Electronic Records Research 1997: Resource Materials

Compilation Copyright, Archives & Museum Informatics 1998
Article Copyright, Author

Bibliography on Electronic Records

Policies & Guidelines

Department of Health and Human Services. "Electronic Signatures: Electronic Records." Federal Register 59, no. 168 (31 August 1994): 45160.
(Summary taken from article).
The Food and Drug Administration (FDA) is proposing regulations that would, under certain circumstances, permit the agency to accept electronic signatures, and handwritten signatures executed to electronic records as generally equivalent to paper records and handwritten signatures executed on paper. These proposed regulations would apply to records when submitted in electronic form that are called for in Title 21 of the Code of Federal Regulations (CFR). The use of electronic forms of record keeping and submissions to FDA remains voluntary. This proposed rule is a follow-up to the agency's July 21, 1992, advance notice of proposed rulemaking (ANPRM). The intended effect of this proposed rule is to permit use of electronic technologies in a manner that is consistent with the FDA's overall mission and that preserves the integrity of the agency's enforcement activities. This proposed rule is also intended to assist in achieving the objectives of the Vice President's National Performance Review.

Fellowes Manufacturing Co. Records Management Handbook with Retention Schedules. Itasca, IL: Fellowes Manufacturing Co., 1986.
Step-by-step handbook outlining records management practices within Fellowes Manufacturing Co. including selected retention schedules.

Information Exchange Steering Committee. Management of Electronic Documents in the Australia Public Service: A Report Prepared by the IESC's Electronic Data Management Sub-Committee, Australian Government Publishing Service, Canberra, Australia, 1993.
This report is a set of guidelines for the effective management of electronic records. It describes "critical success factors:" 1) "agency commitment to cost-effective electronic information management for all platforms," 2) "a team of staff with the right mix of skills available to do the task," 3) "clearly defined and consistent agency-wide policies and procedures in place for staff to follow," 4) "easy access to agency standard information management tools," and 5) "security and privacy requirements incorporated into information management policies and procedures to ensure best practice." The remainder of the report describes the values of such records and basic management principles. The report is a good description of efforts by Australians to administer such records and it contains useful work-flow diagrams and other illustrations which will assist individuals and organizations considering the same issues. Perhaps of greatest value is its description of the "essential features of a corporate electronic document."

McConchie, Brenda. "Electronic Document Management and the Work of the IESC: Issues and Progress." Managing Electronic Records: Papers from a Workshop on Managing Electronic Records of Archival Value, eds. Dagmar Parer, and Ron Terry, 96-101. Sydney, New South Wales, Australia, 30 October 1992. Canberra, Australia: Australian Council of Archivists Inc. and Australian Society of Archivists Inc., April 1993.
The author reviews the work of the Electronic Data Management Subcommittee of the Information Exchange Steering Committee. She also discusses guidelines based on three principles: information is "managed according to its use withing the agency," "its life cycle," and "its value to the agency." [99].

National Computer Systems Laboratory, and National Institute of Standards and Technology (NIST). Framework and Policy Recommendations for the Exchange and Preservation of Electronic Records, by. Margaret Law, and Rosen Bruce K. Washington, DC, March 1989.
(Abstract taken from Executive Summary).
A major portion of this report discusses the internal electronic information management requirements that NARA must satisfy if it is to prevent the loss of its electronic information holdings. This report also points out that much of the descriptive information NARA must manage, must be provided to NARA from the originating agencies in a manner consistent with the policies that must be established by NARA. Also discussed is the additional complication that, constant changes in computer and storage technology will require that NARA constantly monitor, and be prepared to change its methods of storing, maintaining, and retrieving electronic record holdings. Finally, throughout this report various standards that now exist, or are expected to exist, are recommended for use by NARA in seeking solutions to the problems of receiving, storing, maintaining and retrieving electronic records. As an example of the application of these standards, a prototype software system for the exchange of documents produced under the different work processor systems, was also developed as part of this project.

New York State Archives and Records Administration - Center for Electronic Records. Accessioning Electronic Records: An Interim Procedural Manual and Guidelines. Albany, NY: New York State Archives and Records Administration, June 1992.
(Abstract taken from paper).
This manual contains procedural and related guidelines for the accessioning of electronic records by the State Archives and Records Administration (SARA). The manual is termed "interim" because it mostly applies to statistical data files. Accessioning practices for statistical data files are fairly standard in archival institutions. The procedures and guidelines in this manual are modeled after procedures used for statistical files by the National Archives and Records Administration, National Archives of Canada, Inter-University Consortium for Political and Social Research (ICPSR), and various university data archives. Accessioning procedures are not well established for textual files, software dependent databases, geographic information systems, and other electronic records produced by emerging technologies.

Parer, Dagmar. "Australian Archives -- Preserve Your Valuable Electronic Records." Electronic Records Management Program Strategies, 30-37. ed. Margaret Hedstrom. Archives and Museum Informatics Technical Report No. 18, Pittsburgh, PA: Archives and Museum Informatics, 1993.
Description of the Australian Archives' electronic records policy, consisting of four principles: appraisal of electronic records, monitoring and management over time, compliance with disposal authorities, and access over time.

Smithsonian Institution - Office of Information Resource Management. Data Administration Standards Manual. Washington, DC: Smithsonian Institution, October 1986.
(Abstract taken from introduction).
The purpose of the Data Administration (DA) Standards Manual is to document the function of Data Administration within the Smithsonian Institution. These standards address every aspect of Data Administration, its interdependence on other disciplines, and its interactions with various organizational functions. The objectives of this manual are: 1) to provide a conceptual framework for the Data Administration function, 2) to outline the responsibilities of Data Administration and provide guidelines for its interaction with other functions, 3) to document standards for data control and management throughout the Smithsonian and provide formal measures to assure standards compliance, and 4) to describe the tools used by data administration.

Speer, James Beryl. Functional File Classification: A Plan of Filing Correspondence and Other Papers According to the Functions, Tasks, or Activities of the Business. Missoula, MT: Montana State University, First Mimeographed Edition - August 1940.
This file manual, based on the functional classification of files, was used by the offices of Montana State University as a guide to classifying files at the university.

Sullivan, Dave. "Investigation into the Feasibility of Implementing the Guidelines on the Management of Electronic Records." Unpublished paper. Electronic Records Project Conference, Canberra, Australia, 22 May 1992. Canberra, Australia: Australian Archives, Dept. of Administrative Services, 22 May 1992.
The paper discusses the draft Guidelines for the Management of Electronic Records proposed by the Australian Archives. Specifically, it concentrates on Guidelines 3 and 6 and considers the Data Management aspects of the guidelines. Sullivan discusses concerns over both the existing arrangements and the proposed guidelines for long-term storage of information in data bases and user access to that data, as well as making recommendations on procedures that should be implemented to ensure the future access to current information.

United States Office of Management and Budget -- Executive Office of the President. "Management of Federal Information Resources." Federal Register (29 April 1992)
(Summary provided).
The Office of Management and Budget is revising Circular No. A-130, Management of Federal Information Resources. This notice proposes revisions concerning information management policy, including policies relating to information dissemination, records management, and cooperation with State and local governments.

Zazyczny, Joseph L. Management Directive: Electronic Records Management, Archival and Records Management Services, Harrisburg, PA, 15 November 1994.
(Abstract taken from Directive's Purpose and Objectives).
This Directive is to establish and clarify state records management policy with respect to the creation, use, maintenance, scheduling and disposition of electronic records. Its objectives are to: 1) ensure the efficient administration and management of electronic records and the preservation of those having long term and historical value; 2) identify and protect vital electronic records; and 3) ensure the accessibility of electronically-stored information in conformance with agency needs and records retention and disposition schedules.

Last Modified: 8/14/96 [kjb]

Bibliography on Electronic Records

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