Management of Electronic Records 
Source List

1st Part

• Introduction
• Records and Information defined: its relation with and differences to other disciplines of similar nature.
• Life-cycle of e-records
• Retention/Disposal of e-records:
• Why?
• Differences with "back-up"s.
• Archives:
• Defined.
• Why is it important?

* Lyman, P. ve Varian, H.R.  (2003). "How Much Information 2003?"  http://www2.sims.berkeley.edu/research/projects/how-much-info-2003/index.htm
* Gantz, J.F., Reinsel, D., Chute, C., Schlichting, W., McArthur, J., Minton, S. et al. (2007). "The expanding digital universe: A forecast of worldwide information growth through 2010." IDC White Paper. http://www.emc.com/about/destination/digital_universe/pdf/Expanding_Digital_Universe_IDC_WhitePaper_022507.pdf
• Management of active e-documents
• Functional analysis
• Subject classification

* Subject Filing: A Records Management Handbook. National Archives and Records Service. 1966.
• Case files

* Case Filing: A Records Management Handbook. National Archives and Records Service. 1983.
• Appraisal and disposition

* Schellenberg, T. R. "The Appraisal of Modern Records." U.S. National Archives and Records Administration Bulletin Number 8 (1956): http://www.archives.gov/research/alic/reference/archives-resources/appraisal-of-records.html
* Disposition of Federal Records: A Records Management Handbook. National Archives and Records Service. 2000 Web Edition (of 1997 printed publication): http://www.archives.gov/records-mgmt/publications/disposition-of-federal-records/
• Document management
• Differences with records and information management

* Barry, Richard E. Managing Distinctions: Enterprise Information, Document, Records, Knowledge and Content Management. (draft). http://www.mybestdocs.com/workshop/barry-im-rm-distinctions-b.htm
• Purpose
• Workflow systems

* Hollingsworth, David. The Workflow Reference Model. Workflow Management Coalition, 19 Jan. 1995: http://www.wfmc.org/standards/docs/tc003v11.pdf
• Associated problems and solutions
• Digitization
• Why digitize?
• For archival purposes (significant intellectual or artifactual value)
• For dissemination of information (high demand for access)

* Grout, Catherine. Strategies for Delivering and Promoting Digital Content.Conference on Planning and Implementing a Digitisation Project . Organized by Higher Education Digitisation Service (HEDS) at The British Library, London on 29th June 2000. http://aboutdisa.ukzn.ac.za/workshops/UNESCODigPres/South%20African%20National%20Digital%20Preservation%20Report.pdf
• For preservation?
• Of text

Optical Character Recognition (OCR)
• Problems: High error rates
• Solution alternatives
• Spell checking via artificial Intelligence
• Selecting alternative words via fuzzy logic
• Of images
• Of Sounds
• Of moving images
• Associated problems:
• Preservation issues
• Light level damaging originals?
• Disbinding?
• Book cradles
• Handling procedures
• Use of intermediates and surrogates
• Cost

* Puglia, Steven. "The Costs of Digital Imaging Projects." Research Libraries Group (RLG) DigiNews. III / 5 (15 October 1999). http://digitalarchive.oclc.org/da/ViewObjectMain.jsp?fileid=0000070511:000006278991&reqid=15887#feature
* Hughes, Lorna. "The Price of Digitization: New Cost Models for Cultural and Educational Institutions. Symposium Report." NINCH SYMPOSIUM: April 8, 2003, New York City. http://www.ninch.org/forum/price.report.html
• Copyright
• Access issues
• Policies
• Naming conventions
• Metadata and finding aids
• Technical issues
• Resolution

* "Table: Representative institutional requirements for conversion." Moving Theory into Practice: Digital Imaging Tutorial. http://www.library.cornell.edu/preservation/tutorial/conversion/table3-1.html
• Compression ratios and methods

Formats and standards
• Obsolescence
• Hardware and Software dependency
• Importance of keeping related documentation
• Alternative solutions suggested:
• Computer museums:
• Emulation

* Granger, Stewart. Emulation as a Digital Preservation Strategy: http://www.dlib.org/dlib/october00/granger/10granger.html
* Rothenberg, Jeff. Avoiding Technological Quicksand: Finding a Viable Technical Foundation for Preserving Digital Information: http://www.clir.org/pubs/reports/rothenberg/contents.html
• Migration

* University of Leeds, The Representation and Rendering Project. "Survey and Assessment of Sources of Information on File Formats and Software Documentation: Final Report." http://www.jisc.ac.uk/uploaded_documents/FileFormatsreport.pdf
* Gilheany, Stephen J. Defining a Permanent TransFormat Records Management System, A Hierarchy of Record Storage Formats, Five PDF Formats, and Document Copying/Migration: http://www.archivebuilders.com/whitepapers/22025v176p.pdf
* Woodyard, Deborah. Farewell my Floppy: A strategy for migration of digital information: http://www.nla.gov.au/nla/staffpaper/valadw.html
• XML:
• Legal admissability and authentication

* Thibodeau, Ken. "Overview of Technological Approaches to Digital Preservation and Challenges in Coming Years." http://www.clir.org/pubs/reports/pub107/thibodeau.html
* Duranti, Luciana. Permanently Authentic Electronic Records: "An International Call to Action." DLM Forum'99: http://europa.eu.int/ISPO/dlm/program/abst_ld_en.html
• How it is done on paper records
• Watermarks
• Structure of the paper and ink
• Diplomatics and style
• Calligraphy
• Signatures, stamps and seals
• E-signatures

* National Archives and Records Administration. Records Management Guidance for Agencies Implementing Electronic Signature Technologies. (18.10.2000): http://www.archives.gov/records-mgmt/policy/electronic-signature-technology.html
• Watermarks
• Biometrics: http://www.audata.co.uk/
• Integrity vs alteration (after creation)
• Networking and security
• Cryptography
• Firewalls

* Mogul, Richard. Danger Within ?Protecting your Company from Internal Security Attacks. http://www.csoonline.com/analyst/report400.html
* Scalet, Sarah. D. "Snooping, by Hook or by Crook." CSO Magazine. (May 2003). http://www.csoonline.com/read/050103/snooping.html
• E-mail management
• Policy
• Importance of forming an e-mail policy

* Email Policy: What are the threats that companies face?: http://www.netproi.com/email_policy.htm
• Steps in forming an e-mail policy
• Why archive?

* Montana, John C. Legal Obstacles to E-Mail Destruction. ARMA International Education Foundation. (19.10.2003). http://www.armaedfoundation.org/images/LegalObstaclesv6.3.4.pdf
* E-mail as Records: http://www.prov.vic.gov.au/Publications/publns/PROVRMadvice3.pdf
• Associated problems
• Attachments
• Capturing Metadata
• How to archive?

* Boudrez, Filip and Sofie Van den Eynde. Archiving E-mails: http://www.antwerpen.be/david/eng/
* Potter, Maureen. XML for Digital Preservation: XML Implementation Options for E-mails: http://www.digitaleduurzaamheid.nl/bibliotheek/docs/email-xml-imp.pdf
• Archiving databases (and casefiles)
• Why archive?
• Associated problems.

* Verdegem, Remco. Database Preservation Issues: http://www.digitaleduurzaamheid.nl/bibliotheek/docs/longterm_preservation_of_databases.pdf
• How to archive?

* Preserving Records in Databases. http://www.prov.vic.gov.au/Publications/publns/PROVRMadvice7.pdf
• Disaster preparednes
- National Institute of Standards and Technology (NIST). Contingency Planning Guide for Information Technology Systems. June 2002: http://csrc.nist.gov/publications/nistpubs/800-34/sp800-34.pdf
* Stremple, Rosalie and Michael F. Martone. Disasters come in all sizes. InfoPro (March 2000). http://www.arma.org/pdf/articles/DisasterAllSizes.pdf
• Back-ups and archival copies:
• Differences.
• Vital records management

- Vital Records and Records Disaster Mitigation and Recovery: An Instructional Guide. 1999 Web Edition:
http://www.archives.gov/records-mgmt/vital-records/
• Media durability:
• Problems and solutions.

* Uhlig, Robert. Scientist finds fungus that eats through compact discs. Telegraph. (18 June 2001): http://www.telegraph.co.uk/news/main.jhtml?xml=/news/2001/06/18/wfung18.xml
* Ross, Seamus and Ann Gow. Digital Archeology: Rescuing Neglected and Damaged Data Resources. February 1999. http://www.ukoln.ac.uk/services/elib/papers/supporting/pdf/p2full.pdf
• Metadata
• Defined
• Structural metadata
• Content metadata
• Contextual metada
• Preservation metadata (custodial history)
• Digital Rights Management metadata
• Why important?
• Principle of provenance
• Associated problems
• How to capture?
• Standards and Guides for Computer Specialists
• - AS 4390: Australian Records Management Standard
• - ISO 15489: International Records Management Standard
• - ISO 9000: International Quality Standard
• - DoD 5015.2 = Department of Defense Design Criteria Standard for Electronic Records Management Software Applications: http://jitc.fhu.disa.mil/recmgt/
• - FDA = Electrnonic Signatures, Food and Drug Administration Guidance for Industry: http://www.fda.gov/cder/Guidance/5667fnl.pdf
• * MoReq = Model Specification of Requirements for Electronic Records Management Systems. Second edition: http://www.moreq2.eu/documents/MoReq2%20Scoping%20Report.pdf
• - The National Archives Digital Preservation Department PRONOM 3 User Requirements. http://www.nationalarchives.gov.uk/aboutapps/fileformat/pdf/pronom_4_user_reqs.rtf
• - PROV= Public Records Office of Victoria Standard 99 07: Management of Electronic Records: http://www.prov.vic.gov.au/vers/standards/Version%202%20release/StandardVersion2.htm
• - VERS = Victorian Electronic Records Strategy: http://www.prov.vic.gov.au/vers/
• - DIRKS = Designing and implementing recordkeeping systems: http://www.naa.gov.au/records-management/publications/DIRKS-manual.aspx
• Research and Collaboration Efforts
• INTERPARES = International Research on Permanent Authentic Records in Electronic Systems: http://www.interpares.org/
• ERPANET = Electronic Resource Preservation and Access NETwork: http://www.erpanet.org/

2nd Part

• Usability and information architecture
• Defined
• Concepts
• Search engines
• How they work?
• How to make the best use of them?
• Dublin Core and preservation metadata standards: http://www.dublincore.org/
• XML and its use in putting databases on the web
• The Z39.50 protocol: http://www.loc.gov/z3950/agency
• The Spectrum standard and its use in museums
• EAD = Encoded Archival Description: http://www.loc.gov/ead/
• Interoperability of different standards

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