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All papers contained in this section have been published with the authors' and where required publishers' permission. Visitors should contact the authors/publishers directly for permission to copy or publish them further. 

            Guest Authors 

Papers by Xiaomi An, Associate Professor, School of Information Resources Management, Renmin University of China, council member of the Chinese Urban Development Archives and Information Professional Committee, and related affiliations in architectural and urban development archives in which she is an authority.

Xiaomi An and Michael Cook, University of Liverpool Center for Archive Studies. "Integrated Management and Services for Urban Development Records, Archives and Information: A Research Agenda" "This paper introduces a research agenda on 'integrated management and services for urban development records, archives and information', a national research project supported by the National Natural Science Foundation of China. It discusses seven aspects of the agenda, they are the research background, research aims, research objectives and questions, focuses and hypothesis of the project, analytical framework and methodology of the project, research plans, and the expected outcomes for the study."

Xiaomi An and Shuzhen Wang, Editors, "Research in Integrated Management and Services for Urban Development Records, Archives and Information," proceedings (22 papers by speakers from the UK, USA, Spain, New Zealand and Switzerland) of the international seminar for urban development archives (UDA), Hangzhou, Zhejiang Province, China, April 16-18, 2004, China Architecture & Building Press, ISBN 7-112-05092, 2004. The theme of the seminar was "Evidence, Information and Memory: Research in Integrated Management and Services of Urban Development Records and Archives." See Table of Contents and sample paper by Michael Steemson, Challenges of e-Government and strategies for Records and Archives Management services.

 

"Towards a Best Practice Framework for Managing Urban Development Archives: Case Studies from the UK and China", China Architecture & Building Press, ISBN 7-112-05092-8, 2002. This book is a revised and updated version of Ms. An's Ph.D. dissertation at Liverpool University Center for Archive Studies (LUCAS), England.

 

Foteini Aravani and Gordon Brown, University of Glasgow. A book review of  Preservation Management of Digital Materials: A Handbook by Maggie Jones, Neil Beagrie. Numerous projects have explored the problems inherent in the long-term preservation of digital material, while yet others are in the process of doing so. It is an undisputed fact that such endeavours are crucial to the success of any digitisation project or the survival of "born-in-digital" material. A significant issue arising from such efforts has been the apparent scarcity of practical guidelines aimed at establishing best practices within the field.

Edward Arnold, Deputy Director for Army Records, "Army Information Warehousing," presentation at the e-Records Solutions Conference 2001, in Houston, Texas, November 6, 2001. In what is probably one of the most prophetic arguments in favor of distributed digital records, this presentation was the proposal made by Arnold to the US Army for a comprehensive electronic records management system prior to the September 11, 2001 attack on the Pentagon. Ed Arnold had an early morning meeting on that date and had just left the Pentagon on the way to an outside meeting when he turned to observe the terrorist attack into the Pentagon where his office used to be. Said Arnold: “God only knows what happened to the paper.” At the end of this presentation there are extraordinary photographs of the Pentagon attack site. (This is a MS PowerPoint™ presentation. It may take some time to load.)

Cathy Bailey, National Archives of Canada, "An Appraisal Archivist's Perspective on the Implementation of Electronic Document Management Systems."Presented at the Society of American Archivists Annual Meeting, Washington Hilton, August 27-September 2, 2001, Session 35. (See associated presentations by Ineke Deserno and Lisa Polisar.) 

Papers by Philip C. Bantin, Indiana University, IU Archivist and Director, Electronic Records Project.

 

Understanding Data and Information Systems for Recordkeeping, Neal-Schuman Publishers, 2007, and in the UK under the Facet label. Well known for his leadership in the field of electronic records, including his leadership of the Indiana University Electronic Records Project, Bantin explores content management systems, data warehouses, relational databases — the ways an institution can organize and store its information that are changing rapidly. He provides a comprehensive guide to the new technologies that can help us better organize vital documents and information for preservation, search, and retrieval. Bantin looks at the major types of resources — relational databases; data warehouses; and content, document, and knowledge management systems — and the ways each captures, stores, and manages records. Each system is evaluated in light of its ability to manage digital content over the long-term. Bantin also offers suggestions for adapting turnkey systems to better serve organizational needs, tips for implementing systems assessment, and guidance for ensuring systems comply with legal requirements. This is an essential resource for any organization interested in utilizing technology to better maintain their organizational records and data. View Table of Contents and Figures, Forward and Preface. 

"Indiana University, Electronic Records Project -- Phase II, 2000-2002: Final Report to the National Historical Publications and Records Commission (NHPRC)," Philip C. Bantin, Project Director. 

 

"An Overview of the Lessons Learned in the IU Electronic Records Project," Presented at the Society of American Archivists Annual Meeting, Washington Hilton, August 27-September 2, 2001, Session 60. This innovative project is Part II of a multi-phase project follow-up to the University of Pittsburgh Functional Requirements for Evidence in Recordkeeping  Project, all of which were funded by the National Historical Publications and Records Commission (NHPRC). It is aimed at designing and implementing an electronic records system using business systems modeling and analysis in the first enterprise system design to make use of portal technology to capture role-based records in the university environment. Possibly the first anywhere to use a distributed content approach for high-transaction financial and HR business processes, it is highly relevant to organizations in the public and private sectors. The project includes experience using a strategic partnership between the Archivist and Auditor. (See associated presentations by Rosemary Pleva Flynn and Rick Barry.)  See Electronic Recordkeeping at IU for a full listing of documentation relating to Indiana University research projects on electronic records.

 

Papers by Chauncey Bell, Senior Vice President, Business Design Associates, Inc.  

"Organizational Change and The Role of Archivist". Keynote address at the Society of California Archivists meeting, May 1st, 1998, challenging the role of the archivist in the new Millennium.  

"Re-membering the Future:  Organizational Change: What is it and what does it mean for records professionals". Keynote address at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997

Lewis J. Bellardo, Deputy Archivist of the United States National Archives and Records Administration, "Changing Organizations: Two Archives Transformation Case Studies: NARA a Case Study" a presentation at at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997 [See the accompanying presentation by Andy Birrell.]

Andy Birrell, Director General, The National Archives of Canada, "Changing Organizations: Two Archives transformation Case Studies: NAC" a presentation at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997 [See the accompanying presentation by Lewis Bellardo.]

Barclay T. Blair, director of the Technology Practice, Kahn Consulting, and Randolph Kahn, attorney and principal of Kahn Consulting, Inc., Information Nation: Seven Keys to Information Management Compliance, AIIM, Silver Spring, Maryland, ISBN 0-89258-402-5 (pbk.), 2004. Kahn and Blair have put together an outstanding compendium for CEOs, lawyers, auditors and CIOs, archivists, records managers and other information management professionals. It provides an excellent post-911, post-Enron field book for those who see the emergence of records management in general and electronic records in particular in a broader information management "compliance" context that speaks to all information management professionals. In this new context, these professionals must work together to take account not only of traditional recordkeeping laws, standards, practices and mandates, but also of an increasing number of U.S. regulatory laws and requirements, many of which have emerged because of egregious cases of negligent or improper loss, manipulation or destruction of records. While it takes a life-cycle approach to its seven keys, from "Good Policies and Procedures" (Key 1) to "Continuous Program Improvement," it does so while bringing meaning to Sarbanes-Oxley, HIPAA, E-Sign, 17 CFR §240.17a-4, 21 CFR Part 11 and other regulations and laws. The book is replete with legal cases and precedents. 

Bruce Bruemmer, Director of Corporate Archives, Cargill, Inc.,  "Brown Shoes in a World of Tuxedos: Corporate Archives and the Archival Profession," a presentation at the 2006 joint annual conference of the National Association of Government Archivists and Records Administrators (NAGARA), the Council of State Archivists (CoSA) and Society of American Archivists (SAA) in Washington, D.C. The paper is an abbreviated version of a chapter that will appear in Documenting Society and Institutions, Essays in Honor of Helen Samuels, Terry Cook, editor, planned for publication in 2007. At the request of the Records Management Society of Japan, 記録管理学会 .   The paper ウェブサイト暫定公開版 (1997年4月開設) was translated into Japanese and is now available here in that translation, compliments of Takashi  Asahi. The paper  includes a discussion of business recordkeeping ethics and rejoinder to Richard Cox's commentary  in the American Archivist, Vol. 68, No. 1, Spring/Summer 2005 on the earlier American Archivist "Sun Mad Raisin" cover issue. "Are there true intellectual gulfs between archives in different sectors, or is the difference one of emphasis?  Once I entered the private sector, the dissimilarities between academic and business approaches became painfully clear in a number of fundamental areas.  In a forthcoming article, I find unique attributes in six areas, including processing and description, appraisal, the archives relation to history, and the hostile environment in which corporate archives exists.  Here, I have time to discuss two."  See Richard Cox's rejoinder to the Sun Mad Raisins controversy. For other papers on ethics, see the HOT TOPICS/Ethics page.

 

 

Papers by John W. Carlin, Archivist of the United States, National  Archives and Records Administration,   

 

"Records Matter: Developing the U.S. National Archives Experience," presented at the International Council on Archives (ICA)-CITRA[1] meeting on "How does society perceive archives?” Marseilles, France, Nov-13-16, 2002. This paper outlines the innovative US National Archives and Records Administration's (NARA) "National Archives Experience" project to engage the public directly with NARA resources.  "It is in essence a journey – a journey through time, and a journey through our nation’s struggles and triumphs.  It will not be a static exhibit, but rather a collection of interactive experiences. It will consist of six components, beginning with a visit to the Charters in the Rotunda of the National Archives Building. A new multi-language audio tool will allow international visitors a more meaningful experience.… Five vaults, each with a different theme, will bring records to life through interactive experiences and connections to popular culture. These vaults will draw their themes from the Preamble to the U.S. Constitution."

 

"NARA in a Changing World," plenary address at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges, July 16-19, 1997"

Michael Cook, Senior Research Fellow, University of Liverpool Center for Archive Studies. Xiaomi An, Archives College at Renmin University of China and Michael Cook, "Integrated Management and Services for Urban Development Records, Archives and Information: A Research Agenda". "This paper introduces a research agenda on 'integrated management and services for urban development records, archives and information', a national research project supported by the National Natural Science Foundation of China. It discusses seven aspects of the agenda, they are the research background, research aims, research objectives and questions, focuses and hypothesis of the project, analytical framework and methodology of the project, research plans, and the expected outcomes for the study."

 

Papers by Terry Cook, Professor, Archival Studies, University of Manitoba and Clio Consulting. From theory to practice.... Anyone who thinks that theory is for academia rather than to guide recordkeeping practice and the design of modern information systems, including recordkeeping systems, will learn differently from reading the following seminal papers by Terry Cook. As Cook says in his NARA seminar, "the opposite of practical is impractical, not theoretical."

The first of the two-part series, "Archival Science and Postmodernism:  New Formulations for Old Concepts", addresses the theory of "the archive" in the "postmodern world," the shift away from viewing records as static physical objects, and towards understanding them as dynamic virtual concepts and the implications for archivists and other information managers. The second of the series, "Fashionable Nonsense or Professional Rebirth: Postmodernism and the Practice of Archives",  addresses the conditions of postmodernity (with special attention to information) in which archivists and record-keepers find themselves (whether they like it or not) and what the practical implications of the resulting postmodernism is for their work in appraisal and description.

"Beyond the Screen: The Records Continuum and Archival Cultural Heritage." Delivered at the Australian Society of Archivists Conference, Melbourne, August 18, 2000, the paper provides Cook's strong articulation of the need and room for balance between the evidentiary and cultural heritage purposes for recordkeeping. In the process, he takes the shrouds off of the 'continuum' approach to recordkeeping and demonstrates its potential power as a means for reconciling both important purposes.

"Archival Appraisal and Collection: Issues, Challenges, New Approaches ." Part of a seminar series given at the US National Archives and Records Administration, April 21-22, 1999. Cook presents a strong case for distinguishing archival theory from appraisal theory and develops the latter, including views on business system analysis, macroappraisal and microappraisal.

"What is Past is Prologue: A History of Archival Ideas Since 1898, and the Future Paradigm Shift " A much shorter version of this 48-page essay was delivered at the Thirteenth International Congress on Archives held in Beijing, China, in September 1996. Other versions were circulated and have been cited in the literature; however, Cook says about this much expanded and annotated version: "I consider this version in Archivaria  [43 (Spring 97)] to be the definitive text." It will provide an excellent on-line source of theory for system designers, practitioners, researchers, and students on the postcustodial model of recordkeeping that Cook has championed for years. It analyzes the history of archival thought since the publication of the Dutch Manual a century ago and suggests that from this inspiring past a new conceptual paradigm is emerging for the profession.  Ideas of leading or symbolic thinkers within the European, North American, and Australian archival traditions are considered within the context of their times.  For the future, the trends of the century suggest the need to reconceptualize traditional archival principles from a product-focused to a process-oriented activity, to preserve in the best manner the collective memory of nations and peoples.

Papers by Richard J. Cox, Professor, Archival Studies at the University of Pittsburgh School of Information Sciences, editor of Records and Information Management Report (RIMR), Society of American Archivists Publications Editor and former editor of the Society's professional journal, the American Archivist.

Ethics, Accountability and Recordkeeping in a Dangerous World  Ethics, Accountability and Recordkeeping in a Dangerous World, Facet Publishing, London, 2006. This most recent book by the distinguished and prolific educator, author and editor ties together two distinct but highly related topics of ethics and accountability as they impinge on recordkeeping. Read the Table of Contents and Chapter Four, "America's Pyramids: Presidents and Their Libraries," an assessment of the history and development of presidential libraries that concludes with a most provocative proposal for re-centralization of presidential libraries in a single presidential library in or near Washington, D.C. under NARA. (An earlier version of this chapter previously appeared in Government Information Quarterly 19 (2002) 45-75.) See also Michael Moss's review of this book in the Records Management Journal. Moss raises several issues; he concludes: "Like everything Richard Cox writes this book makes you think in the way that it has made this reviewer think. He poses lots of questions in the full expectation that you may not agree and draws on a rich literature. What is more it is a good read."

 Topics critical to the recordkeeping practice include:     

    *   From accountability to ethics, or when do records professionals become  whistleblowers? 
     *   Testing the spirit of the information age 
     *   Searching for authority: archivists and electronic records in the new world at the fin-de-siècle 
     *   Searching for recognition: does strategic information have ARMs? 
     *   Why the nomination of the Archivist of the United States is important to  records professionals and society 
     *   America's pyramids: Presidents and their libraries 
     *   The world is a dangerous place: recordkeeping in the age of terror 
     *   Technology, the future of work, and records professionals 
     *   Records and truth in the post-truth society 
     *   Censorship and records 
     *   Personal notes: intellectual property, technology, and unfair stories

Cox's rejoinder to the controversy over the Sun Mad Raisins American Archivist cover (Vol. 66, No. 2, Fall/Winter 2003).  See also commentary by Bruce Buemmer's  "Brown Shoes in a World of Tuxedos: Corporate Archives and the Archival Profession."

"Former President Giuliani and His Library?" This op-ed piece was submitted by Richard Cox to the New York Times, which, regrettably, did not publish the piece. It constitutes an excellent commentary on the importance of the public records of elected officials in the context of the Presidential Library System and the November 1, 2001, Executive Order 13233, with new procedures for opening Presidential records involving the Archivist, the former President and the incumbent President, leading to editorials with phrases such as a “dark oval office,” evidence of a “secrecy fetish,”  “keeping secrets,” an “attack . . . on history itself,” and a “nasty blow” to the “ideal of open government.” This piece continues to be relevant as other high elected officials, most recently the former Virginia Governor Gilmore, come under serious question for lack of forthcomingness in turning over public records to the appropriate archival authorities.

Richard Cox, and David Wallace, Assistant Professor at the School of Information, University of Michigan. Editors, Archives and the Public Good, Greenwood Press, 2002. The editors write: "we have become both colleagues and friends, all the while constantly rediscovering that we share similar convictions about the importance of records in our society and the need to educate professionals who understand that records are not only artifacts for use by historians and genealogists but that they are also essential sources of evidence and information providing the glue that holds together, and sometimes the agent that unravels, organizations, governments, communities, and societies." Read the Table of Contents and the Introduction here; and read about the many outstanding Contributors to this book. This book should be required reading for all educators and students of archives and records management, and for executives who want to avoid ruin over absent or misused records. See book review by Roy Rosenzweig, Department of History, George Mason University in American Archivist (Vol. 66, No.2, Fall/Winter 2003).

Papers by Adrian Cunningham, Director, Strategic Relations, National Archives of Australia

Podcast: "Government 2.0 Taskforce with Adrian Cunningham & John McDonald" (41 mins). Download provided by Julie McLeod, Professor in Records Management at Northumbria University & Project Director AC+erm research project as part of a monthly podcast series on the records management issues affecting organisations and professionals today, from Northumbria University's School of Computing, Engineering & Information Sciences. In this podcast Julie McLeod discusses the Australian Government’s new Government 2.0 Taskforce which was officially launched on 22 June 2009 by Lindsay Tanner, Minister for Finance and Deregulation, and chaired by Nicholas Gruen.  Adrian Cunningham, Director, Strategic Relations and Personal Records at the National Archives of Australia, explains the background to Government 2.0 and the taskforce remit in the wider context of open government, citizen engagement and the use/reuse of public sector information. John McDonald adds his own personal perspective on the initiative based on his experience from a career at the National Archives of Canada, where he was responsible for the management of records across the Government at a time when electronic records management challenges were being addressed. The discussion covers some of the records management/recordkeeping implications posed by the use of Web 2.0 technologies. Both Adrian and John are members of Northumbria’s AC+erm project Expert Panel.

"Waiting for the Ghost Train: Strategies for Managing Electronic Personal Records Before it is Too Late." A seminal paper on personal electronic records and the gap in research and attention to this subject. For other papers this topic, see the HOT TOPICS/Pers E-recs page

"Australasian Digital Recordkeeping Initiative (ADRI)." A Microsoft PowerPoint™ presentation at the 2006 joint annual conference of the National Association of Government Archivists and Records Administrators (NAGARA), the Council of State Archivists (CoSA) and Society of American Archivists (SAA) in Washington, D.C.  Australian professionals (not the least of whom Adrian Cunningham), academic and archival institutions have for many years provided international leadership in the area of recordkeeping standards, including providing the model for the International Organization for Standardization (ISO), Records Management Standard (ISO-15489), theory (the records continuum), practice (DIRKS) and digital recordkeeping. Cunningham's presentation addresses: Challenge – Making, Keeping and Using Digital Records over long term; Australasian Digital Recordkeeping Initiative (ADRI) – objectives, principles; uniform Australasian approach; ADRI projects; and outstanding issues. ADRI was launched on 26 May 2004 in Canberra by Dr Peter Shergold, Secretary, Department of the Prime Minister and Cabinet, with his presentation, "Digital Amnesia: The Danger in Forgetting the Future,"  in which he said: "The initiative will, combined with increasing recognition by individual government agencies of the need to manage electronic records, help to ensure effective and accountable public administration. It also does something far more profound: by preserving a full historical record for posterity, it will help to secure the rights and entitlements of Australian citizens to examine the way that governance works and to understand the reason that decisions – big and small – are taken. And that, in everybody’s language, is an e-good."  Further information on the ADRI vision, objectives, strategic plan, business plan and framework can be found at the ADRI Website (that, perhaps because of its Australasian scope has a WWW domain name which is different from the National Archives of Australia) and "Digital Preservation Developments in Australasia," by Stephen Ellis'

  

book cover image  

Bruce W. Dearstyne, Ed., Effective Approaches for Managing Electronic Records and Archives, Scarecrow Press, ISBN 0-8108-4200-9, 2002. See a Book Excerpt, including the table of contents, Editor's Preface and the lead chapter: "Technology and the Transformation of the Workplace: Lessons Learned Traveling Down the Garden Path," by Richard E. Barry, Barry Associates. For information on purchase of the book, contact Scarecrow Press. See Book Review by Matthew B. Veatch, Kansas State Historical Society

  

 

  

Ineke Deserno, United Nations High Commissioner for Refugees (UNHCR). "Electronic Document and Records Management Systems: Implementation Recommendations from the Front Line,"  Presented at the Society of American Archivists Annual Meeting, Washington Hilton, August 27-September 2, 2001, Session 35. (See associated presentations by Cathy Bailey and Lisa Polisar.)

  

Papers by Charles Dollar, Dollar Consulting. 

 

"Archival Preservation of Smithsonian Web Resources: Strategies, Principles, and Best Practices,"  July 20, 2001. This is the report on which Dollar's PowerPoint presentation at the Society of American Archivists Annual Conference Business Archives Colloquium session at the Washington Hilton , August 29, 2001 was based. It summarizes Dollar's engagement with the Smithsonian Institution, the purpose of which was to develop a white paper on issues and options relating to the management of websites for both regulated and unregulated organizations in an emerging content management environment.

  "Archival Preservation of Web Resources: HTML to XHTML Migration Test Considerations, Evaluation, and Recommendations,"  July 1, 2002. "This report presents the results of a study undertaken by Dollar Consulting for the Smithsonian Institution Archives (SIA) as part of a larger effort to test and evaluate the feasibility of preserving Web sites and HTML pages in an accessible, usable and trustworthy form for as far into the future as is necessary." (See other papers on archiving websites in the HOT TOPICS/Digital Preservation page, including  Smithsonian Institution Archives Records Management Team, “Archiving Smithsonian Websites: An Evaluation and Recommendation for a Smithsonian Institution Archives Pilot Project,”   May 20, 2003.) 

 

"Ensuring Access Over Time to Authentic Electronic Records: Strategy, Alternatives, and Best Practices " a presentation at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997

Authentic Electronic Records; Strategies For Long-Term Access. An excerpt from the author's book on preservation of electronic records. See also the book review by Rick Barry.

Peter Emmerson, Director, Emmerson Consulting Limited, Hertfordshire, England. "Electronic Records still need the ‘old’ disciplines – a report on MER 2001." This is a preliminary summary of the Cohasset Managing Electronic Records (MER 2001) conference held in Chicago September 24-26, 2001

Rosemary Pleva Flynn, former Electronic Records Project Archivist, Indiana University Archives "OneStart/EDEN – A Description of IU's Transaction Processing/Recordkeeping Environment."  Presented at the Society of American Archivists Annual Meeting, Washington Hilton, August 27-September 2, 2001, Session 60. (See associated presentations by Phil Bantin and Rick Barry.)

Verne Harris, "On the Back of a Tiger: Deconstructive Possibilities in ‘Evidence of Me’" a riposte to Sue McKemmish's "Evidence of Me". See also the rejoinder to Harris' paper by Frank Upward and Sue McKemmish, "In Search of the Lost Tiger, by Way of Sainte-Beuve: Re-constructing the Possibilities in ‘Evidence of Me…’"

Papers by Hans Hofman, senior advisor, National Archives of the Netherlands

"An Expanding Universe. Metadata and Accessibility of Digital Information," a presentation at the DLM Forum 2002, that explores the future accessibility of the mass of digital information resources now available, e.g. on the world wide web, and growing every minute, and poses the question: To what extent are traditional tools and approaches still sufficient?

"A global issue: preservation of digital objects," presented at a conference of the Korean Association of Archives Management in Seoul, 3-4 July 2002. The natural ally of preservation is accessibility, otherwise it would not make any sense. The objective of this paper is to provide an overview of the main issues and requirements, the main developments to date in the search for solutions, a brief description of achievements and available tools and some initial steps that could be taken to implement proper management of digital records and related preservation strategies, starting with record creating agencies.

"Recordkeeping in the New Economy," presented at the 17th National Convention of RMAA, titled ‘Bridging the Gap’, in Sydney, December 6, 2000. The paper addresses the gap between technology and records management and, more importantly, the gap between theory and practice.  How can we translate all the theories, ideas and concepts emerging from the recordkeeping or archival discourse into the everyday practice of recordkeeping and achieve a transition from paperbound to digital processes and procedures?   

Papers by Chris Hurley, Manager, Archives, Commonwealth Bank of Australia:

Political Pressure and the Archival Record Revisited: "The Role of the Archives in Protecting the Record from Political Pressure." This is an August 2004 reprise and update of a paper originally presented at the LUCAS Conference in Liverpool, July 2003. It was presented to the  ICA 2004 - Archives, Memory & Knowledge, Conference, August 25, 2004.

"The role of the archives in protecting the record from political pressure," keynote presentation given at the Liverpool University  International Conference on Political Pressure and the Archival Record, 22-25 July 2003 and published in the forthcoming Proceedings of that conference by the Society of American Archivists.

“Recordkeeping, Document Destruction, and the Law (Heiner, Enron, and McCabe)”. This paper is a revised version of an article that originally appeared in Archives & Manuscripts in the issue for November 2002 (Vol. 30, No. 2) pp. 6 - 25.  Hurley was awarded the Michael Standish Prize by the Archives & Records Association of New Zealand (ARANZ) for this paper.  

Brewster Kahle, President, Internet Archive, "Archiving the Internet: Towards a Core Internet Service," a presentation at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997.

Randolph Kahn, attorney and principal of Kahn Consulting, Inc., and Barclay T. Blair, director of the Technology Practice, Kahn Consulting, Information Nation: Seven Keys to Information Management Compliance, AIIM, Silver Spring, Maryland, ISBN 0-89258-402-5 (pbk.), 2004. Kahn and Blair have put together an outstanding compendium for CEOs, lawyers, auditors and CIOs, archivists, records managers and other information management professionals. It provides an excellent post-911, post-Enron field book for those who see the emergence of records management in general and electronic records in particular in a broader information management "compliance" context that speaks to all information management professionals. In this new context, these professionals must work together to take account not only of traditional recordkeeping laws, standards, practices and mandates, but also of an increasing number of U.S. regulatory laws and requirements, many of which have emerged because of egregious cases of negligent or improper loss, manipulation or destruction of records. While it takes a life-cycle approach to its seven keys, from "Good Policies and Procedures" (Key 1) to "Continuous Program Improvement," it does so while bringing meaning to Sarbanes-Oxley, HIPAA, E-Sign, 17 CFR §240.17a-4, 21 CFR Part 11 and other regulations and laws. The book is replete with legal cases and precedents. See Table of Contents and Chapter 1.(PDF reader required.)

Papers by  Eric Ketelaar, Professor of Archivistics, University of Amsterdam, and Honorary Professor at Monash University , Melbourne (Faculty of Information Technology, Centre for Organisational and Social Informatics). He is former General State Archivist (National Archivist) of the Netherlands from 1989-1997.

"Writing on Archiving Machines" "The hand that is writing on a keyboardless tablet pc or pda connects the human body with a machine body, leaving no permanent mark on the substrate, but transferring from one body to another the potentiality of reconstruction. Contingent to that reconstructibility are the features of conventional handwriting: immediacy, singularity, iterability and corporeality – or rather the digital equivalents of these features. Immediacy and corporeality of digital handwriting are an illusion. The archiving machine stores a simulacrum of what has been ‘written’ (i.e., constructed by the hand interfacing with the machine), it may even be able to ‘remember’ (i.e., reconstruct) the writing hand."  Ketelaar's paper is a chapter in Section Three of :

 

 Sign Here! Handwriting in the Age of New Media, Sonja Neef,  José van Dijck and Eric Ketelaar, editors, Amsterdam University Press (July 15, 2006), Table of Contents. 

 

  "The Archive as a Time Machine": The ICT-industry and public sector partnership: to promote the preservation and accessibility of the European archival heritage," presented at the DLM Forum 2002 conference. In our “age of access” record keeping systems and archival institutions are moving from providing physical documents to providing access to the collective memory. In most organizations the boundaries between records and non-record material, and those between personal and institutional memory are blurring. What the risks are of an organizational memory being dependent on what individuals have stored on their laptops and PC’s, has been dramatically shown by the September 11 tragedies. Therefore organizational record keeping systems should ensure that individual and organizational memories blend together.

Michael Kurtz, Assistant Archivist for Records Services, National Archives and Records Administration, "Managing Archives in a Time of Change." A Microsoft PowerPoint™ presentation at the 2006 joint annual conference of the National Association of Government Archivists and Records Administrators (NAGARA), the Council of State Archivists (CoSA) and Society of American Archivists (SAA) in Washington, D.C., July 30 - August 5, 2006. Kurtz graphically conceptualizes and discusses leadership and organizational culture aspects of change management.    

  Christopher A. (Cal) Lee, Associate Professor, School of Information and Library Science at the University of North Carolina at Chapel Hill, Ed, I, Digital: Personal Collections in the Digital Era, Society of American Archivists (SAA), Chicago, August 2011, pp. 379. This tightly-knit set of chapter offerings by an outstanding line-up of 10 authors: Adrian Cunningham, Cathy Marshall, Sue McKemmish, Kristina Spurgin, Tom Hyry and Rachel Onuf, Leslie Johnston, Susan Thomas, Christopher A. (Cal) Lee and Robert Capra. (For affiliations see biographies at the below link.) 

In its Introduction, Lee sets the stage: 

"Many archivists and archival institutions have a collecting mission that includes personal papers, manuscripts, and other noninstitutional materials. Despite a massive increase in the volume and complexity of personal digital collections, the literature... has long been limited to a few scattered journal articles and research project websites. I Digital aims to fill this gap. It explores issues, challenges and opportunities in the management of personal digital collections, focusing primarily on born-digital materials generated and kept by individuals, as opposed to electronic records that are generated within and managed by formal organizational recordkeeping systems. It represents a convergence and synthesis of literature and thinking about how cultural institutions can grapple with new forms of documentation and how individuals manage (and could potentially better manage) the digital information that is part of their contemporary lives." View the full Introduction, Table of Contents, Biographies of Authors and Index HERE. See also, elsewhere in MyBestDocs, the HOT TOPICS: Personal Electronic Records Section, for other writings on this subject including by some of the contributors to this book. 

Elisa Liberatori Prati, The World Bank Archivist and World Bank Archives staff member Andres McAlister. "The World Bank Learning Program on Archives and Records: A Progress Report." Presented at the Society of American Archivists Annual Meeting, Washington Hilton, August 27-September 2, 2001, Session 64SF. They were accompanied on the program by Jim Huttlinger, World Bank archivist and Anne Thurston, Executive Director, International Records Management Trust. This session was dedicated to a special project of the World Bank. Its Information Solutions Group, of which the Bank’s archives and records management functions are a part, has launched a web-based Learning Program on Archives and Records Management as poverty reduction tools and in 2001 a follow-up program on archives and records in governance, “Evidence-Based Governance in the Electronic Age”--in partnership with the Bank’s Poverty Reduction Network (PREM). This is an excellent example of a project that ties recordkeeping to good government and economic development. 

Julie Luckevich, Archives of Ontario
Toronto, Canada, "Business Systems Analysis: Municipal Modelling and Functional Thesauri,"a presentation at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997.

Bertram Ludascher, Richard Marciano, Reagan Moore, San Diego Supercomputer Center, University of California, San Diego, "Preservation of Digital Data with Self-Validating, Self-Instantiating Knowledge-Based Archives".  "Digital archives are dedicated to the long-term preservation of electronic information and have the mandate to enable sustained access despite rapid technology changes. Persistent archives are confronted with heterogeneous data formats, helper applications, and platforms being used over the lifetime of the archive. This is not unlike the interoperability challenges, for which mediators are devised. To prevent technological obsolescence over time and across platforms, a migration approach for persistent archives is proposed based on an XML infrastructure..." 

Stephen Macintosh, Archivist at the Reserve Bank of Australia, "Designing Information and Recordkeeping Systems: Making DIRKS Work", a case study outlining the author's experiences introducing DIRKS (Designing Information and RecordKeeping Systems) at the Human Rights and Equal Opportunities Commission (HREOC) in Sydney. The DIRKS methodology is an eight-step process with which agencies may improve their recordkeeping and information management practices, including the design and implementation of new recordkeeping systems. The methodology is compliant with, and expands on, the methodological framework of the Australian Standard for Records Management, AS ISO 15489 – 2002. The study includes the many positive aspects the author found and some of the challenges he encountered. He also makes several suggestions aimed at improving implementation of DIRKS by central archives and records management authorities.

McDonald, John, Records Management Consultant, Podcast: "Government 2.0 Taskforce with Adrian Cunningham & John McDonald" (41 mins). Download provided by Julie McLeod, Professor in Records Management at Northumbria University & Project Director AC+erm research project www.northumbria.ac.uk/acerm as part of a monthly podcast series on the records management issues affecting organisations and professionals today, from Northumbria University's School of Computing, Engineering & Information Sciences. http://www.northumbria.ac.uk/sd/academic/ceis/re/isrc/x. In this podcast Julie McLeod discusses the Australian Government’s new Government 2.0 Taskforce which was officially launched on 22 June 2009 by Lindsay Tanner, Minister for Finance and Deregulation, and chaired by Nicholas Gruen.  Adrian Cunningham, Director, Strategic Relations and Personal Records at the National Archives of Australia, explains the background to Government 2.0 and the taskforce remit in the wider context of open government, citizen engagement and the use/reuse of public sector information. John McDonald adds his own personal perspective on the initiative based on his experience from a career at the National Archives of Canada, where he was responsible for the management of records across the Government at a time when electronic records management challenges were being addressed. The discussion covers some of the records management/recordkeeping implications posed by the use of Web 2.0 technologies. Both Adrian and John are members of Northumbria’s AC+erm project Expert Panel.

Managing Electronic RecordsJulie McLeod Reader & Programme Leader MSc Records Management, School of Computing, Engineering & Information Sciences, Northumbria University and  Editor of the Records Management Journal, and Catherine Hare, Project Researcher and former Senior Lecturer in Information and Records Management, Northumbria University, Managing Electronic Records, Facet Publishing, London, 2005, pp. 202. This book explores issues and offers solutions, not only for records professionals but also for information, IT and business administration specialists, who, as key stakeholders in managing electronic information, may have taken on crucial roles in managing electronic records in their organization. It IS also a key textbook for records management courses. See review by Rick Barry in the Records Management Journal, Vol. 16, No. 1, 2006;  Emerald Group Publishing Limited, Bradford, UK, pp. 57-66, published here with the kind permission of the publisher. 

Papers by Sue McKemmish, Associate Professor, Master of Arts (Archives and Records) and Graduate Diploma in Archives and Records Management programs at Monash University, Victoria, Australia.

"Evidence of Me" on personal recordkeeping. (See also the riposte to this paper by Verne Harris, "On the Back of a Tiger: Deconstructive Possibilities in ‘Evidence of Me’")

See also, under Upward, co-authored paper: "In Search of the Lost Tiger, by Way of Sainte-Beuve: Re-constructing the Possibilities in ‘Evidence of Me…’"

Archives: Recordkeeping in Society, by Sue McKemmish, Michael Piggott, Barbara Reed and Frank Upward, Editors, Centre for Information Studies - Charles Sturt University (CIS), Waga Waga, NSW, Australia, 2005. The editor-authors (all raised on the Australian Keeping Archives project) and a host of other outstanding scholars and practitioners, well known in the professional literature, together in a dozen chapters – Adrian Cunningham, Ann Pederson, Robert Hartland, Hans Hofman, Chris Hurley, Livia Iacovino and Eric Ketelar – provide a broad array of perspectives making up the world of archives and recordkeeping that make this volume an excellent source of material for teaching archives and records management as well as for purposes of public advocacy. The editors write: "The purpose of this book is to provide a conceptual base for arch9ival science which coherently incorporates both established and emerging concepts within the discipline. The challenges posed by changing technologies necessitate such new overviews. Although archivists face these new challenges directly, their implications reach beyond the archival profession. Almost everybody, not just those paid to do the work that this entails, is an archivist and a records manager and all of us have a stake in the relationship between archives and human activity. Accordingly we hope this book will be available resource within and beyond the archival profession by exposing leading archival thinking to scholars, thinkers and practioners in many disciplines. See also, a review by Joanna Sassoon, Public History Review, vol 12, 2006.

Raul Medina-Mora, Senior Vice President and Chief Scientist, Action Technologies, Inc., "Implications for Recordkeeping in Organizations that are Redesigned around Business Processes, Commitments and Customer Satisfaction," a presentation at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997.

"Converted Slide Version of above document presented at NAGARA," presented at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997.

Laura Mitchell, National Archives of Scotland, "EMAIL: Elephant Traps and How to Avoid Them."  There are really three main aspects of email which get us all thinking: 1) Its use (eg etiquette); 2) Its security; 3) It’s management.

 

Tom Nesmith, Associate Professor, Master's Programme in Archival Studies, Department of History, University of Manitoba, "What's History Got to Do with It?" Author Nesmith received the 2005 Association of Canadian Archivists' treasured W. Kaye Lamb Prize for this paper. The award is named after the acclaimed Dominion Archivist of Canada (1948-68), first National Librarian of Canada (1953-67), and Society of American Archivists' president (1964-65) for the Archivaria article that best advances archival thinking and scholarship in Canada. It is based on the keynote address to the Association of Canadian Archivists 2004 annual conference by the same title, June 10-14, 2004: "Just as the appetite for historical information grows, new and powerful means of mass communication for making archival materials accessible (expanded television service and the Internet) have come along to help address the primary problem archives have long faced – difficulty gaining access to them. New intellectual trends have raised awareness of the complexity of interpreting documentation of all kinds and of the formative role of intermediaries in the knowledge formation process such as archives, museums, galleries, and libraries. In addition, recent demographic trends involving the baby boomer generation make it very likely that for the foreseeable future demand for a wide range of historical information from archives will continue to increase, access to it through the Internet and television will be highly desired, and this generation, long schooled by postmodernity to ask critical questions about how to understand the complexities of information, will turn to archivists expecting help with that." Archivaria 57 (Spring 2004), pp. 1-27 (.pdf, 1,700kb)

 

Helen Onopko, Records & Archive Services, "Evolving access solutions – repatriation of records to indigenous communities," paper, and accompanying slide presentation presented at the Records Management Association of Australia (RMAA) 2002 National Convention, September 17, 2002. Onopko outlines the very innovative approach of the South Australia State Archives in making personal, family and tribal archives of Australian Aboriginals accessible to those stakeholders including in remote areas, and taking account of special cultural issues relating to those people. This is also a excellent addition to the literature on personal records and, as they are now provided, personal electronic records.

 

 

Michael Piggot,  University of Melbourne: Recordkeeping in Society, Coauthored with Sue McKemmish, et al, Editors. See full listing under McKemmish, above. 

 

Lisa Polisar, Covington & Burling" international law firm, Washington D.C. "Electronic Document and Records Management at a U.S. Law Firm,"   presented at the Society of American Archivists Annual Meeting, Washington Hilton, August 27-September 2, 2001, Session 35. (See associated presentations by Ineke Deserno and Cathy Bailey.

Barbara Reed, author and Director of Recordkeeping Innovation Pty Ltd, an Australian based consulting company serving the pan-Asian region. "Service-oriented architecture and recordkeeping," by Barbara is well known to professionals and ARM practitioners in Australasia, other Pacific countries, other Commonwealth countries and North America. The paper was voted as the Emerald Publishing, Literati award for Outstanding Paper of the Year, published in the UK  Records Management Journal (RMJ), Vol. 18, No.1, 2008. I believe it is an especially important paper, because it offers a way of addressing some intractable issues regarding electronic records management for current and legacy systems. It is also, to my knowledge, the first published paper to tie together the widely published and increasingly interesting approach to enterprise architecture (EA) for managing disparate and non-interoperable organizational, computer-based applications. Service-Oriented Architecture (SOA) is a leading EA scheme with CIOs and IT directors and is also being modeled by some national archives for their own architectures (See the National Archives and Records Administration (NARA) Records Management Service model. While I've found no evidence of actual implantations of SOA to date for capturing records from such applications for accessioning into appropriate recordkeeping environments, I believe that it has great potential to do just that. Over the past two years, I have spoken to the most prolific author on the topic of SOA, Canadian Thomas Erl, and senior technical staff at IBM and elsewhere with the aim of arousing their interest in such a solution for electronic recordkeeping. This seminal paper on the subject will hopefully bring that time to fruition.   RB

See also, under McKemmish:  Archives: Recordkeeping in Society, by Sue McKemmish, Michael Piggott, Barbara Reed and Frank Upward, Editors.

 

 

Nicholas Ring, University of North Carolina (Chapel Hill), participant in Educating Stewards of Public Information Infrastructure (ESOPI2) dual degree fellowship program. "Best Practices for Electronic Communications Usage in North Carolina: Text and Instant Message," March,2012, published here with the kind permission of the author and Principal Investigators of the ESOPI2 program. Nick previously worked at the state headquarters for the American Civil Liberties Union of North Carolina, as well as the Central Intake Unit for Legal Aid of North Carolina. He is currently interning at the Government Records Branch of the Archives and Records Section, North Carolina Department of Cultural Resources. As part of his internship, Nick undertook a consulting study of text messages as records for the North Carolina Department of Cultural Resources. For bios of program participants, and information on participant availability,  contact Professor Helen Tibbo or Cal Lee, Asst. Professor and program PI and Co-PI respectively. 

 

David Roberts, CEO, State Records Authority, New South Wales, NSW, Australia, Archives Authority of New South Wales, Australia, "The New Australian Records Management Standard," a presentation at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997.

Papers by David Rothman, business and technology author, national coordinator of TeleRead and Managing Editor of Fee-Only Investor newsletter,  Windsor Asset Management.  

"Paper Hoarders vs. Byte Manipulators: Can We Reconcile Good Records Management With Good Information Management?"  An IT author and guru's guru speaks to the CIO community with a records management wakeup call.

"TeleRead: The Case for a Well-Stocked National Digital Library System for All," presentation at the Library of Congress, November 5, 2001.   

Papers by Gregory Sanford, former Vermont State Archivist, 

Final essay in "Voice from the Vault series: "In Search of Bunny Piper

"Archival Aerobics: Jogging the Institutional Memory," originally published in the New England Archives Newsletter, Sanford outlines the very innovative "Continuing Issues" program that he has initiated at the Vermont State Archives, now using web technology to support the Vermont State Legislature and public in dealing with current issues that have have a knowledge base in the State Archives from previous like situations. The Vermont State Archives is seeking to wed the archival concept of continuing value with the idea that there are continuing issues; issues that each generation has had to address within its own social expectations and fiscal realities.  As a society we have always grappled with economic development, taxation, education, public health, crime and punishment, and the tensions between the "freedom to" and the "freedom from."  Such issues are, unlike archival concepts, broadly understood. A special breed of knowledge-management practicing archivist, Gregory received the 2002 New England Archivists' Distinguished Service Award and the Vermont State Archives continuing issues section received the SAA's 2002 Hamer-Kegan Award for increasing public awareness of manuscripts and archives through publication.  This is the first time the Hamer-Kegan Award has been accorded a Web publication.

 Elizabeth Shepherd, Lecturer, Archives and Records Management and Geoffrey Yeo, Director, Masters Programme in Archives and Records Management, University College London, Managing Records: A Handbook of Principles and Practice, Facet Publishing, London and Neal-Schuman Publishers, Inc, New York,  2003. This book is based on its authors’ experience as practising professionals and educators. It describes and discusses the principles of records management and their practical implementation in contemporary organizations. It is probably the first book of its kind to give full and equal coverage to the management of both paper and electronic records. While addressing an English-speaking readership the book seeks to maintain an international perspective. It does not assume that readers will have any prior knowledge of the subject, but it is intended to be of value to experienced practitioners as well as newcomers to the field. Among other features of interest to established professionals, the book takes account of the latest work on electronic records management and proposes new models for organizational analysis and records classification. See the Table of Contents and Chapter 8: "Implementing Records Management: Practical and Managerial Issues."

Frans Smit, Manager of the Section of Archival Descriptions and Cataloguing, Municipal Archives of Amsterdam, "The Historical Data Warehouse," on adapting concepts from Information and Knowledge Management (IKM) and Information and Communication Technology (ICT) to organizing and giving access to metadata about historical archives and collections.

J. Timothy Sprehe, President, Sprehe Information Management Associates, Inc., "Analysis and Development of Model Quality Guidelines for Electronic Records Management on State and Federal Websites," a presentation at the NAGARA Conference on "Sustainable Change: Getting to the Heart of Our Challenges," July 16-19, 1997. 

Papers by Geoffrey Yeo, Lecturer in Archives and Records Management at University College
London.

"Records and Representations." This paper was given at the Conference on the Philosophy of the Archive in Edinburgh in April 2008. It is a counterpart to "'Concepts of Record: Evidence, Information, and Persistent Representations" by Geoffrey Yeo, published in the American Archivist, Vol. 70, No. 2 (2007)."   With Elizabeth Shepherd:

 Elizabeth Shepherd, Lecturer, Archives and Records Management and Geoffrey Yeo, Director, Masters Programme in Archives and Records Management, University College London, Managing Records: A Handbook of Principles and Practice, Facet Publishing, London and Neal-Schuman Publishers, Inc, New York,  2003. This book is based on its authors’ experience as practising professionals and educators. It describes and discusses the principles of records management and their practical implementation in contemporary organizations. It is probably the first book of its kind to give full and equal coverage to the management of both paper and electronic records. While addressing an English-speaking readership the book seeks to maintain an international perspective. It does not assume that readers will have any prior knowledge of the subject, but it is intended to be of value to experienced practitioners as well as newcomers to the field. Among other features of interest to established professionals, the book takes account of the latest work on electronic records management and proposes new models for organizational analysis and records classification. See the Table of Contents and Chapter 8: "Implementing Records Management: Practical and Managerial Issues."