An ongoing multiple volume set with updated index.
Publisher
West Group
Publication Location
St. Paul, MN
Critical Arguements
CA "Contains over 400 separate titles on a broad range of legal topics which, taken together, systematically describe the entire field of American legal doctrine. Documents available for each topic may include a summary, topic contents, each (TRUNCATED)
Type
Book Whole
Title
Words and Phrases: All Judicial Constructions and Definitions of Words and Phrases
by the States and Federal Courts
There are a large number of metadata standards and initiatives that have relevance to digital preservation, e.g. those designed to support the work of national and research libraries, archives and digitization initiatives. This paper introduces some of these, noting that the developers of some have acknowledged the importance of maintaining or re-using existing metadata. It is argued here that the implementation of metadata registries as part of a digital preservation system may assist repositories in enabling the management and re-use of this metadata and may also help interoperability, namely the exchange of metadata and information packages between repositories.
Publisher
2003 Dublin Core Conference: Supporting Communities of Discourse and Practice-Metadata Research & Applications
Publication Location
Seatle, WA
Critical Arguements
CA "This paper will introduce a range of preservation metadata initiatives including the influential Open Archival Information System (OAIS) reference model and a number of other initiatives originating from national and research libraries, digitization projects and the archives community. It will then comment on the need for interoperability between these specifications and propose that the implementation of metadata registries as part of a digital preservation system may help repositories manage diverse metadata and facilitate the exchange of metadata or information packages between repositories."
Conclusions
RQ "The plethora of metadata standards and formats that have been developed to support the management and preservation of digital objects leaves us with several questions about interoperability. For example, will repositories be able to cope with the wide range of standards and formats that exist? Will they be able to transfer metadata or information packages containing metadata to other repositories? Will they be able to make use of the 'recombinant potential' of existing metadata?" ... "A great deal of work needs to be done before this registry-based approach can be proved to be useful. While it would undoubtedly be useful to have registries of the main metadata standards developed to support preservation, it is less clear how mapping-based conversions between them would work in practice. Metadata specifications are based on a range of different models and conversions often lead to data loss. Also, much more consideration needs to be given to the practical issues of implementation." 
SOW
DC Michael Day is a research officer at UKOLN, which is based at the University of Bath. He belongs to UKOLN's research and development team, and works primarily on projects concerning metadata, interoperability and digital preservation. 
Type
Conference Proceedings
Title
Place, Interface and Cyberspace: Archives at the Edge, Proceedings of the 1998 Conference of the Australian Society of Archivists
CA Online, humans act both as universal everymen and as community members with their own cultural assumptions. When people transact business online, the legal and social relationships engendered place on each participant "a range of rights and responsibilities that underpin the regulation of the net as a community." (p.104) So while the interrelations may seem more complex in cyberspace, in the end establishing the relationships between key parties is still crucial to ascertaining their legal obligations, whether they are online or offline. (p.120)
Conclusions
RQ In order to ensure that evidential requirements are extended to net transactions, we must address the following questions: Are we revisiting the problems of electronic information systems without recordkeeping functionality in the cyberspace environment? Can intranet systems linked to the Net retrieve transactions with all their context intact?
Type
Conference Proceedings
Title
Practical experiences of the Digital Preservation Testbed
CA "The Digital Preservation Testbed is researching three different approaches to long-term digital preservation: migration, emulation and XML. Not only will the effectiveness of each approach be evaluated, but also their limits, costs and application potential. Experiments are taking place on text documents, spreadsheets, emails and databases of different size, complexity and nature."
Conclusions
RQ "New experiments expected in 2002 are the migration of spreadsheets, conversion of spreadsheets and databases into XML and a proof of concept with the UVC for text documents and spreadsheets. ... Eventually at the end of 2003 the Testbed project will provide: advice on how to deal with current digital records; recommendations for an appropriate preservation strategy or a combination ofstrategies; functional requirements for a preservation function; cost models of the various preservation strategies; a decision model for preservation strategy; recommendations concerning guidelines and regulations."
SOW
DC "The Digital Preservation Testbed is part of the non-profit organisation ICTU. ICTU isthe Dutch organisation for ICT and government. ICTU's goal is to contribute to the structural development of e-government. This will result in improving the work processes of government organisations, their service to the community and interaction with the citizens. ... In case of the Digital Preservation Testbed the principals are the Ministry of the Interior, Jan Lintsen and the Dutch National Archives, Maarten van Boven. Together with Public Key Infrastructure, Digital Longevity is the fundament of the ELO-house."
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)
This study focuses upon access to authentic electronic records that are no longer required in day-to-day operations and that have been set aside in a recordkeeping system or storage repository for future reference. One school of thought, generally associated with computer information technology specialists, holds that long-term access to electronic records is primarily a technological issue with little attention devoted to authenticity. Another school of thought, associated generally with librarians, archivists, and records managers, contends that long-term access to electronic records is as much an intellectual issue as it is a technological issue. This latter position is clearly evident in several recent research projects and studies about electronic records whose findings illuminate the discussion of long-term access to electronic records. Therefore, a review of eight research projects highlighting findings relevant for long-term access to electronic records begins this chapter. This review is followed by a discussion, from the perspective of archival science, of nine questions that a long-term access strategy must take into account. The nine issues are: What is a document?; What is a record?; What are authentic electronic records?; What does "archiving" mean?; What is an authentic reformatted electronic record?; What is a copy of an authentic electronic record?; What is an authentic converted electronic record?; What is involved in the migration of authentic electronic records?; What is technology obsolescence?
Book Title
Authentic Electronic Records: Strategies for Long-Term Access
Publisher
Cohasset Associates, Inc.
Publication Location
Chicago
ISBN
0970064004
Critical Arguements
CA "Building upon the key concepts and concerns articulated by the studies described above, this report attempts to move the discussion of long-term access to electronic records towarad more clearly identified, generally applicable and redily im(TRUNCATED)
Conclusions
RQ
SOW
DC This book chapter was written by Charles M. Dollar for Cohasset Associates, Inc. Mr. Dollar has "twenty-five years of experience in working with electronic records as a manager at the National Archives and Records Administration, as an archival educator at the University of British Columbia, and a consultant to governments and businesses in North America, Asia, Europe, and the Middle East." Cohasset Associates Inc. is "one of the nation's foremost consulting firms specializing in document-based information management."
CA A major future challenge for recordkeeping professionals is to maximize knowledge via the deft use of metadata as a management tool.
Phrases
<P1> Recordkeeping in the 21st century will have to confront the fact that the very definition of what constitutes a record is dynamically changing. (p.6) <P2> With the advent of the Internet and the streaming of information from the unchartered, open environment which the Internet represents, it appears that public institutions will act to consider and incorporate as part of their best practices the use of new technologies, such as digital signatures and public key encryption, to ensure that authentic and trustworthy information is captured as part of their dealings with the public at large." (p.5)
Conclusions
RQ How will we deal with the records of the future -- electronic documents with a variety of embedded, interactive attachments?
CA Digital information is at great risk of becoming inaccesible due to media obsolescence and deterioration. Aside from proper care of media, effective digital preservation requires records management teams that maintain metadata and schedule media migration.
Phrases
<P1> If you design the system and data standards while thinking of mutiple generations, you're in better shape. (p.25) <P2> We won't really know how long today's storage media will reliably hold data until we let it age a decade or two. And we won't see whether data is corrupted or missing until we try to read it. (p.25)
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
Six degrees of separation: Australian metadata initiatives and their relationships with international standards
CA The record used to be annotated by hand, but with the advent of electronic business the record has now become unreliable and increasingly vulnerable to loss or corruption. Metadata is part of a recordkeeping regime instituted by the NAA to address this problem.
Phrases
<P1> Electronic metadata makes the digital world go round. The digital world also works better when there are standards. Standards encourage best practice. They help the end user by encouraging the adoption of common platforms and interfaces in different systems environments. (p. 275) <P2> In relation to Web-based publishing and online service delivery, the Strategy, which has Cabinet-level endorsement, requires all government agencies to comply with metadata and recordkeeping standards issued by the NAA. (p.276) <warrant>
Conclusions
RQ How do you effectively work with software vendors and government in order to encourage metadata schema adoption and use?
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
Journal
Title
Defintions of electronic records: The European method
CA The consistent use of well-defined, agreed-upon terminology is a powerful tool for archivists. The point of view of diplomatics may be useful.
Phrases
<P1> It is very difficult for a European archivist or records manager to understand why it is necessary to use new terms to express old things. Literary warrant is one of these terms. If literary warrant simply means "best practice and professional culture" in recordkeeping, we only need to know what creators did for centuries and still do today (and probably will do also do in the future) in this area. (p. 220) <P2> Personally I am absolutely sure that without an effort at clarifying definitions in the recordkeeping environment, there is no way to obtain significant results in the field of electronic records. As the first, theoretical step, clarifying definitions will verify principles, from the juridical and technological point of view, which will be the basis of systems and particular applications. (p.220)
SOW
RQ What is the intrinsic nature of a record? How does the international community understand the concept of archival bond? Do they see it as something positive or a hindrance?
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?
Type
Journal
Title
Building record-keeping systems: Archivists are not alone on the wild frontier
CA The digital environment offers archivists a host of new tools that can be adapted and used for recordkeeping. However, archivists must choose their tools judisciously while considering the long-term implications of their use as well as research and development. Ultimately, they must pick tools and strategies that dovetail with their institutions' specific needs while working to produce reliable and authentic records.
Phrases
<P1> Evidence from this review of emerging methods for secure and authentic electronic communications shows that the division of responsibility, accountability, and jurisdiction over recordkeeping is becoming more complex than a clear line between the records creator and the records preserver. (p.66) <P2> Storage of records in encrypted form is another area of concern because encryption adds additional levels of systems dependency on access to keys, proprietary encryption algorithims, hardware, and software. (p.62) <P3> It is important for archivists and records managers to understand parallel developments, because some new strategies and methods may support recordkeeping, while others may impede the achievement of archival objectives. (p.45) <P4> The concept of warrant and subsequent research on it by Wendy Duff is a significant contribution, because it situates the mandates for creating and maintaining records in a legal, administrative, and professional context, and it presents a methodology for locating, compiling, and presenting the rules governing proper and adequate documentation in modern organizations. (p. 48)
Conclusions
RQ Are electronic recordkeeping systems truly inherently inferior to paper-based systems in their capacity to maintain authentic records over time? How tightly can recordkeeping be integrated into normal business processes, and where does one draw the line between how a business does its work and how it does its recordkeeping?
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
Accessing essential evidence on the web: Towards an Australian recordkeeping metadata standard
CA Standardized recordkeeping metadata allows for access to essential evidence of business activities and promotes reliability and authenticity. The Australian records and metadata community have been working hard to define standards and identify requirements as well as support interoperability.
Phrases
<P1> But records, as accountability traces and evidence of business activity, have additional metadata requirements. Authoritative, well-structured metadata which specifies their content, structure, context, and essential management needs must be embedded in, wrapped around and otherwise persistently linked to them from the moment they are created if they are to continue to function as evidence. (p.2) <P2> People do business in social and organizational contexts that are governed by external mandates (e.g. social mores, laws) and internal mandates (e.g. policies, business rules). Mandates establish who is responsible for what, and govern social and organizational activity, including the creation of full and accurate records. <warrant> (p.3)
Type
Journal
Title
Describing Records in Context in the Continuum: The Australian Recordkeeping Metadata Schema
CA RKMS is based on traditional recordkeeping thinking. However, it also looks to the future by viewing records as active agents of change, as intelligent information objects, which are supported by the metadata that RKMS' framework provides. Through RKMS, the dynamic world of business can be linked to the more passive world of cyberspace resource management.
Phrases
<P1> As long as records remain in the local domains in which they are created, a lot of broader contextual metadata is "in the air," carried in the minds of the corporate users of the records. When records move beyond the boundaries of the local domain in which they are created or, as is increasingly the case in networked environments, they are created in the first place in a global rather than a local domain, then this kind of metadata needs to be made explicit -- that is, captured and persistently linked to the record. This is essential so that users in the broader domain can uniquely identify, retrieve and understand the meanings of records. (p.7) <P2> The broader social context of the project is the need for individuals, society, government, and commerce to continually access the information they need to conduct their business, protect their rights and entitlements, and securely trace the trail of responsibility and action in distributed enterprises. ... Maintaining reliable, authentic and useable evidence of transactions through time and space has significant business, social, and cultural implications, as records provide essential evidence for purposes of governance, accountability, memory and identity. (p.6)
Conclusions
RQ There is a need to develop typologies of recordkeeping relationships such as agent to record and better ways to express them through metadata.
CA Information and communications technology (ICTs) can positively or negatively affect the availability of records for accountability. ICTs challenges basic organizational values in records management, such as finding a balance between central control and autonomy. A well-designed electronic records management plan needs to take into account the various values of an organization's "accountability situation."
Phrases
<P1> A systematic records management policy is required to ensure that the appropriate records will be available for accountability processes. This involves developing and maintaining policies, procedures, and methodologies, appointing experts, and creating and managing specialized departments." (p .260) The fact that many records are not converted and are handled exclusively in an electronic form may have an important impact on the content and quality of records kept for purposes of accountability." (p. 260)
Conclusions
RQ We must look at the tools of information and communications technology closely. Often researchers assume that tools only need to be shaped or adapted in a certain way in order to address a variety of problems in electronic records management, while ignoring the fact that the shaping of a tool is in itself highly controversial.
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)
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
Electronic Journal
Title
Electronic Records Research: Working Meeting May 28-30, 1997
CA Archivists are specifically concerned with records that are not easy to document -- records that are full of secret, proprietary or sensitive information, not to mention hardware and software dependencies. This front end of recordmaking and keeping must be addressed as we define what electronic records are and are not, and how we are to deal with them.
Phrases
<P1> Driven by pragmatism, the University of Pittsburgh team looked for "warrant" in the sources considered authoritative by the practicioners of ancillary professions on whom archivists rely -- lawyers, auditors, IT personnel , etc. (p.3) <P2> If the record creating event and the requirements of 'recordness' are both known, focus shifts to capturing the metadata and binding it to the record contents. (p.7) <P3> A strong business case is still needed to justify the role of archivists in the creation of electronic record management systems. (p.10)
Conclusions
RQ Warrant needs to be looked at in different countries. Does the same core definition of what constitutes a record cut across state borders? What role do specific user needs play in complying to regulation and risk management?
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)
The Semantic Web activity is a W3C project whose goal is to enable a 'cooperative' Web where machines and humans can exchange electronic content that has clear-cut, unambiguous meaning. This vision is based on the automated sharing of metadata terms across Web applications. The declaration of schemas in metadata registries advance this vision by providing a common approach for the discovery, understanding, and exchange of semantics. However, many of the issues regarding registries are not clear, and ideas vary regarding their scope and purpose. Additionally, registry issues are often difficult to describe and comprehend without a working example.
ISBN
1082-9873
Critical Arguements
CA "This article will explore the role of metadata registries and will describe three prototypes, written by the Dublin Core Metadata Initiative. The article will outline how the prototypes are being used to demonstrate and evaluate application scope, functional requirements, and technology solutions for metadata registries."
Phrases
<P1> Establishing a common approach for the exchange and re-use of data across the Web would be a major step towards achieving the vision of the Semantic Web. <warrant> <P2> The Semantic Web Activity statement articulates this vision as: 'having data on the Web defined and linked in a way that it can be used for more effective discovery, automation, integration, and reuse across various applications. The Web can reach its full potential if it becomes a place where data can be shared and processed by automated tools as well as by people.' <P3> In parallel with the growth of content on the Web, there have been increases in the amount and variety of metadata to manipulate this content. An inordinate amount of standards-making activity focuses on metadata schemas (also referred to as vocabularies or data element sets), and yet significant differences in schemas remain. <P4> Different domains typically require differentiation in the complexity and semantics of the schemas they use. Indeed, individual implementations often specify local usage, thereby introducing local terms to metadata schemas specified by standards-making bodies. Such differentiation undermines interoperability between systems. <P5> This situation highlights a growing need for access by users to in-depth information about metadata schemas and particular extensions or variations to schemas. Currently, these 'users' are human  people requesting information. <warrant> <P6> It would be helpful to make available easy access to schemas already in use to provide both humans and software with comprehensive, accurate and authoritative information. <warrant> <P7> The W3C Resource Description Framework (RDF) has provided the basis for a common approach to declaring schemas in use. At present the RDF Schema (RDFS) specification offers the basis for a simple declaration of schema. <P8> Even as it stands, an increasing number of initiatives are using RDFS to 'publish' their schemas. <P9> Registries provide 'added value' to users by indexing schemas relevant to a particular 'domain' or 'community of use' and by simplifying the navigation of terms by enabling multiple schemas to be accessed from one view. <warrant> <P10> Additionally, the establishment of registries to index terms actively being used in local implementations facilitates the metadata standards activity by providing implementation experience transferable to the standards-making process. <warrant> <P11> The overriding goal has been the development of a generic registry tool useful for registry applications in general, not just useful for the DCMI. <P12> The formulation of a 'definitive' set of RDF schemas within the DCMI that can serve as the recommended, comprehensive and accurate expression of the DCMI vocabulary has hindered the development of the DCMI registry. To some extent, this has been due to the changing nature of the RDF Schema specification and its W3C candidate recommendation status. However, it should be recognized that the lack of consensus within the DCMI community regarding the RDF schemas has proven to be equally as impeding. <P13> The automated sharing of metadata across applications is an important part of realizing the goal of the Semantic Web. Users and applications need practical solutions for discovering and sharing semantics. Schema registries provide a viable means of achieving this. <warrant>
Conclusions
RQ "Many of the issues regarding metadata registries are unclear and ideas regarding their scope and purpose vary. Additionally, registry issues are often difficult to describe and comprehend without a working example. The DCMI makes use of rapid prototyping to help solve these problems. Prototyping is a process of quickly developing sample applications that can then be used to demonstrate and evaluate functionality and technology."
SOW
DC "New impetus for the development of registries has come with the development activities surrounding creation of the Semantic Web. The motivation for establishing registries arises from domain and standardization communities, and from the knowledge management community." ... "The original charter for the DCMI Registry Working Group was to establish a metadata registry to support the activity of the DCMI. The aim was to enable the registration, discovery, and navigation of semantics defined by the DCMI, in order to provide an authoritative source of information regarding the DCMI vocabulary. Emphasis was placed on promoting the use of the Dublin Core and supporting the management of change and evolution of the DCMI vocabulary." ... "Discussions within the DCMI Registry Working Group (held primarily on the group's mailing list) have produced draft documents regarding application scope and functionality. These discussions and draft documents have been the basis for the development of registry prototypes and continue to play a central role in the iterative process of prototyping and feedback." ... The overall goal of the DCMI Registry Working Group (WG) is to provide a focus for continued development of the DCMI Metadata Registry. The WG will provide a forum for discussing registry-related activities and facilitating cooperation with the ISO 11179 community, the Semantic Web, and other related initiatives on issues of common interest and relevance.
Type
Electronic Journal
Title
Review: Some Comments on Preservation Metadata and the OAIS Model
CA Criticizes some of the limitations of OAIS and makes suggestions for improvements and clarifications. Also suggests that OAIS may be too library-centric, to the determinent of archival and especially recordkeeping needs. "In this article I have tried to articulate some of the main requirements for the records and archival community in preserving (archival) records. Based on this, the conclusion has to be that some adaptations to the [OAIS] model and metadata set would be necessary to meet these requirements. This concerns requirements such as the concept of authenticity of records, information on the business context of records and on relationships between records ('documentary context')."(p. 20)
Phrases
<P1> It requires records managers and archivists (and perhaps other information professionals) to be aware of these differences [in terminology] and to make a translation of such terms to their own domain. (p. 15) <P2> When applying the metadata model for a wider audience, more awareness of the issue of terminology is required, for instance by including clear definitions of key terms. (p. 15) <P3> The extent to which the management of objects can be influenced differs with respect to the type of objects. In the case of (government) records, legislation governs their creation and management, whereas, in the case of publications, the influence will be mostly based on agreements between producers, publishers and preservers. (p. 16) <P4> [A]lthough the suggestion may sometimes be otherwise, preservation metadata do not only apply to what is under the custody of a cultural or other preserving institution, but should be applied to the whole lifecycle of digital objects. ... Preservation can be viewed as part of maintenance. <warrant> (p. 16) <P5> [B]y taking library community needs as leading (albeit implicitly), the approach is already restricting the types of digital objects. Managing different types of 'digital objects', e.g. publications and records, may require not entirely similar sets of metadata. (p. 16) <P6> Another issue is that of the requirements governing the preservation processes. ... There needs to be insight and, as a consequence, also metadata about the preservation strategies, policies and methods, together with the context in which the preservation takes place. <warrant> (p. 16) <P7> [W]hat do we want to preserve? Is it the intellectual content with the functionality it has to have in order to make sense and achieve its purpose, or is it the digital components that are necessary to reproduce it or both? (p. 16-17) <P8> My view is that 'digital objects' should be seen as objects having both conceptual and technical aspects that are closely interrelated. As a consequence of the explanation given above, a digital object may consist of more than one 'digital component'. The definition given in the OAIS model is therefore insufficient. (p. 17) <P9> [W]e have no fewer than five metadata elements that could contain information on what should be rendered and presented on the screen. How all these elements relate to each other, if at all, is unclear. (p. 17) <P10> What we want to achieve ... is that in the future we will still be able to see, read and understand the documents or other information entities that were once produced for a certain purpose and in a certain context. In trying to achieve this, we of course need to preserve these digital components, but, as information technology will evolve, these components have to be migrated or in some cases emulated to be usable on future hard- and software platforms. (p. 17) <P11> I would like to suggest including an element that reflects the original technical environment. (p. 18) <P12> Records, according to the recently published ISO records management standard 15489, are 'information created, received and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business'. ... The main requirements for records to serve as evidence or authoritative information sources are ... authenticity and integrity, and knowledge about the business context and about the interrelationship between records (e.g. in a case file). <warrant> (p. 18) <P13> It would have been helpful if there had been more acknowledgement of the issue of authenticity and the requirements for it, and if the Working Group had provided some background information about its view and considerations on this aspect and to what extent it is included or not. (p. 19) <P14> In order to be able to preserve (archival) records it will ... be necessary to extend the information model with another class of information that refers to business context. Such a subset could provide a structure for describing what in archival terminology is called information about 'provenance' (with a different meaning from that in OAIS). (p. 19) <P15> In order to accommodate the identified complexity it is necessary to distinguish at least between the following categories of relationships: relationships between intellectual objects ... in the archival context this is referred to as 'documentary context'; relationships between the (structural) components of one intellectual object ... ; [and] relationships between digital components. (p. 19-20) <P16> [T]he issue of appraisal and disposition of records has to be included. In this context the recently published records management standard (ISO 15489) may serve as a useful framework. It would make the OAIS model even more widely applicable. (p. 20)
Conclusions
RQ "There are some issues ... which need further attention. They concern on the one hand the scope and underlying concepts of the OAIS model and the resulting metadata set as presented, and on the other hand the application of the model and metadata set in a records and archival environment. ... [T]he distinction between physical and conceptual or intellectual aspects of a digital object should be made more explicit and will probably have an impact on the model and metadata set also. More attention also needs to be given to the relationship between the (preservation) processes and the metadata. ... In assessing the needs of the records and archival community, the ISO records management standard 15489 may serve as a very useful framework. Such an exercise would also include a test for applicability of the model and metadata set for record-creating organisations and, as such, broaden the view of the OAIS model." (p. 20)
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
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."
Type
Electronic Journal
Title
The Dublin Core Metadata Inititiative: Mission, Current Activities, and Future Directions
Metadata is a keystone component for a broad spectrum of applications that are emerging on the Web to help stitch together content and services and make them more visible to users. The Dublin Core Metadata Initiative (DCMI) has led the development of structured metadata to support resource discovery. This international community has, over a period of 6 years and 8 workshops, brought forth: A core standard that enhances cross-disciplinary discovery and has been translated into 25 languages to date; A conceptual framework that supports the modular development of auxiliary metadata components; An open consensus building process that has brought to fruition Australian, European and North American standards with promise as a global standard for resource discovery; An open community of hundreds of practitioners and theorists who have found a common ground of principles, procedures, core semantics, and a framework to support interoperable metadata.
Type
Report
Title
Advice: Introduction to the Victorian Electronic Records Strategy (VERS) PROS 99/007 (Version 2)
This document is an introduction to the PROV Standard Management of Electronic Records (PROS 99/007), also known as the VERS Standard. This document provides background information on the goals and the VERS approach to preservation. Nothing in this document imposes any requirements on agencies.
Critical Arguements
CA The Victorian Elextronic Records Strategy (VERS) addresses the cost-effective, long-term preservation of electronic records. The structure and requirements of VERS are formally specified in the STandard for the Management of Electronic Records (PROS 99/007) and its five technical specifications. This Advice provides background to the Standard. It covers: the history of the VERS project; the preservation theory behind VERS; how the five specifications support the preservation theory; a brief introduction to the VERS Encapsulated Object (VEO). In this document we distinguish between the record and the content of the record. The content is the actuial information contained in the record; for example, the report or the image. The record as a whole contains the record content and metadata that contains information about the record, including its context, description, history, and integrity cvontrol. 
Conclusions
<RQ>
SOW
<DC>Public Record Office Victoria is the archives of the State Government of Victoria. They hold records from the beginnings of the colonial administration of Victoria in the mid-1830s to today and are responsible for ensuring the accountability of the Victoria State Government. 
Type
Report
Title
Management of Electronic Records PROS 99/007 (Version 2)
This document is the Victorian Electronic Records Strategy (VERS) Standard (PROS 99/007). This document is the standard itself and is primarly concerned with conformance. The technical requirements of the Standard are contained in five Specifications.
Accessed Date
August 24, 2005
Critical Arguements
CA VERS has two major goals: the preservation of electronic records and enabling efficient management in doing so. Version 2 has an improved structure, additional metadata elements, requirements for preservation and compliance requirements for agencies. "Export" compliance allows agencies to maintain their records within their own recordkeeping systems and add a module so they can generate the VERS format for export, especially for long term preservation. "Native" complicance is when records are converted to long term preservation format upon registration which is seen as the ideal approach. ... "The Victorian Electronic Records Strategy (VERS) is designed to assist agencies in managing their electronic records. The strategy focuses on the data or information contained in electronic records, rather than the systems that are used to produce them."
SOW
<DC> "VERS was developed with the assistance of CSIRO, Ernst & Young, the Department of Infrastructure, and records managers across government. The recommendations included in the VERS Final Report1 issued in March 1999 provide a framework for the management of electronic records." ... "Public Records Office Victoria is the Archives of the State of Victoria. They hold the records from the beginnings of the colonial administration of Victoria in the mid-1830s to today.
Type
Report
Title
RLG Best Practice Guidelines for Encoded Archival Description
These award-winning guidelines, released in August 2002, were developed by the RLG EAD Advisory Group to provide practical, community-wide advice for encoding finding aids. They are designed to: facilitate interoperability of resource discovery by imposing a basic degree of uniformity on the creation of valid EAD-encoded documents; encourage the inclusion of particular elements, and; develop a set of core data elements. 
Publisher
Research Libraries Group
Publication Location
Mountain View, CA, USA
Language
English
Critical Arguements
<CA> The objectives of the guidelines are: 1. To facilitate interoperability of resource discovery by imposing a basic degree of uniformity on the creation of valid EAD-encoded documents and to encourage the inclusion of elements most useful for retrieval in a union index and for display in an integrated (cross-institutional) setting; 2. To offer researchers the full benefits of XML in retrieval and display by developing a set of core data elements to improve resource discovery. It is hoped that by identifying core elements and by specifying "best practice" for those elements, these guidelines will be valuable to those who create finding aids, as well as to vendors and tool builders; 3. To contribute to the evolution of the EAD standard by articulating a set of best practice guidelines suitable for interinstitutional and international use. These guidelines can be applied to both retrospective conversion of legacy finding aids and the creation of new finding aids.  
Conclusions
<RQ>
SOW
<DC> "RLG organized the EAD working group as part of our continuing commitment to making archival collections more accessible on the Web. We offer RLG Archival Resources, a database of archival materials; institutions are encouraged to submit their finding aids to this database." ... "This set of guidelines, the second version promulgated by RLG, was developed between October 2001 and August 2002 by the RLG EAD Advisory Group. This group consisted of ten archivists and digital content managers experienced in creating and managing EAD-encoded finding aids at repositories in the United States and the United Kingdom."
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.
Type
Web Page
Title
The Electronic Records Strategies Task Force Report: An Australian Perspective
CA The archival profession has a brief window of opportunity to become stakeholders in the realm of electronic records. In order to accomplish that, they must answer not only the "what" but the "why" of recordkeeping in all of its implications.
Conclusions
RQ How will American archivists deal with the re-invention of professional roles that have traditionally been bifurcated by records on one side and archives on the other? Where does continuum thinking leave SAA and its primary constituency of historical archivists?
Type
Web Page
Title
Documenting Business: The Australian Recordkeeping Metadata Schema
In July 1999, the Australian Recordkeeping Metadata Schema (RKMS) was approved by its academic and industry steering group. This metadata set now joins other community specific sets in being available for use and implementation into workplace applications. The RKMS has inherited elements from and built on many other metadata standards associated with information management. It has also contributed to the development of subsequent sector specific recordkeeping metadata sets. The importance of the RKMS as a framework for 'mapping' or reading other sets and also as a standardised set of metadata available for adoption in diverse implementation environments is now emerging. This paper explores the context of the SPIRT Recordkeeping Metadata Project, and the conceptual models developed by the SPIRT Research Team as a framework for standardising and defining Recordkeeping Metadata. It then introduces the elements of the SPIRT Recordkeeping Metadata Schema and explores its functionality before discussing implementation issues with reference to document management and workflow technologies.
Critical Arguements
CA Much of the metadata work done so far has worked off the passive assumption of records as document-like objects. Instead, they need to be seen as active entities in business transactions.
Conclusions
RQ In order to decide which elements are to be used from the RKMS, organizations need to delineate the reach of specific implementations as far as how and when records need to be bound with metadata.
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)
This document provides some background on preservation metadata for those interested in digital preservation. It first attempts to explain why preservation metadata is seen as an essential part of most digital preservation strategies. It then gives a broad overview of the functional and information models defined in the Reference Model for an Open Archival Information System (OAIS) and describes the main elements of the Cedars outline preservation metadata specification. The next sections take a brief look at related metadata initiatives, make some recommendations for future work and comment on cost issues. At the end there are some brief recommendations for collecting institutions and the creators of digital content followed by some suggestions for further reading.
Critical Arguements
CA "This document is intended to provide a brief introduction to current preservation metadata developments and introduce the outline metadata specifications produced by the Cedars project. It is aimed in particular at those who may have responsibility for digital preservation in the UK further and higher education community, e.g. senior staff in research libraries and computing services. It should also be useful for those undertaking digital content creation (digitisation) initiatives, although it should be noted that specific guidance on this is available elsewhere. The guide may also be of interest to other kinds of organisations that have an interest in the long-term management of digital resources, e.g. publishers, archivists and records managers, broadcasters, etc. This document aimes to provide: A rationale for the creation and maintenance of preservation metadata to support digital preservation strategies, e.g. migration or emulation; An introduction to the concepts and terminology used in the influential ISO Reference Model for an Open Archival Information System (OAIS); Brief information on the Cedars outline preservation metadata specification and the outcomes of some related metadata initiatives; Some notes on the cost implications of preservation metadata and how these might be reduced.
Conclusions
RQ "In June 2000, a group of archivists, computer scientists and metadata experts met in the Netherlands to discuss metadata developments related to recordkeeping and the long-term preservation of archives. One of the key conclusions made at this working meeting was that the recordkeeping metadata communities should attempt to co-operate more with other metatdata initiatives. The meeting also suggested research into the contexts of creation and use, e.g. identifying factors that might encourage or discourage creators form meeting recordkeeping metadata requirements. This kind of research would also be useful for wider preservation metadata developments. One outcome of this meeting was the setting up of an Archiving Metadata Forum (AMF) to form the focus of future developments." ... "Future work on preservation metadata will need to focus on several key issues. Firstly, there is an urgent need for more practical experience of undertaking digital preservation strategies. Until now, many preservation metadata initiatives have largely been based on theoretical considerations or high-level models like the OAIS. This is not in itself a bad thing, but it is now time to begin to build metadata into the design of working systems that can test the viability of digital preservation strategies in a variety of contexts. This process has already begun in initiatives like the Victorian Electronic Records Stategy and the San Diego Supercomputer Center's 'self-validating knowledge-based archives'. A second need is for increased co-operation between the many metadata initiatives that have an interest in digital preservation. This may include the comparison and harmonisation of various metadata specifications, where this is possible. The OCLC/LG working group is an example of how this has been taken forward whitin a particular domain. There is a need for additional co-operation with recordkeeping metadata specialists, computing scientists and others in the metadata research community. Thirdly, there is a need for more detailed research into how metadata will interact with different formats, preservation strategies and communities of users. This may include some analysis of what metadata could be automatically extracted as part of the ingest process, an investigation of the role of content creators in metadata provision, and the production of user requirements." ... "Also, thought should be given to the development of metadata standards that will permit the easy exchange of preservation metadata (and information packages) between repositories." ... "As well as ensuring that digital repositories are able to facilitate the automatic capture of metadata, some thought should also be given to how best digital repositories could deal with any metadata that might already exist."
SOW
DC "Funded by JISC (the Joint Information Systems Committee of the UK higher education funding councils), as part of its Electronic Libraries (eLib) Programme, Cedars was the only project in the programme to focus on digital preservation." ... "In the digitial library domain, the development of a recommendation on preservation metadata is being co-ordinated by a working group supported by OCLC and the RLG. The membership of the working group is international, and inlcudes key individuals who were involved in the development of the Cedars, NEDLIB and NLA metadata specifications."
Type
Web Page
Title
Deliberation No. 11/2004 of 19 February 2004: "Technical Rules for Copying and Preserving Electronic Documents on Digital Media which are Suitable to Guarantee Authentic Copies"
CA Recognizes that preservation of authentic electronic records means preservation of authentic/true copies. Thus the preservation process is called substitute preservation, and the authenticity of a preserved document is not established on the object itself (as it was with traditional media), but through the authority of the preserver (and possibly a notary), who would attest to the identity and integrity of the whole of the reproduced documents every time a migration occurs. The preserver's task list is also noteworthy. Archival units description stands out as an essential activity (not replaceable by the metadata which are associated to each single document) in order to maintain intellectual control over holdings.
SOW
DC CNIPA (Centro Nazionale per l'Informatica nella Pubblica Amministrazione) replaced AIPA (Autorita' per l'Informatica nella Pubblica Amministrazione) in 2003. Such an Authority (established in 1993 according to art. 4 of the Legislative Decree 39/1993, as amended by art. 176 of the Legislative Decree 196/2003) operates as a branch of the Council of Ministers' Presidency with the mandate to put the Ministry for Innovation and Technologies' policies into practice. In particular, CNIPA is responsible for bringing about reforms relevant to PA's modernization, the spread of e-government and the development of nationwide networks to foster better communication among public offices and between citizens and the State. In the Italian juridical system, CNIPA's deliberations have a lower enabling power, but they nevertheless are part of the State's body of laws. The technical rules provided in CNIPA's deliberation 11/2004 derive from art. 6, par. 2 of the DPR 445/2000, which says: "Preservation obligations are fully satisfied, both for administrative and probative purposes, also with the use of digital media when the employed procedures comply with the technical rules provided by AIPA." In order to keep those rules up to date according to the latest technology, AIPA's deliberation no. 42 of 13 December 2001 on "Technical rules for documents reproduction and preservation on digital media that are suitable to guarantee true copies of the original documents" has been replaced by the current CNIPA deliberation.
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
Approaches towards the Long Term Preservation of Archival Digital Records
The Digital Preservation Testbed is carrying out experiments according to pre-defined research questions to establish the best preservation approach or combination of approaches. The Testbed will be focusing its attention on three different digital preservation approaches - Migration; Emulation; and XML - evaluating the effectiveness of these approaches, their limitations, costs, risks, uses, and resource requirements.
Language
English; Dutch
Critical Arguements
CA "The main problem surrounding the preservation of authentic electronic records is that of technology obsolescence. As changes in technology continue to increase exponentially, the problem arises of what to do with records that were created using old and now obsolete hardware and software. Unless action is taken now, there is no guarantee that the current computing environment (and thus also records) will be accessible and readable by future computing environments."
Conclusions
RQ "The Testbed will be conducting research to discover if there is an inviolable way to associate metadata with records and to assess the limitations such an approach may incur. We are also working on the provision of a proposed set of preservation metadata that will contain information about the preservation approach taken and any specific authenticity requirements."
SOW
DC The Digital Preservation Testbed is part of the non-profit organisation ICTU. ICTU is the Dutch organisation for ICT and government. ICTU's goal is to contribute to the structural development of e-government. This will result in improving the work processes of government organisations, their service to the community and interaction with the citizens. Government institutions, such as Ministries, design the policies in the area of e-government, and ICTU translates these policies into projects. In many cases, more than one institution is involved in a single project. They are the principals in the projects and retain control concerning the focus of the project. In case of the Digital Preservation Testbed the principals are the Ministry of the Interior and the Dutch National Archives.
This paper discusses how metadata standards can help organizations comply with the ISO 9000 standards for quality systems. It provides a brief overview of metadata, ISO 9000 and related records management standards. It then analyses in some depth the ISO 9000 requirements for quality records, and outlines the problems that some organizations have in complying with them. It also describes the metadata specifications developed by the University of Pittsburgh Electronic Recordkeeping project and the SPIRT Recordkeeping Metadata project in Australia and discusses the role of metadata in meeting ISO 9000 requirements for the creation and preservation of reliable, authentic and accessible records.
Publisher
Records Continuum Research Group
Critical Arguements
CA "During the last few years a number of research projects have studied the types of metadata needed to create, manage and make accessible quality records, i.e. reliable, authentic and useable records. This paper will briefly discuss the purposes of recordkeeping metadata, with reference to emerging records management standards, and the models presented by two projects, one in the United States and one in Australia. It will also briefly review the ISO 9000 requirements for records and illustrate how metadata can help an organization meet these requirements."
Conclusions
RQ "Quality records provide many advantages for organizations and can help companies meet the ISO 9000 certification. However, systems must be designed to create the appropriate metadata to ensure they comply with recordkeeping requirements, particularly those identified by records management standards like AS 4390 and the proposed international standard, which provide benchmarks for recordkeeping best practice. The Pittsburgh metadata model and the SPIRT framework provide organizations with standardized sets of metadata that would ensure the creation, preservation and accessibility of reliable, authentic and meaningful records for as long as they are of use. In deciding what metadata to capture, organisations should consider the cost of meeting the requirements of the ISO 9000 guidelines and any related records management best practice standards, and the possible risk of not meeting these requirements."
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.
Type
Web Page
Title
Softening the borderlines of archives through XML - a case study
Archives have always had troubles getting metadata in formats they can process. With XML, these problems are lessening. Many applications today provide the option of exporting data into an application-defined XML format that can easily be post-processed using XSLT, schema mappers, etc, to fit the archives┬┤ needs. This paper highlights two practical examples for the use of XML in the Swiss Federal Archives and discusses advantages and disadvantages of XML in these examples. The first use of XML is the import of existing metadata describing debates at the Swiss parliament whereas the second concerns preservation of metadata in the archiving of relational databases. We have found that the use of XML for metadata encoding is beneficial for the archives, especially for its ease of editing, built-in validation and ease of transformation.
Notes
The Swiss Federal Archives defines the norms and basis of records management and advises departments of the Federal Administration on their implementation. http://www.bar.admin.ch/bar/engine/ShowPage?pageName=ueberlieferung_aktenfuehrung.jsp
Critical Arguements
CA "This paper briefly discusses possible uses of XML in an archival context and the policies of the Swiss Federal Archives concerning this use (Section 2), provides a rough overview of the applications we have that use XML (Section 3) and the experiences we made (Section 4)."
Conclusions
RQ "The systems described above are now just being deployed into real world use, so the experiences presented here are drawn from the development process and preliminary testing. No hard facts in testing the sustainability of XML could be gathered, as the test is time itself. This test will be passed when we can still access the data stored today, including all metadata, in ten or twenty years." ... "The main problem area with our applications was the encoding of the XML documents and the non-standard XML document generation of some applications. When dealing with the different encodings (UTF-8, UTF-16, ISO-8859-1, etc) some applications purported a different encoding in the header of the XML document than the true encoding of the document. These errors were quickly identified, as no application was able to read the documents."
SOW
DC The author is currently a private digital archives consultant, but at the time of this article, was a data architect for the Swiss Federal Archives. The content of this article owes much to the work being done by a team of architects and engineers at the Archives, who are working on an e-government project called ARELDA (Archiving of Electronic Data and Records).
This document is a draft version 1.0 of requirements for a metadata framework to be used by the International Press Telecommunications Council for all new and revised IPTC standards. It was worked on and agreed to by members of the IPTC Standards Committee, who represented a variety of newspaper, wire agencies, and other interested members of the IPTC.
Notes
Misha Wolf is also listed as author.
Publisher
International Press Telecommunications Council (IPTC)
Critical Arguements
CA "This Requirements document forms part of the programme of work called ITPC Roadmap 2005. The Specification resulting from these Requirements will define the use of metadata by all new IPTC standards and by new major versions of existing IPTC standards." (p. 1) ... "The purpose of the News Metadata Framework (NMDF) WG is to specify how metadata will be expressed, referenced, and managed in all new major versions of IPTC standards. The NMF WG will: Gather, discuss, agree and document functional requirements for the ways in which metadata will be expressed, referenced and managed in all new major versions of IPTC standards; Discuss, agree and document a model, satisfying these requirements; Discuss, agree and document possible approaches to expressing this model in XML, and select those most suited to the tasks. In doing so, the NMDF WG will, where possible, make use of the work of other standards bodies. (p. 2)
Conclusions
RQ "Open issues include: The versioning of schemes, including major and minor versions, and backward compatibility; the versioning of TopicItems; The design of URIs for TopicItem schemes and TopicItem collections, including the issues of: versions (relating to TopicItems, schemes, and collections); representations (relating to TopicItems and collections); The relationship between a [scheme, code] pair, the corresponding URI and the scheme URI." (p. 17)
SOW
DC The development of this framework came out of the 2003 News Standards Summit, which was attended by representatives from over 80 international press and information agencies ... "The News Standards Summit brings together major players--experts on news metadata standards as well as commercial news providers, users, and aggregators. Together, they will analyze the current state and future expectations for news and publishing XML and metadata efforts from both the content and processing model perspectives. The goal is to increase understanding and to drive practical, productive convergence." ... This is a draft version of the standard.
Type
Web Page
Title
Kansas Electronic Recordkeeping Strategy: A White Paper
CA The role of archives and archivists is being fundamentally redefined in consideration of postcustodial theories and practice.
Conclusions
RQ Who is accountable? How explicit should the "imprint" of the archivist be in the shaping of the record? Who decides (and how) what we remember and what we keep?
Type
Web Page
Title
NHPRC: Minnesota State Archives Strategic Plan: Electronic Records Consultant Project
National Historical Publications and Records Commission Grant No. 95-030
Critical Arguements
CA "The Electronic Records Consultant Project grant was carried out in conjunction with the strategic planning effort for the Minnesota Historical Society's State Archives program. The objective was to develop a plan for a program that will be responsive to the changing nature of government records." ... "The strategic plan that was developed calls for specific actions to meet five goals: 1) strengthening partnerships, 2) facilitating the identification of historically valuable records, 3) integrating electronic records into the existing program, 4) providing quality public service, and 5) structuring the State Archives Department to meet the demands of this plan."
Type
Web Page
Title
Minnesota Recordkeeping Metadata Standard (IRM Standard 20, Version 1.2)
<P1> The Minnesota Recordkeeping Metadata Standard is referenced as a "current standard" in the Minnesota Enterprise Technical Architecture under Chapter 4, "Data and Records Management Architecture." State agencies bound by the Architecture should reference that document for compliance requirements. <P2> The Minnesota Recordkeeping Metadata Standard is directly based upon the one developed by the National Archives of Australia (NAA), the Recordkeeping Metadata Standard for Commonwealth Nations, version 1.0, May 1999. (p. 7) <warrant> <P3> The Minnesota Recordkeeping Metadata Standard (Minnesota Office of Technology standard IRM 20) was developed to facilitate records management by government entities at any level of government.
"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
Recordkeeping Metadata Standard for Commonwealth Agencies
This standard describes the metadata that the National Archives of Australia recommends should be captured in the recordkeeping systems used by Commonwealth government agencies. ... Part One of the standard explains the purpose and importance of standardised recordkeeping metadata and details the scope, intended application and features of the standard. Features include: flexibility of application; repeatability of data elements; extensibility to allow for the management of agency-specific recordkeeping requirements; interoperability across systems environments; compatibility with related metadata standards, including the Australian Government Locator Service (AGLS) standard; and interdependency of metadata at the sub-element level.
Critical Arguements
CA Compliance with the Recordkeeping Metadata Standard for Commonwealth Agencies will help agencies to identify, authenticate, describe and manage their electronic records in a systematic and consistent way to meet business, accountability and archival requirements. In this respect the metadata is an electronic recordkeeping aid, similar to the descriptive information captured in file registers, file covers, movement cards, indexes and other registry tools used in the paper-based environment to apply intellectual and physical controls to records.
Conclusions
RQ "The National Archives intends to consult with agencies, vendors and other interested parties on the implementation and continuing evolution of the Recordkeeping Metadata Standard for Commonwealth Agencies." ... "The National Archives expects to re-examine and reissue the standard in response to broad agency feedback and relevant advances in theory and methodology." ... "The development of public key technology is one area the National Archives will monitor closely, in consultation with the Office for Government Online, for possible additions to a future version of the standard."
SOW
DC "This standard has been developed in consultation with recordkeeping software vendors endorsed by the Office for Government OnlineÔÇÖs Shared Systems Initiative, as well as selected Commonwealth agencies." ... "The standard has also been developed with reference to other metadata standards emerging in Australia and overseas to ensure compatibility, as far as practicable, between related resource management tools, including: the Dublin Core-derived Australian Government Locator Service (AGLS) metadata standard for discovery and retrieval of government services and information in web-based environments, co-ordinated by the National Archives of Australia; and the non-sector-specific Recordkeeping Metadata Standards for Managing and Accessing Information Resources in Networked Environments Over Time for Government, Social and Cultural Purposes, co-ordinated by Monash University using an Australian Research Council Strategic Partnership with Industry Research and Training (SPIRT) Support Grant."
Type
Web Page
Title
Preservation Metadata and the OAIS Information Model: A Metadata Framework to Support the Preservation of Digital Objects
CA "In March 2000, OCLC and RLG sponsored the creation of a working group to explore consensus-building in the area of preservation metadata. ... The charge of the group was to pool their expertise and experience to develop a preservation metadata framework applicable to a broad range of digital preservation activities." (p.1) "The OAIS information model offers a broad categorization of the types of information falling under the scope of preservation metadata; it falls short, however, of providing a decomposition of these information types into a list of metadata elements suitable for practical implementation. It is this need that the working group addressed in the course of its activities, the results of which are reported in this paper." (p. 47)
Conclusions
RQ "The metadata framework described in this paper can serve as a foundation for future work in the area of preservation metadata. Issues of particular importance include strategies and best practices for implementing preservation metadata in an archival system; assessing the degree of descriptive richness required by various types of digital preservation activities; developing algorithms for producing preservation metadata automatically; determining the scope for sharing preservation metadata in a cooperative environment; and moving beyond best practice towards an effort at formal standards building in this area." (47)
SOW
DC "[The OCLC and RLG working group] began its work by publishing a white paper entitled Preservation Metadata for Digital Objects: A Review of the State of the Art, which defined and discussed the concept of preservation metadata, reviewed current thinking and practice in the use of preservation metadata, and identified starting points for consensus-building activity in this area. The group then turned its attention to the main focus of its activity -- the collaborative development of a preservation metadata framework. This paper reports the results of the working groupÔÇÖs efforts in that regard." (p. 1-2)
CA Government records and record keeping systems must be accountable and can produce reliable and authentic information and records. A set of criteria was developed by the Ohio Electronic Records Committee to establish the trustworthiness of information systems.
During the past decade, the recordkeeping practices in public and private organizations have been revolutionized. New information technologies from mainframes, to PC's, to local area networks and the Internet have transformed the way state agencies create, use, disseminate, and store information. These new technologies offer a vastly enhanced means of collecting information for and about citizens, communicating within state government and between state agencies and the public, and documenting the business of government. Like other modern organizations, Ohio state agencies face challenges in managing and preserving their records because records are increasingly generated and stored in computer-based information systems. The Ohio Historical Society serves as the official State Archives with responsibility to assist state and local agencies in the preservation of records with enduring value. The Office of the State Records Administrator within the Department of Administrative Services (DAS) provides advice to state agencies on the proper management and disposition of government records. Out of concern over its ability to preserve electronic records with enduring value and assist agencies with electronic records issues, the State Archives has adapted these guidelines from guidelines created by the Kansas State Historical Society. The Kansas State Historical Society, through the Kansas State Historical Records Advisory Board, requested a program development grant from the National Historical Publications and Records Commission to develop policies and guidelines for electronic records management in the state of Kansas. With grant funds, the KSHS hired a consultant, Dr. Margaret Hedstrom, an Associate Professor in the School of Information, University of Michigan and formerly Chief of State Records Advisory Services at the New York State Archives and Records Administration, to draft guidelines that could be tested, revised, and then implemented in Kansas state government.
Notes
These guidelines are part of the ongoing effort to address the electronic records management needs of Ohio state government. As a result, this document continues to undergo changes. The first draft, written by Dr. Margaret Hedstrom, was completed in November of 1997 for the Kansas State Historical Society. That version was reorganized and updated and posted to the KSHS Web site on August 18, 1999. The Kansas Guidelines were modified for use in Ohio during September 2000
Critical Arguements
CA "This publication is about maintaining accountability and preserving important historical records in the electronic age. It is designed to provide guidance to users and managers of computer systems in Ohio government about: the problems associated with managing electronic records, special recordkeeping and accountability concerns that arise in the context of electronic government; archival strategies for the identification, management and preservation of electronic records with enduring value; identification and appropriate disposition of electronic records with short-term value, and
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"
Requirements for Electronic Records Management Systems includes: (1) "Functional Requirements" (http://www.nationalarchives.gov.uk/electronicrecords/reqs2002/pdf/requirementsfinal.pdf); (2) "Metadata Standard" (the subject of this record); (3) Reference Document (http://www.nationalarchives.gov.uk/electronicrecords/reqs2002/pdf/referencefinal.pdf); and (4) "Implementation Guidance: Configuration and Metadata Issues" (http://www.nationalarchives.gov.uk/electronicrecords/reqs2002/pdf/implementation.pdf)
Publisher
Public Records Office, [British] National Archives
Critical Arguements
CA Sets out the implications for records management metadata in compliant systems. It has been agreed with the Office of the e-Envoy that this document will form the basis for an XML schema to support the exchange of records metadata and promote interoperability between ERMS and other systems
SOW
DC The National Archives updated the functional requirements for electronic records management systems (ERMS) in collaboration with the central government records management community during 2002. The revision takes account of developments in cross-government and international standards since 1999.
This standard sets out principles for making and keeping full and accurate records as required under section 12(1) of the State Records Act 1998. The principles are: Records must be made; Records must be accurate; Records must be authentic; Records must have integrity; Records must be useable. Each principle is supported by mandatory compliance requirements.
Critical Arguements
CA "Section 21(1) of the State Records Act 1998 requires public offices to 'make and keep full and accurate records'. The purpose of this standard is to assist public offices to meet this obligation and to provide a benchmark against which a public office's compliance may be measured."
Conclusions
RQ None
SOW
DC This standard is promulgated by the State Records Agency of New South Wales, Australia, as required under section 12(1) of the State Records Act 1998.
Type
Web Page
Title
Archiving of Electronic Digital Data and Records in the Swiss Federal Archives (ARELDA): e-government project ARELDA - Management Summary
The goal of the ARELDA project is to find long-term solutions for the archiving of digital records in the Swiss Federal Archives. This includes the accession, the long-term storage, preservation of data, description, and access for the users of the Swiss Federal Archives. It is also coordinated with the basic efforts of the Federal Archives to realize a uniform records management solution in the federal administration and therefore to support the pre-archival creation of documents of archival value for the benefits of the administration as well as of the Federal Archives. The project is indispensable for the long-term execution of the Federal Archives Act; Older IT systems are being replaced by newer ones. A complete migration of the data is sometimes not possible or too expensive; A constant increase of small database applications, built and maintained by people with no IT background; More and more administrative bodies are introducing records and document management systems.
Publisher
Swiss Federal Archives
Publication Location
Bern
Critical Arguements
CA "Archiving in general is a necessary prerequisite for the reconstruction of governmental activities as well as for the principle of legal certainty. It enables citizens to understand governmental activities and ensures a democratic control of the federal administration. And finally are archives a prerequisite for the scientific research, especially in the social and historical fields and ensure the preservation of our cultural heritage. It plays a vital role for an ongoing and efficient records management. A necessary prerequisite for the Federal Archives in the era of the information society will be the system ARELDA (Archiving of Electronic Data and Records)."
Conclusions
RQ "Because of the lack of standard solutions and limited or lacking personal resources for an internal development effort, the realisation of ARELDA will have to be outsourced and the cooperation with the IT division and the Federal Office for Information Technology, Systems and Telecommunication must be intensified. The guidelines for the projects are as follows:
SOW
DC ARELDA is one of the five key projects in the Swiss government's e-government strategy.
