable recordkeeping and accountability in a democratic society, and supporters of the dual role of an archival authority as both a regulator of current recordkeeping, and preserver of the collective memory of the state/nation. (p. 343-344) <P7> [P]ost-modern ideas about records view them as dynamic objects that are fixed in terms of content and meaningful elements of their structure, but linked to ever-broadening layers of contextual metadata that manages their meanings, and enables their accessibility and useability as they move through "spacetime." (p. 349) <P8> In exploring the role of recordkeeping and archiving professionals within a postcustodial frame of reference, archival theorists such as Brothman, Brown, Cook, Harris, Hedstrom, Hurley, Nesmith, and Upward have concluded that they are an integral part of the record and archive making and keeping process, involved in society's remembering and forgetting. (p. 355) <P9> Writings on the societal context of functional appraisal have gone some way to translate into appraisal policies and strategies the implications of the shifts in perception away from seeing records managers as passive keepers of documentary detritus ... and archivists as Jenkinson's neutral, impartial custodians of inherited records. (p. 355-356)
Conclusions
RQ "By attempting to define, to categorise, pin down, and represent records and their contexts of creation, management, and use, descriptive standards and metadata schema can only ever represent a partial view of the dynamic, complex, and multi-dimensional nature of records, and their rich webs of contextual and documentary relationships. Within these limitations, what recordkeeping metadata research is reaching towards are ways to represent records and their contexts as richly and extensively as possible, to develop frameworks that recognise their mutable and contingent nature, as well as the role of recordkeeping and archiving professionals (records managers and archivists) in their creation and evolution, and to attempt to address issues relating to time and space." (p. 354)
Type
Journal
Title
Research Issues in Australian Approaches to Policy Development
Drawing on his experience at the Australian Archives in policy development on electronic records and recordkeeping for the Australian Federal Government sector the author argues for greater emphasis on the implementation side of electronic records management. The author questions whether more research is a priority over implementation. The author also argues that if archival institutions wish to be taken seriously by their clients they need to pay greater attention to getting their own organisations in order. He suggests the way to do this is by improving internal recordkeeping practices and systems and developing a resource and skills base suitable for the delivery of electronic recordkeeping policies and services to clients.
Publisher
Kluwer Academic Publishers
Publication Location
Netherlands
Critical Arguements
CA "None of the issues which have been raised regarding the management of electronic records are insurmountable or even difficult from a technological viewpoint. The technology is there to develop electronic recordkeeping systems. The technology is there to capture and maintain electronic records. The technology is there to enable access over time. The technology is there to enable recordkeeping at a level of sophistication and accuracy hitherto undreamt of. To achieve our goal though requires more than technology, remember that is part of the problem. To achieve our goal requires human understanding, planning, input and motivation and that requires us to convince others that it is worth doing. This view has a significant impact on the development of research agendas and implementation projects." (p. 252) "Looking at electronic records from a strategic recordkeeping perspective requires us to see beyond the specific technology issues toward the wider corporate issues, within our organizational, professional and environmental sectors. In summary they are: Building alliances: nationally and internationally; Re-inventing the archival function: cultural change in the archives and recordscommunity and institutions; Getting our own house in order: establishing archival institutions as models of best practice for recordkeeping; Devoting resources to strategic developments; and Re-training and re-skilling archivists and records managers." (p. 252-253)
Phrases
<P1> The issue for me therefore is the development of a strategic approach to recordkeeping, whether it be in Society generally, whole of Government, or in your own corporate environment. The wider focus should be on the development of recordkeeping systems, and specifically electronic recordkeeping systems. Without such a strategic approach I believe our efforts on electronic records will largely be doomed to failure. (p. 252) <P2> We have to influence recordkeeping practices in order to influence the creation and management of electronic records. (p. 253) <P3> Given that there is no universal agreement within the archives and records community to dealing with electronic records how can we expect to successfully influence other sectoral interests and stake-holders, not to mention policy makers and resource providers? Institutions and Professional bodies have to work together and reach agreement and develop strategic positions. (p. 253) <P4> The emerging role of recordkeeping professionals is to define recordkeeping regimes for organizations and their employees, acting as consultants and establishing and monitoring standards, rather than deciding about specific records in specific recordkeeping systems or creating extensive documentation about them. (p. 254) <P5> Archival institutions need to practice what they preach and develop as models for best practice in recordkeeping. (p. 254-255) <P6> Resources devoted to electronic records and recordkeeping policy and implementation within archival institutions has not been commensurate with the task. (p. 255) <P7> Contact with agencies needs to be more focused at middle and senior management to ensure that the importance of accountability and recordkeeping is appreciated and that strategies and systems are put in place to ensure that records are created, kept and remain accessible. (p. 255) <P8> In order to do this for electronic records archival institutions need to work with agencies to: assist in the development of recordkeeping systems through the provision of appropriate advice; identify electronic records in their custody which are of enduring value; identify and dispose of electronic records in their custody which are not of enduring value; assist agencies in the identification of information or metadata which needs to be captured and maintained; provide advice on access to archival electronic records. (p. 255-256) <P9> The elements of the records continuum need to be reflected as components in the business strategy for archival institutions in the provision of services to its clients. (p. 256)
Conclusions
RQ "In summary I see the unresolved issues and potential research tasks as follows: International Agreement (UN, ICA); National Agreement (Government, Corporate, Sectoral, Professional); Cultural Change in the Archives and Records Community; Re-inventing / re-engineering Archives institutions; Re-training or recruiting; Best practice sites -- the National Archives as a model for best practice recordkeeping; Test sites for creation, capture, migration and networking of records; Functional analysis and appraisal of electronic information systems (electronic recordkeeping systems); Costing the retention of electronic records and records in electronic form." (p. 257)
One such expedient could be more structured and more integrated use of formal and institutional data on records and archives. I cannot offer any completed model of this enhanced perspective, and as far as I know, one does not exist. However, it is a new way of thinking and looking at the problems we encounter. What I would like to do is draw attention to some of the approaches now being developed in The Netherlands. In a way, this presentation will therefore be a report on the Dutch arvhival situation.
Critical Arguements
CA "In a world defined by the enormous size of archives, where the multiplicity of records is in turn driven by the growing complexity of society and its administration, and by the proliferation of types of 'information carriers', it is becoming increasingly difficult fpr archivists to fulfill their primary tasks. It is therefore necessary to study carefully the development of maintenance and control mechanisms for archives. We cannot afford waste or overlook any possibility. It is also necessary to look around us, to discover what other archivists in other countries are doing, and what others in related fields, such as libraries and museums, have accomplished. Essentially, we all deal with the same problems and must try to find new solutions to master these problems."
Phrases
<P1> Document forms can be regarded as forms of objects. We probably need to gain more experience in recognizing different forms of documents and interpreting them, but once we have this knowledge, we can use it in the same way as we now use 'form' in its archival sense: to distinguish one object from another. <P2> In fact, by extension, one can even construct and defend the thesis that all decisions in an administration are reached using standard procedures and forms. Once this is realized, one can ask: what use to archivists make of this knowledge in their daily work? What are the possibilities? <P3> Often the forms of materials created prove to be of a more consistent nature than the offices that use them. If an office ceases its activity, another will take over its tasks and for the most part will use the same or almost the same forms of material. <P4> Understanding the functions of the organization will provide archivists not only with information about the material involved, but also with knowledge of the procedures, which in turn provides information about the records and their different forms. This kind of sympathetic understanding enables archivists to make all kinds of decisions, and it is important to note that at least part of this knowledge should be provided to the users, so that they can decide which records might be of interest to them. <warrant> <P5> We are increasingly aware that we must distinguish between processing an archive (i.e. organizing records according to archival principles after appraisal) and making the contents available for users through finding aids, indexes and other means. <P6> With respect to the latter, it is clear that archivists should make use of both context- and provenance-based indexing. They should take advantage of the possiblities offered by the structures and forms of material -- something which the librarian cannot do. Furthermore, they should also use content indexing in a selective way, only when they think it necessary [to] better serve researchers. <warrant> <P7> The National Archives in The Hague has responded to these new perspectives by developing a computer programme called MAIS (Micro Archives Inventory System), which is a formal way of processing archives based on provenance. <P8> The object of this presentation has been to show that use of structure, forms of material and functions, can aid the archivist in his/her work.
Conclusions
RQ "While these initial Dutch efforts have been produced in a rather unorganized way, it should nevertheless be possible to approach the work more systematically in [the] future, building up a body of knowledge of forms for users of archives. David Bearman has offered some preliminary suggestions in this direction, in the article cited above; it is now a matter of more research required to realize something positive in this field."
SOW
DC J. Peter Sigmond is Director of Collections at the Rijksmuseum in Amsterdam, the Netherlands
Type
Journal
Title
Structuring the Records Continuum Part Two: Structuration Theory and Recordkeeping
In the previous issue of Archives and Manuscripts I presented the first part of this two part exploration. It dealt with some possible meanings for 'post' in the term postcustodial. For archivists, considerations of custody are becoming more complex because of changing social, technical and legal considerations. These changes include those occurring in relation to access and the need to document electronic business communications reliably. Our actions, as archivists, in turn become more complex as we attempt to establish continuity of custody in electronic recordkeeping environments. In this part, I continue the case for emphasising the processes of archiving in both our theory and practice. The archives as a functional structure has dominated twentieth century archival discourse and institutional ordering, but we are going through a period of transformation. The structuration theory of Anthony Giddens is used to show that there are very different ways of theorising about our professional activities than have so far been attempted within the archival profession. Giddens' theory, at the very least, provides a useful device for gaining insights into the nature of theory and its relationship with practice. The most effective use of theory is as a way of seeing issues. When seen through the prism of structuration theory, the forming processes of the virtual archives are made apparent.
Critical Arguements
CA "This part of my exploration of the continuum will continue the case for understanding 'postcustodial' as a bookmark term for a major transition in archival practice. That transition involves leaving a long tradition in which continuity was a matter of sequential control. Electronic recordkeeping processes need to incorporate continuity into the essence of recordkeeping systems and into the lifespan of documents within those systems. In addressing this issue I will present a structurationist reading of the model set out in Part 1, using the sophisticated theory contained in the work of Anthony Giddens. Structuration theory deals with process, and illustrates why we must constantly re-assess and adjust the patterns for ordering our activities. It gives some leads on how to go about re-institutionalising these new patterns. When used in conjunction with continuum thinking, Giddens' meta-theory and its many pieces can help us to understand the complexities of the virtual archives, and to work our way towards the establishment of suitable routines for the control of document management, records capture, corporate memory, and collective memory."
Phrases
<P1> Broadly the debate has started to form itself as one between those who represent the structures and functions of an archival institution in an idealised form, and those who increasingly concentrate on the actions and processes which give rise to the record and its carriage through time and space. In one case the record needs to be stored, recalled and disseminated within our institutional frameworks; in the other case it is the processes for storing, recalling, and disseminating the record which need to be placed into a suitable framework. <P2> Structure, for Giddens, is not something separate from human action. It exists as memory, including the memory contained within the way we represent, recall, and disseminate resources including recorded information. <P3> Currently in electronic systems there is an absence of recordkeeping structures and disconnected dimensions. The action part of the duality has raced ahead of the structural one; the structuration process has only just begun. <P4> The continuum model's breadth and richness as a conceptual tool is expanded when it is seen that it can encompass action-structure issues in at least three specialisations within recordkeeping: contemporary recordkeeping - current recordkeeping actions and the structures in which they take place; regulatory recordkeeping - the processes of regulation and the enabling and controlling structures for action such as policies, standards, codes, legislation, and promulgation of best practices; historical recordkeeping - explorations of provenance in which action and structure are examined forensically as part of the data sought about records for their storage, recall and dissemination. <P5> The capacity to imbibe information about recordkeeping practices in agencies will be crucial to the effectiveness of the way archival 'organisations' set up their postcustodial programs. They will have to monitor the distribution and exercise of custodial responsibilities for electronic records from before the time of their creation. <warrant> <P6> As John McDonald has pointed out, recordkeeping activities need to occur at desktop level within systems that are not dependent upon the person at the desktop understanding all of the details of the operation of that system. <P7> Giddens' more recent work on reflexivity has many parallels with metadata approaches to recordkeeping. What if the records, as David Bearman predicts, can be self-managing? Will they be able to monitor themselves? <P8> He rejects the life cycle model in sociology, based on ritualised passages through life, and writes of 'open experience thresholds'. Once societies, for example, had rites for coming of age. Coming of age in a high modern society is now a complex process involving a host of experiences and risks which are very different to that of any previous generation. Open experience threshholds replace the life cycle thresholds, and as the term infers, are much less controlled or predictable. <P9> There is a clear parallel with recordkeeping in a high modern environment. The custodial thresholds can no longer be understood in terms of the spatial limits between a creating agency and an archives. The externalities of the archives as place will decline in significance as a means of directly asserting the authenticity and reliability of records. The complexities of modern recordkeeping involve many more contextual relationships and an ever increasing network of relationships between records and the actions that take place in relation to them. We have no need for a life cycle concept based on the premise of generational repetition of stages through which a record can be expected to pass. We have entered an age of more recordkeeping choices and of open experience thresholds. <P10> It is the increase in transactionality, and the technologies being used for those transactions, which are different. The solution, easier to write about than implement, is for records to parallel Giddens' high modern individual and make reflexive use of the broader social environment in which they exist. They can reflexively monitor their own action and, with encoding help from archivists and records managers, resolve their own crises as they arise. <warrant> <P11> David Bearman's argument that records can be self-managing goes well beyond the easy stage. It is supported by the Pittsburgh project's preliminary set of metadata specifications. The seeds of self-management can be found in object oriented programming, java, applets, and the growing understanding of the importance and nature of metadata. <P12> Continuum models further assist us to conceive of how records, as metadata encapsulated objects, can resolve many of their own life crises as they thread their way through time and across space. <P13> To be effective monitors of action, archival institutions will need to be recognised by others as the institutions most capable of providing guidance and control in relation to the integration of the archiving processes involved in document management, records capture, the organisation of corporate memory and the networking of archival systems. <warrant> <P14> Signification, in the theoretical domain, refers to our interpretative schemes and the way we encode and communicate our activities. At a macro level this includes language itself; at a micro level it can include our schemes for classification and ordering. <P15> The Pittsburgh project addressed the three major strands of Giddens' theoretical domain. It explored and set out functional requirements for evidence - signification. It sought literary warrants for archival tasks - legitimation. It reviewed the acceptability of the requirements for evidence within organisational cultures - domination. <P16> In Giddens' dimensional approach, the theoretical domain is re-defined to be about coding, organising our resources, and developing norms and standards. In this area the thinking has already begun to produce results, which leads this article in to a discussion of structural properties. <P17> Archivists deal with structural properties when, for example, they analyse the characteristics of recorded information such as the document, the record, the archive and the archives. The archives as a fortress is an observable structural property, as is the archives as a physical accumulation of records. Within Giddens' structuration theory, when archivists write about their favourite features, be they records or the archives as a place, they are discussing structural properties. <P18> Postcustodial practice in Australia is already beginning to put together a substantial array of structural properties. These developments are canvassed in the article by O'Shea and Roberts in the previous issue of Archives and Manuscripts. They include policies and strategies, standards, recordkeeping regimes, and what has come to be termed distributed custody. <P19> As [Terry] Eastwood comments in the same article, we do not have adequate electronic recordkeeping systems. Without them there can be no record in time-space to serve any form of accountability. <warrant> <P20> In the Pittsburgh project, for example, the transformation of recordkeeping processes is directed towards the creation and management of evidence, and possible elements of a valid rule-resource set have emerged. Elements can include the control of recordkeeping actions, accountability, the management of risk, the development of recordkeeping regimes, the establishment of recordkeeping requirements, and the specification of metadata. <P21> In a postcustodial approach it is the role of archival institutions to foster better recordkeeping practices within all the dimensions of recordkeeping. <warrant>
Conclusions
RQ "Best practice in the defence of the authoritative qualities of records can no longer be viewed as a linear chain, and the challenge is to establish new ways of legitimating responsibilities for records storage and custody which recognise the shifts which have occurred." ... "The recordkeeping profession should seek to establish itself as ground cover, working across terrains rather than existing tree-like in one spot. Beneath the ground cover there are shafts of specialisation running both laterally and vertically. Perhaps we can, as archivists, rediscover something that a sociologist like Giddens has never forgotten. Societies, including their composite parts, are the ultimate containers of recorded information. As a place in society, as Terry Cook argues, the archives is a multiple reality. We can set in train policies and strategies that can help generate multiplicity without losing respect for particular mine shafts. Archivists have an opportunity to pursue policies which encourage the responsible exercising of a custodial role throughout society, including the professions involved in current, regulatory and historical recordkeeping. If we take up that opportunity, our many goals can be better met and our concerns will be addressed more effectively."
SOW
DC "Frank Upward is a senior lecturer in the Department of Librarianship, Archives and Records at Monash University. He is an historian of the ideas contained in the Australian records continuum approach, and an ex- practitioner within that approach." ... "These two articles, and an earlier one on Ian Maclean and the origins of Australian continuum thinking, have not, so far, contained appropriate acknowledgements. David Bearman provided the necessary detonation of certain archival practices, and much more. Richard Brown and Terry Cook drew my attention to Anthony Giddens' work and their own work has helped shape my views. I have many colleagues at Monash who encourage my eccentricities. Sue McKemmish has helped shape my ideas and my final drafts and Barbara Reed has commented wisely on my outrageous earlier drafts. Livia Iacovino has made me stop and think more about the juridical tradition in recordkeeping. Chris Hurley produced many perspectives on the continuum during the 1996 seminars which have helped me see the model more fully. Don Schauder raised a number of key questions about Giddens as a theorist. Bruce Wearne of the Sociology Department at Monash helped me lift the clarity of my sociological explanations and made me realise how obsessed Giddens is with gerunds. The structural-functionalism of Luciana Duranti and Terry Eastwood provided me with a counterpoint to many of my arguments, but I also owe them debts for their respective explorations of recordkeeping processes and the intellectual milieu of archival ideas, and for their work on the administrative-juridical tradition of recordkeeping. Glenda Acland has provided perceptive comments on my articles - and supportive ones, for which I am most grateful given how different the articles are from conventional archival theorising. Australian Archives, and its many past and present staff members, has been important to me."
Type
Journal
Title
Structuring the Records Continuum Part One: Post-custodial principles and properties
The records continuum is becoming a much used term, but has seldom been defined in ways which show it is a time/space model not a life of the records model. Dictionary definitions of a continuum describe such features as its continuity, the indescernibility of its parts, and the way its elements pass into each other. Precise definitions, accordingly, have to discern the indiscernible, identify points that are not distinct, and do so in ways which accomodate the continuity of change. This article, and a second part to be published in the next volume, will explore the continuum in time/space terms supported by a theoretical mix of archival science, postmodernity and the 'structuration theory' of Anthony Giddens. In this part the main objectives are to give greater conceptual firmness to the continuum; to clear the way for broader considerations of the nature of the continuum by freeing archivists from the need to debate custody; to show how the structural principles for archival practice are capable of different expression without losing contact with something deeper that can outlive the manner of expression.
Critical Arguements
CA "This is the first instalment of a two part article exploring the records continuum. Together the articles will build into a theory about the constitution of the virtual archives. In this part I will examine what it can mean to be 'postcustodial', outline some possible structural principles for the virtual archives, and present a logical model for the records continuum." ... "In what follows in the remainder of this article (and all of the next) , I will explore the relevance of [Anthony] Giddens' theory to the structuring of the records continuum."
Phrases
<P1> If the archival profession is to avoid a fracture along the lines of paper and electronic media, it has to be able to develop ways of expressing its ideas in models of relevance to all ages of recordkeeping, but do so in ways which are contemporaneous with our own society. <warrant> <P2> We need more of the type of construct provided by the Pittsburgh Project's functional requirements for evidence which are 'high modern' but can apply to recordkeeping over time. <P3> What is essential is for electronic records to be identified, controlled and accessible for as long as they have value to Government and the Community. <warrant> <P4> We have to face up to the complexification of ownership, possession, guardianship and control within our legal system. Even possession can be broken down into into physical possession and constructed possession. We also have to face the potential within our technology for ownership, possession, custody or control to be exercised jointly by the archives, the organisation creating the records, and auditing agencies. The complexity requires a new look at our way of allocating authorities and responsibilities. <P5> In what has come to be known as the continuum approach Maclean argued that archivists should base their profession upon studies of the characteristics of recorded information, recordkeeping systems, and classification (the way the records were ordered within recordkeeping systems and the way these were ordered through time). <P6> A significant role for today's archival institution is to help to identify and establish functional requirements for recordkeeping that enable a more systematic approach to authentication than that provided by physical custody. <warrant> <P7> In an electronic work environment it means, in part, that the objectivity, understandability, availability, and usability of records need to be inherent in the way that the record is captured. In turn the documents need to be captured in the context of the actions of which they are part, and are recursively involved. <warrant> <P8>A dimensional analysis can be constructed from the model and explained in a number of ways including a recordkeeping system reading. When the co-ordinates of the continuum model are connected, the different dimensions of a recordkeeping system are revealed. The dimensions are not boundaries, the co-ordinates are not invariably present, and things may happen simultaneously across dimensions, but no matter how a recordkeeping system is set up it can be analysed in terms such as: first dimensional analysis: a pre- communication system for document creation within electronic systems [creating the trace]; second dimensional analysis: a post- communication system, for example traditional registry functionality which includes registration, the value adding of data for linking documents and disseminating them, and the maintenance of the record including disposition data [capturing trace as record]; third dimensional analysis: a system involving building, recalling and disseminating corporate memory [organising the record as memory]; fourth dimensional analysis: a system for building, recalling and disseminating collective memory (social, cultural or historical) including information of the type required for an archival information system [pluralizing the memory]. <P9> In the high modern recordkeeping environment of the 1990's a continuum has to take into account a different array of recordkeeping tools. These tools, plucking a few out at random but ordering the list dimensionally, include: document management software, Australian records system software, the intranet and the internet. <P10> In terms of a records continuum which supports an evidence based recordkeeping approach, the second dimension is crucial. This is where the document is disembedded from the immediate contexts of the first dimension. It is this disembedding process that gives the record its value as a 'symbolic token'. A document is embedded in an act, but the document as a record needs to be validatable using external reference points. These points include the operation of the recordkeeping system into which it was received, and information pertaining to the technical, social (including business) and communication processes of which the document was part.
Conclusions
RQ "Postcustodial approaches to archives and records cannot be understood if they are treated as a dualism. They are not the opposite of custody. They are a response to opportunities for asserting the role of an archives - and not just its authentication role - in many re-invigorating ways, a theme which I will explore further in the next edition of Archives and Manuscripts."
SOW
DC "Frank Upward is a senior lecturer in the Department of Librarianship, Archives and Records at Monash University. He is an historian of the ideas contained in the Australian records continuum approach, and an ex-practitioner within that approach."
Type
Journal
Title
Archives and the information superhighway: Current status and future challenges
CA One struggle facing us is to convince the rest of society that the ÔÇ£information superhighwayÔÇØ is very much about records, evidence and ÔÇ£recordnessÔÇØ.
Phrases
<P1> It has been argued that existing computer software applications harm recordkeeping because they are remiss in capturing the full breadth of contextual information required to document transactions and create records -- records which can serve as reliable evidence of the transactions which created them. In place of records, these systems are producing data which fails to relate the who, what, when, where, and why of human communications -- attributes which are required for record evidence. This argument has found both saliency and support in other work conducted by the Netherlands and the World Bank, which have both noted that existing software applications fail to provide for the capture of the required complement of descriptive attributes required for proper recordkeeping. These examples point to the vast opportunity presented to archivists to position themselves as substantive contributors to information infrastructure discussions. Archivists are capable of pointing out what will be necessary to create records in the electronic environment which, in the words of David Bearman, meet the requirements of ÔÇ£business acceptable commincation. (p.87) <warrant>
Conclusions
RQ Can archivists provide access to information in the unstable electronic records environment we find ourselves in today?
Type
Electronic Journal
Title
Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a Community Framework for Electronic Signatures
CA "[A] clear Community framework regarding the conditions applying to electronic signatures will strengthen confidence in, and general acceptance of, the new technologies; legislation in the Member States should not hinder the free movement of goods and services in the internal market. ... The interoperability of electronic-signature products should be promoted. ... Rapid technological development and the global character of the Internet necessitate an approach which is open to various technologies and services capable of authenticating data electronically. ... This Directive contributes to the use and legal recognition of electronic signatures within the Community; a regulatory framework is not needed for electronic signatures exclusively used within systems, which are based on voluntary agreements under private law between a specified number of participants; the freedom of parties to agree among themselves the terms and conditions under which they accept electronically signed data should be respected to the extent allowed by national law; the legal effectiveness of electronic signatures used in such systems and their admissibility as evidence in legal proceedings should be recognised. ... The storage and copying of signature-creation data could cause a threat to the legal validity of electronic signatures. ... Harmonised criteria relating to the legal effects of electronic signatures will preserve a coherent legal framework across the Community; national law lays down different requirements for the legal validity of hand-written signatures; whereas certificates can be used to confirm the identity of a person signing electronically; advanced electronic signatures based on qualified certificates aim at a higher level of security; advanced electronic signatures which are based on a qualified certificate and which are created by a secure-signature-creation device can be regarded as legally equivalent to hand-written signatures only if the requirements for hand-written signatures are fulfilled. ... In order to contribute to the general acceptance of electronic authentication methods it has to be ensured that electronic signatures can be used as evidence in legal proceedings in all Member States; the legal recognition of electronic signatures should be based upon objective criteria and not be linked to authorisation of the certification-service-provider involved; national law governs the legal spheres in which electronic documents and electronic signatures may be used; this Directive is without prejudice to the power of a national court to make a ruling regarding conformity with the requirements of this Directive and does not affect national rules regarding the unfettered judicial consideration of evidence. ... In order to increase user confidence in electronic communication and electronic commerce, certification-service-providers must observe data protection legislation and individual privacy. ... Provisions on the use of pseudonyms in certificates should not prevent Member States from requiring identification of persons pursuant to Community or national law."
Phrases
<P1> Legal effects of electronic signatures: (1) Member States shall ensure that advanced electronic signatures which are based on a qualified certificate and which are created by a secure-signature-creation device: (a) satisfy the legal requirements of a signature in relation to data in electronic form in the same manner as a handwritten signature satisfies those requirements in relation to paper-based data; and (b) are admissible as evidence in legal proceedings.(2) Member States shall ensure that an electronic signature is not denied legal effectiveness and admissibility as evidence in legal proceedings solely on the grounds that it is: in electronic form, or not based upon a qualified certificate, or not based upon a qualified certificate issued by an accredited certification-service-provider, or not created by a secure signature-creation device. (Art. 5) <P2> Member States shall ensure that a certification-service-provider which issues certificates to the public may collect personal data only directly from the data subject, or after the explicit consent of the data subject, and only insofar as it is necessary for the purposes of issuing and maintaining the certificate. The data may not be collected or processed for any other purposes without the explicit consent of the data subject. (Art. 8) <P3> Requirements for qualified certificates: Qualified certificates must contain:(a) an indication that the certificate is issued as a qualified certificate; (b) the identification of the certification-service-provider and the State in which it is established; (c) the name of the signatory or a pseudonym, which shall be identified as such; (d) provision for a specific attribute of the signatory to be included if relevant, depending on the purpose for which the certificate is intended; (e) signature-verification data which correspond to signature-creation data under the control of the signatory; (f) an indication of the beginning and end of the period of validity of the certificate; (g) the identity code of the certificate; (h) the advanced electronic signature of the certification-service-provider issuing it; (i) limitations on the scope of use of the certificate, if applicable; and (j) limits on the value of transactions for which the certificate can be used, if applicable. (Annex I) <P4> Requirements for certification-service-providers issuing qualified certificates: Certification-service-providers must: (a) demonstrate the reliability necessary for providing certification services; (b) ensure the operation of a prompt and secure directory and a secure and immediate revocation service; (c) ensure that the date and time when a certificate is issued or revoked can be determined precisely; (d) verify, by appropriate means in accordance with national law, the identity and, if applicable, any specific attributes of the person to which a qualified certificate is issued; (e) employ personnel who possess the expert knowledge, experience, and qualifications necessary for the services provided, in particular competence at managerial level, expertise in electronic signature technology and familiarity with proper security procedures; they must also apply administrative and management procedures which are adequate and correspond to recognised standards; (f) use trustworthy systems and products which are protected against modification and ensure the technical and cryptographic security of the process supported by them; (g) take measures against forgery of certificates, and, in cases where the certification-service-provider generates signature-creation data, guarantee confidentiality during the process of generating such data; (h) maintain sufficient financial resources to operate in conformity with the requirements laid down in the Directive, in particular to bear the risk of liability for damages, for example, by obtaining appropriate insurance; (i) record all relevant information concerning a qualified certificate for an appropriate period of time, in particular for the purpose of providing evidence of certification for the purposes of legal proceedings. Such recording may be done electronically; (j) not store or copy signature-creation data of the person to whom the certification-service-provider provided key management services; (k) before entering into a contractual relationship with a person seeking a certificate to support his electronic signature inform that person by a durable means of communication of the precise terms and conditions regarding the use of the certificate, including any limitations on its use, the existence of a voluntary accreditation scheme and procedures for complaints and dispute settlement. Such information, which may be transmitted electronically, must be in writing and in readily understandable language. Relevant parts of this information must also be made available on request to third-parties relying on the certificate; (l) use trustworthy systems to store certificates in a verifiable form so that: only authorised persons can make entries and changes, information can be checked for authenticity, certificates are publicly available for retrieval in only those cases for which the certificate-holder's consent has been obtained, and any technical changes compromising these security requirements are apparent to the operator. (Annex II) <P5> Requirements for secure signature-creation devices: 1. Secure signature-creation devices must, by appropriate technical and procedural means, ensure at the least that: (a) the signature-creation-data used for signature generation can practically occur only once, and that their secrecy is reasonably assured; (b) the signature-creation-data used for signature generation cannot, with reasonable assurance, be derived and the signature is protected against forgery using currently available technology; (c) the signature-creation-data used for signature generation can be reliably protected by the legitimate signatory against the use of others. (2) Secure signature-creation devices must not alter the data to be signed or prevent such data from being presented to the signatory prior to the signature process. (Annex III) <P6> Recommendations for secure signature verification: During the signature-verification process it should be ensured with reasonable certainty that: (a) the data used for verifying the signature correspond to the data displayed to the verifier; (b) the signature is reliably verified and the result of that verification is correctly displayed; (c) the verifier can, as necessary, reliably establish the contents of the signed data; (d) the authenticity and validity of the certificate required at the time of signature verification are reliably verified; (e) the result of verification and the signatory's identity are correctly displayed; (f) the use of a pseudonym is clearly indicated; and (g) any security-relevant changes can be detected. (Annex IV)
Type
Electronic Journal
Title
Computer Records and the Federal Rules of Evidence
See also U.S. Federal Rules of Evidence. Rule 803. Hearsay Exceptions; Availability of Declarant Immaterial.
Publisher
U.S. Department of Justice Executive Office for United States Attorneys
Critical Arguements
CA "This article explains some of the important issues that can arise when the government seeks the admission of computer records under the Federal Rules of Evidence. It is an excerpt of a larger DOJ manual entitled 'Searching and Seizing Computers and Obtaining Electronic Evidence in Criminal Investigations,' which is available on the internet at www.cybercrime.gov/searchmanual.htm." Cites cases dealing with Fed. R. Evid. 803(6).
Phrases
<P1>Most federal courts that have evaluated the admissibility of computer records have focused on computer records as potential hearsay. The courts generally have admitted computer records upon a showing that the records fall within the business records exception, Fed. R. Evid. 803(6). <P2> See, e.g., United States v. Cestnik, 36 F.3d 904, 909-10 (10th Cir. 1994); United States v. Moore, 923 F.2d 910, 914 (1st Cir. 1991); United States v. Briscoe, 896 F.2d 1476, 1494 (7th Cir. 1990); United States v. Catabran, 836 F.2d 453, 457 (9th Cir. 1988); Capital Marine Supply v. M/V Roland Thomas II, 719 F.2d 104, 106 (5th Cir. 1983). <P3> Applying this test, the courts have indicated that computer records generally can be admitted as business records if they were kept pursuant to a routine procedure for motives that tend to assure their accuracy. <warrant>
Conclusions
RQ "The federal courts are likely to move away from this 'one size fits all' approach as they become more comfortable and familiar with computer records. Like paper records, computer records are not monolithic: the evidentiary issues raised by their admission should depend on what kind of computer records a proponent seeks to have admitted. For example, computer records that contain text often can be divided into two categories: computer-generated records, and records that are merely computer-stored. See People v. Holowko, 486 N.E.2d 877, 878-79 (Ill. 1985). The difference hinges upon whether a person or a machine created the records' contents. ... As the federal courts develop a more nuanced appreciation of the distinctions to be made between different kinds of computer records, they are likely to see that the admission of computer records generally raises two distinct issues. First, the government must establish the authenticity of all computer records by providing 'evidence sufficient to support a finding that the matter in question is what its proponent claims.' Fed. R. Evid. 901(a). Second, if the computer records are computer-stored records that contain human statements, the government must show that those human statements are not inadmissible hearsay."
1. Also at http://www.access.gpo.gov/uscode/title28a/28a_8_6_.html2. As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 1991.
JISC/NPO studies on the preservation of electronic materials: A framework of data types and formats, and issues affecting the long term preservation of digital material
CA Proposes a framework for preserving digital objects and discusses steps in the preservation process. Addresses a series of four questions: Why preserve? How much? How? And Where? Proposes a "Preservation Complexity Scorecard" to help identify the complexity of preservation needs and the appropriate preservation approach for a given object. "Although a great deal has been discussed and written about digital material preservation, there would appear to be no overall structure which brings together the findings of the numerous contributors to the debate, and allows them to be compared. This Report attempts to provide such a structure, whereby it should be possible to identify the essential elements of the preservation debate and to determine objectively the criticality of the other unresolved issues. This Report attempts to identify the most critical issues and employ them in order to determine their affect [sic] on preservation practice." (p. 5)
Conclusions
RQ "The study concludes that the overall management task in long term preservation is to moderate the pressure to preserve (Step 1) with the constraints dictated by a cost-effective archive (Step 3). This continuing process of moderation is documented through the Scorecard." (p. 6) "The Study overall recommends that a work programme should be started to: (a) Establish a Scorecard approach (to measure preservation complexity), (b) Establish an inventory of archive items (with complexity ratings) and (c) Establish a Technology Watch (to monitor shifts in technology), in order to be able to manage technological change. And in support of this, (a) establish a programme of work to explore the interaction of stakeholders and a four level contextual mode in the preservation process." (p. 6) A four level contextual approach, with data dictionary entry definitions, should be built in order to provide an information structure that will permit the successful retrieval and interpretation of an object in 50 years time. A study should be established to explore the principle of encapsulating documentsusing the four levels of context, stored in a format, possibly encrypted, that can be transferred across technologies and over time. <warrant> (p. 31) A more detailed study should be made of the inter-relationships of the ten stakeholders, and how they can be made to support the long term preservation of digital material. This will be linked to the economics of archive management (the cost model), changes in legislation (Legal Deposit, etc.), the risks of relying on links between National Libraries to maintain collections (threats of wholesale destruction of collections), and loss through viruses (technological turbulence). (p. 36) A technology management trail (within the Scorecard -- see Step 2 of the Framework) should be established before the more complex digital material is stored. This is to ensure that, for an item of digital material, the full extent of the internal interrelationships are understood, and the implications for long term preservation in a variety of successive environments are documented. (p. 37)
SOW
DC "The study is part of a wider programme of studies, funded by the Joint Information Systems Committee ("JISC"). The programme was initiated as a consequence of a two day workshop at Warwick University, in late November 1995. The workshop addressed the Long Term Preservation of Electronic Materials. The attendees represented an important cross-section of academic, librarian, curatorial, managerial and technological interests. 18 potential action points emerged, and these were seen as a basis for initiating further activity. After consultation, JISC agreed to fund a programme of studies." (p. 7) "The programme of studies is guided by the Digital Archive Working Group, which reports to the Management Committee of the National Preservation Office. The programme is administered by the British Library Research and Innovation Centre." (p. 2)
Type
Web Page
Title
Schema Registry: activityreports: Recordkeeping Metadata Standard for Commonwealth Agencies
CA "The Australian SPIRT Recordkeeping Metadata Project was initially a project funded under a programme known as the Strategic Partnership with Industry -- Research and Training (SPIRT) Support Grant -- partly funded by the Australian Research Council. The project was concerned with developing a framework for standardising and defining recordkeeping metadata and produced a metadata element set eventually known as the Australian Recordkeeping Metadata Schema (RKMS). The conceptual frame of reference in the project was based in Australian archival practice, including the Records Continuum Model and the Australian Series System. The RKMS also inherits part of the Australian Government Locator Service (AGLS) metadata set."
Type
Web Page
Title
Metadata for preservation : CEDARS project document AIW01
This report is a review of metadata formats and initiatives in the specific area of digital preservation. It supplements the DESIRE Review of metadata (Dempsey et al. 1997). It is based on a literature review and information picked-up at a number of workshops and meetings and is an attempt to briefly describe the state of the art in the area of metadata for digital preservation.
Critical Arguements
CA "The projects, initiatives and formats reviewed in this report show that much work remains to be done. . . . The adoption of persistent and unique identifiers is vital, both in the CEDARS project and outside. Many of these initiatives mention "wrappers", "containers" and "frameworks". Some thought should be given to how metadata should be integrated with data content in CEDARS. Authenticity (or intellectual preservation) is going to be important. It will be interesting to investigate whether some archivists' concerns with custody or "distributed custody" will have relevance to CEDARS."
Conclusions
RQ Which standards and initiatives described in this document have proved viable preservation metadata models?
SOW
DC OAIS emerged out of an initiative spearheaded by NASA's Consultative Committee for Space Data Systems. It has been shaped and promoted by the RLG and OCLC. Several international projects have played key roles in shaping the OAIS model and adapting it for use in libraries, archives and research repositories. OAIS-modeled repositories include the CEDARS Project, Harvard's Digital Repository, Koninklijke Bibliotheek (KB), the Library of Congress' Archival Information Package for audiovisual materials, MIT's D-Space, OCLC's Digital Archive and TERM: the Texas Email Repository Model.
Type
Web Page
Title
Appendix N to Proceedings of The Uniform Law Conference of Canada, Proposals for a Uniform Electronic Evidence Act
CA "First, there is a great deal of uncertainty about how the [Canada Evidence Act], particularly s. 30(6), will be applied, and this makes it difficult for the parties to prepare for litigation and for businesses to know how they should keep their records. Second, there are risks to the integrity of records kept on a computer that do not exist with respect to other forms of information processing and storage, and if alterations are made, either negligently or deliberately, they can be extremely difficult to detect. Third, s. 30(1) provides little assurance that the record produced to the court is the same as the one that was originally made in the usual and ordinary course of business, for while self-interest may be an adequate guarantee that most businesses will maintain accurate and truthful records, it is not true for many others. The second and third problems combined place the party opposing the introduction of computer-produced business records in a difficult situation."
SOW
DC The Uniform Law Conference of Canada undertook to adopt uniform legislation to ensure that computer records could be used appropriately in court.
"The ERMS Metadata Standard forms Part 2 of the National Archives' 'Requirements for Electronic Records Management Systems' (commonly known as the '2002 Requirements'). It is specified in a technology independent manner, and is aligned with the e-Government Metadata Standard (e-GMS) version 2, April 2003. A version of e-GMS v2 including XML examples was published in the autumn of 2003. This Guide should be read in conjunction with the ERMS Metadata Standard. Readers may find the GovTalk Schema Guidelines (available via http://www.govtalk.gov.uk ) helpful regarding design rules used in building the schemas."
Conclusions
RQ Electronically enabled processes need to generate appropriate records, according to established records management principles. These records need to reach the ERMS that captures them with enough information to enable the ERMS to classify them appropriately, allocate an appropriate retention policy, etc.
SOW
DC This document is a draft.
Type
Web Page
Title
Use of Encoded Archival Description (EAD) for Manuscript Collection Finding Aids
Presented in 1999 to the Library's Collection Development & Management Committee, this report outlines support for implementing EAD in delivery of finding aids for library collections over the Web. It describes the limitations of HTML, provides an introduction to SGML, XML, and EAD, outlines the advantages of conversion from HTML to EAD, the conversion process, the proposed outcome, and sources for further information.
Publisher
National Library of Australia
Critical Arguements
CA As use of the World Wide Web has increased, so has the need of users to be able to discover web-based information resources easily and efficiently, and to be able to repeat that discovery in a consistent manner. Using SGML to mark up web-based documents facilitates such resource discovery.
Conclusions
RQ To what extent have the mainstream web browser companies fulfilled their committment to support native viewing of SGML/XML documents?
Type
Web Page
Title
President of the Republic's Decree No. 137/2003 of 7 April 2003: "Regulation on Coordination Provisions in Matter of Electronic Signatures"
translated from Italian by Fiorella Foscarini of InterPARES
Conclusions
RQ The differentiation between internal and incoming/outgoing records, which is related to the complexities and costs of such a certification system, may impact the long-term preservation of heavy-signed and light-signed records and poses questions about different records' legal values and organizations' accountability. The paragraph about cut-back refers to the destruction of documents, not records. It is, however, significantly ambiguous.
SOW
DC Modifies the President of the Republic's Decree No. 445/2000 of 28 December 2000.
Type
Web Page
Title
Legislative Decree No. 10 of 23 January 2002: "Acknowledgement of the Directive No. 1999/93/CE on a Community Framework for Electronic Signatures"
translated from Italian by Fiorella Foscarini of InterPARES
Critical Arguements
CA Italian implementation of E.U. Directive No. 1999/93/CE on a Community Framework for Electronic Signatures. Article 6 (which replaces Article 10 of DPR 445/2000) defines the form and effectiveness of electronic records.
Type
Web Page
Title
President of the Republic's Decree No. 445/2000 of 8 December 2000: "Testo unico delle disposizioni legislative e regolamentari in materia di documentazione amministrativa"
