File:  8000-38

	REPORT ON THE STATUS OF THE

	ELECTRONIC RECORDS PROGRAM

	AT THE NATIONAL ARCHIVES OF CANADA

	April 1996

	Prepared by:

	Ann Martin
	
	Government Archives Division

	1 April 1996

 	REPORT ON THE STATUS OF THE
	ELECTRONIC RECORDS PROGRAM
	AT THE NATIONAL ARCHIVES OF CANADA

	1 April 1996

Table of Contents

1.  INTRODUCTION	3
1.1  Methodology

2.  BACKGROUND AND CONTEXT	4
2.1  Background
2.2  Legislative and Policy Framework

3.  CURRENT NATIONAL ARCHIVES POLICIES AND PRACTICES	7
3.1  Acquisition of Federal Government Electronic Records
3.2  Leaving Records in Creating Institutions
3.3  Acquisition of Private Sector Electronic Records
3.4  Custody and Control of the Physical Record
3.5  MRA Legacy
3.6  Long-term Physical Preservation Format
3.7  Logical Storage Format and Systematic Migration
3.8  Description of Electronic Archival Holdings
3.9  Access to Electronic Holdings

4.  FUTURE DIRECTIONS	22

5.  CONCLUSIONS	23

Bibliography	24

Appendix I	28
List of Issues

Appendix II	32
Survey of Current NA Policies, Procedures and Initiatives Relating to Electronic Records

1.  INTRODUCTION.  INTRODUCTION

This report is the second of three studies designed to address the National Archives (hereafter NA) 1995-96 Strategic Priority B-3:   To develop a program for the acquisition and preservation of electronic records.  The purpose of this report is to review and assess current NA operations relating to archival electronic records including existing policies, procedures, and short-term plans.  It is intended to complement the report by Sheila Powell,  Elements of an Archival Electronic Records Program, which proposes and outlines various program alternatives for the preservation of archival electronic records.  Both reports provide the contextual information for a third report to be prepared by Margaret Hedstrom, which will examine program resource and policy implications.  These three reports will be summarized in an executive summary of recommendations for the Director-General, Archives and Government Records Branch (AGRB).

Given the transitional nature of the electronic records program at the NA , and that certain of its related practices have not been confirmed or are at the exploratory stage, some aspects of the current NA program could not legitimately be presented as established policies or procedures.  Absences of official policy, procedures, or other program anomalies are identified as issues which require resolution by the relevant operational areas.  The combined review of current practices and unresolved issues is intended to provide a comprehensive picture of the electronic records program at the NA.

1.1  Methodology.1  Methodology

In the preparation of this report, two information-gathering steps were taken.  First, the extant literature outlining approaches and strategies for electronic records programs was reviewed,  including details of electronic records programs at other archival institutions.  While informative, this research did not uncover any program models or strategies which could be applied at the NA.  Typically, much of this literature concentrates on the identification of strategic issues or offers statements of program vision without offering any concrete proposals for practical solutions.

Secondly, a questionnaire was developed to acquire information relating to NA practices.  The questions were designed to document current practices.  At the same time, they were sufficiently open-ended to elicit information on broader issues such as staff training and development.   Members of the AGRB Electronic Records Forum (ERF), representatives from the Custody of Holdings Division (CHD) and the Moving Image, Data and Audio Conservation Division (MIDAC) in the Archives Preservation Branch (APB), and the Electronic Systems Projects Division (ESPD) in the Information Management Branch (IMB) completed this "Survey of Current NA Policies, Procedures and Initiatives Relating to Electronic Records" in August 1995.  Members were instructed to complete the questionnaire and attach any relevant documentation by 8 September 1995.  Copies of the questionnaire and an invitation to discuss the topic were also forwarded to Researcher Services Division (RSD), Access to Information and Privacy Division (ATIPD), and the Library in Client Services and Communications Branch (CSCB) as well as Policy Branch.  The ERF subsequently met to discuss the responses and highlight the strengths and the weaknesses of the NA's current situation.  The responses to the questionnaires, the accompanying supporting documentation, and information obtained in subsequent interviews have been summarized in this report.  The report represents both a synthesis and an analysis of the information provided.

2.  BACKGROUND AND CONTEXT.  BACKGROUND AND CONTEXT

2.1  Background.1  Background

In 1973, the NA formed the Machine Readable Archives (MRA) with the mandate to “find and conserve” EDP information of historical value created in federal government departments and agencies.  Shortly after its creation, the Division's mandate was expanded to include electronic records of national significance created in the private sector, whether by individuals, associations, or organizations.  MRA was responsible for all facets of archival work associated with electronic records, including acquisition, processing, description, and reference.  Throughout its existence, most of the data acquired was of a statistical nature, such as social science survey data, reflecting the type of data being created.  The holdings of the Division came to resemble what we would now refer to as a data archives or data library.  

During these years, MRA was physically located at a site separate from the 395 Wellington St. building and operational links with the rest of the NA were weak.  Consequently, appraisal, acquisition, processing, description, and reference work were attended to, but not necessarily with a sense of the institution’s archival purpose.  A decade after its creation, MRA itself realized that its ad hoc approach to EDP records acquisition had become untenable and that its activities had to be more focused.   There was an attempt to become more systematic with the development of scheduling guidelines by the Automated Information Systems Unit.  This initiative was short-lived due to the 1986 reorganization that led to the dissolution of MRA.  The scheduling of automated records became the province of the Automated Information Systems Division (AISD), a division that shared this responsibility with another division responsible for paper-based records.  Throughout this period there was little integration of the two processes.  Appraisal and custodial functions became the responsibility of the newly formed Government Archives Division (GAD).
 
The reorganization also gave rise to unhappiness on the part of some staff.  Upon the disbandment of MRA and its amalgamation with the Federal Archives Division (FED) to create GAD, MRA staff were distributed amongst various other divisions within the NA.  While some staff felt they "landed on their feet," others felt alienated by the re-organization.  Regardless of personal feelings, the institution temporarily lost ground in terms of its focus, knowledge base, and enthusiasm for electronic records.

Most of the technical expertise located in MRA was transferred to GAD and the work accomplished was formally recognized with the creation in 1989 of the Electronic Systems Projects Unit.  The mandate of the unit was to assist archivists directly with the challenges associated with acquiring and processing electronic records.  The Unit was the technical backbone of the appraisal and processing functions for electronic government records.  As a result of discussions between the Director-General, Historical Resources Branch and the Director-General, Informatics and Records Services Branch, the National Archivist decided to transfer the Unit to the latter branch in 1992 where it became a division.  Since then, its mandate has expanded to include the provision of advice and support to GAD, Manuscript Division (MSS), RSD, and the ATIPD on the assessment, acquisition, processing, and distribution of electronic archival records.  Though work on electronic records never really stopped during this period, GAD was not processing records on a consistent basis and it was not until January 1995 that GAD began a concerted effort to process its holdings.  Meanwhile, MSS kept pace with the few electronic records it acquired after 1986, but did not address the unprocessed private records acquired during the MRA years.

With the adoption of a strategic approach to records acquisition by the NA in 1990-91, represented by Multi-Year Disposition Plans (MYDPs) negotiated with federal government institutions, the NA embarked on an acquisition program which targeted areas of the federal government that were considered to create or maintain records of high archival value.  For the first time, all media, including electronic records, would be appraised in context, leading to better appraisal decisions  and less custodial work.  One obvious result of this strategy was that for the first time electronic records of all types and formats relating to the federal government were to be appraised in a systematic fashion.

In the Visual and Sound Archives Division (VSA), the treatment of electronic records was approached differently.  The Geomatics Program was created in 1991 in response to the recommendations of the 1989 Geomatics report.  With the merger of parts of Cartographic and Architectural Archives (CAVA) and Documentary Art and Photography in  the 1993 reorganization, the Program was expanded to become the Electronic Records Acquisition and Research Section, with responsibility for all non-textual media electronic records.  VSA now has, in essence, the same structure as the former MRA, with all of the tasks associated with non-textual electronic records centred in one section of the division.  Staff in other areas are not involved in electronic records issues.

At present, five branches have the main responsibilities for electronic records.  Within these branches, at least eleven divisions carry out the tasks and functions required:  Information Management Standards and Practices Division (IMSP), Records Disposition Division (RDD), Government Archives Division (GAD), Visual and Sound Archives Division (VSA), and Manuscript Division (MSS) within AGRB;  Researcher Services Division (RSD)  and Access to Information and Privacy Division (ATIPD) within Client Services and Communications Branch (CSCB); Federal Record Centres (FRCs) within Management Services Branch (MSB); Custody of Holdings Division (CHD) and Copying Division (CD) within Archives Preservation Branch (APB); and Electronic Systems Projects Division (ESPD) in Information Management Branch (IMB).

•	Issue 1 - Interdependency of Work Within the NA

Many steps in the advice-appraisal-transfer-processing-storage-conservation-reference chain require the participation of several divisions.  This interdependency requires a commitment to, and an understanding of, shared corporate goals.

•	Issue 2 - Managerial Accountability

There is currently no accountability for the electronic records program as a whole.  Program accountability is a necessary component for evaluating the success, and the failures, of any process.

2.2  Legislative and Policy Framework.2  Legislative and Policy Framework

The legislative framework provided for the activities performed by the NA is the National Archives of Canada Act (1987), which states that the mandate of the institution is to

conserve private and public records of national significance and facilitate access thereto, to be the permanent repository of records of government institutions and of ministerial records, and to facilitate the management of records of government institutions.

Access to the archival records of most government institutions is governed by the Access to Information and Privacy Acts. These three acts provide much of the information management framework for the federal government.

In addition to formal legislation, the Treasury Board of Canada, through its Management of Government Information Holdings policy (1989), guides the management of federal government records.  The primary objective of this policy is to provide for the cost-effective and coordinated management of federal government information holdings in departments and agencies, including departmental corporations and branches designated as departments for purposes of the Financial Administration Act.  According to the policy, government departments must plan, direct, organize, and control information holdings throughout their life cycle, and maintain a current, comprehensive, and structured identification or classification system that provides effective means of organizing and locating information.

Many internal policy papers and procedural guidelines govern the management of the archival holdings of the NA.  Though several do refer specifically to electronic records, most address electronic records in a general way.  Given that these have been developed over a long period of time  in response to specific issues in different operational areas, there is no common philosophy or approach.  Consequently, policies and processes exist in isolation from each other.

3.  CURRENT NATIONAL ARCHIVES POLICIES AND PRACTICES.  CURRENT NATIONAL ARCHIVES POLICIES AND PRACTICES

3.1  Acquisition of Federal Government Electronic Records.1  Acquisition of Federal Government Electronic Records

Before records are brought under its custody and control, the NA works with federal government records creators through the establishment of information management standards, best practices, the provision of advice, and appraisal/disposition of the records.  It is hoped that working with the records creators "at the front end" will result in the acquisition of a better archival record when the records reach the disposition stage of their life cycle.   Establishing information management standards and best practices is carried out by the Information Management Standards and Practices Division (IMSP).  Recently, the division produced a draft framework for assisting institutions in the management of electronic records within an electronic work environment.  Entitled Guidelines on the Management of Electronic Records in the Electronic Work Environment, the package consists of the following elements:

· 	Electronic Work Environment (EWE) - Vision
· 	Record Keeping in the Electronic Work Environment - Vision
· 	Managing Shared Directories and Files
· 	Automated Records Management Systems (ARMS)
· 	Electronic Records Management Initiatives in the Canadian Federal Government - A  Directory
· 	E-Mail Policies in the Canadian Federal Government - A Directory

The two vision documents provide long-term objectives to guide IMSP's work with government institutions.  Specific issues are addressed in other documents produced by the division.  If successful, these will help shape the electronic records environment throughout the government and will potentially affect the nature and form of records acquired by the NA.

In addition to IMSP, five divisions (RDD, GAD, VSA, MSS, and FRCs) support and advise government institutions and ministers’ offices in the management of recorded information.  In their regular dealings with departments, staff are often called upon to respond to questions relating to both textual and electronic record keeping that arise in the "less than electronic" workplace.  RDD provides support to institutions as they prepare for the disposition of records and offers interpretations of disposition instruments and authorities that affect electronic records, while GAD and VSA provide advice concerning issues related to the actual transfer and description of electronic systems.  The FRCs also help interpret authorities and will perform “straight-forward” disposition on behalf of departments.  For its part, MSS provides advice to ministers’ offices. 

In effect, the NA provides various levels of advice to government institutions.  IMSP's work is concerned with providing short-term solutions as well as setting directions for the long-term.  RDD, GAD, VSA, the FRCs and MSS respond to immediate concerns within their jurisdictions.  It is possible, therefore, that all five divisions may be assisting the same institution at the same time, but at different levels, and with different projects.  For this reason, it is imperative that all five divisions provide advice based on the NA's recognized best practices.

•	Issue 3 - Co-ordination of Roles and Responsibilities Regarding the Provision of Advice

Consistency in the messages provided by IMSP, RDD, GAD, VSA, and the FRCs is required in order to ensure that regardless of the level at which the advice is given, it has the same end -- the acquisition of the best quality archival record.

•	Issue 4 - Provision of NA-Approved Advice

In assuming a leadership role, the NA must provide advice based upon approved policies and best practices.  These must address the current state of record keeping in the federal government.

3.1.2  Submissions and Appraisals3.1.2  Submissions and Appraisals
Federal government departments and agencies subject to the National Archives of Canada Act work with RDD to establish MYDPs.  Before the appraisal of the records (including electronic records) can begin, RDD analysts work with departments to prepare individual submissions which describe the functions and mandate of the records creators (usually a departmental branch or program area) as well as the records that are being appraised.  Though electronic records are often included in departmental submissions, the level of accuracy and detail regarding any particular system is determined by the adequacy of the department's own information management systems and the human resources available.  In departments in which the information is not forthcoming, creative solutions are encouraged to obtain a submission which will permit archivists to proceed with the appraisal.

There are numerous documents which guide archivists in their appraisal of electronic records.  In these, electronic records are not considered as "other records," but as part of the whole.  Providing that the electronic records under consideration have sufficient archival value to warrant preservation,  archivists recommend to the National Archivist that he designate such records as archival.  The terms and conditions of transfer either provide for the records to be transferred to the NA or to stay in the custody of the creator under a monitoring agreement.

Since the implementation of  multi-year disposition planning, a number of types of electronic records have been designated as archival and are scheduled to come to the NA:

•	simple databases
•	relational databases
•	word processing files
•	spreadsheets
•	correspondence tracking systems
•	data modelling systems
•	automated office systems
•	geographic information systems (GIS)
•	computer automated drawing (CAD)

This is only the beginning.  In the near future, archivists are expected to begin to appraise new types of electronic records.  Multi-media documents and systems, side-looking aperture radar (SLAR) imagery, synthetic aperture radar imagery, and digital imagery are examples of what will be encountered.

•	Issue 5 - Sharing of Appraisal Information and Decisions

With the MYDP process and the concept of macro-appraisal firmly in place, archivists and their supervisors are confident that they can appraise electronic records for their archival value.  However, with electronic records, the possibilities of different approaches to appraisal are much greater than for textual records.   Consequently, creative solutions and precedents must be shared within RDD, GAD, MSS, and VSA to ensure that archivists do not "reinvent the wheel" each time they appraise a new system.

3.1.3  Technical Appraisal3.1.3  Technical Appraisal

Once GAD archivists have determined that the information contained in a system has sufficient archival value, ESPD may be called upon to perform a technical appraisal.  The Electronic Acquisition and Research Section in VSA performs both archival and technical appraisals.  Technical appraisals document the operating system on which the records reside, the software used to create/modify the records, and the quantity of records to be transferred.  ESPD also identifies potential problems related to transfer to the NA.  Though past technical appraisals were not as detailed as they could have been, ESPD is now asked to assess file types, existing documentation (including metadata), original platform, technical description of the records, assess the readability of data, evaluate whether functionality will be preserved or lost and, ultimately, recommend whether the NA is in a position to accept, refuse or monitor the records from a purely technological perspective.  It is hoped that a more thorough investigation of systems at the appraisal phase will solve custodial problems experienced by the NA in the past, such as acquiring unreadable data, insufficiently documented systems, or the transfer of data other than that identified during the archival appraisal.

•	Issue 6 - Requirement for Detailed Technical Appraisals

The amount and type of information collected in the technical appraisal has an impact on the amount of time spent processing, selecting, arranging, and describing electronic systems.  The body of knowledge collected and analysed at the technical appraisal stage must be sufficient to expedite the processing of records.

3.1.4  Terms and Conditions of Transfer3.1.4  Terms and Conditions of Transfer
Despite the fact that the NA has been acquiring electronic records for two decades, archivists have had very little experience in writing precise terms and conditions of transfer for electronic records other than to recommend their transfer in a software-independent format (flat ASCII).  With the NA’s current policy of acquiring records in their native format (i.e. in the software in which they were created), archivists must begin to develop more sophisticated terms and conditions of transfer that accurately describe not only the records, but also the environment from and in which they are being transferred.  The consequence of not knowing exactly what is arriving and on which transfer media has had a direct impact on our ability to verify, process, and describe the records.  Though there is a "Checklist for Archival Agreements and Terms and Conditions," it does not go far enough in defining terms of transfer for electronic records.  In future, terms and conditions should document exactly how the transfer will take place both in terms of selection of the data and technical issues based on the way applications currently run.  In addition, the NA must decide exactly how it wishes to accumulate accretions of electronic records from on-going systems in order to determine the level of software-dependent functionality it is willing to support.

VSA has had relatively fewer problems related to the transfer of data, mostly due to extensive transfer protocols which are the industry standard for exchange of GIS information.  These transfers, however, are never simple and each transfer presents its own complexities.  Transfer of GIS information presents the most challenges and it is unlikely that other digital media forms will be more complex.

•	Issue 7 - Defining Specific Terms and Methods of Transfer

Though the terms and conditions of transfer allow for the method of transfer to change due to technological advances, in both the originating agency and the NA, the terms of transfer should specify the manner in which the transfer to the NA will be accomplished.  This will depend on the NA's decisions about the desired level of functionality of electronic records transferred to its custody and control.

3.2  Leaving Records in Creating Institutions.2  Leaving Records in Creating Institutions

There are circumstances when the NA may decide to leave electronic records identified as archival in creating institutions.  Cost of transfer of the records, software copyright, data complexity, software/hardware dependency, continuing long-term operational need on the part of the creator, circumstances where the creator can best provide reference services, or statutory provisions which prevent transfer to the NA are all examples of situations which might lead to electronic records being left with their creating institutions.  In such situations, the NA intends to monitor the maintenance of these records to ensure that they are not threatened and that appropriate preservation standards are enforced.  To date, the NA has signed several monitoring agreements which include electronic records.

Though the NA has a policy on monitoring, there are no established procedures for carrying out the work flowing from it.  Though a draft discussion methodology for monitoring electronic records has been presented, comprehensive monitoring guidelines have yet to be developed within AGRB.

•	Issue 8 - Development of Monitoring Guidelines

The implementation of the policy to leave electronic records in creating institutions is dependent upon guidelines that indicate how monitoring agreements would be implemented and enforced.

3.3  Acquisition of Private Sector Electronic Records.3  Acquisition of Private Sector Electronic Records

The NA has been acquiring private sector electronic records almost since the inception of MRA.  As with government records, the majority of private sector electronic records acquired by MRA consist of statistical and social science databases.  These originated from a variety of non-governmental sources, such as the Addiction Research Foundation, the Maritime History Group, Memorial University of Newfoundland, and the Canadian Institute of Public Opinion (Canadian Gallup Polls).  Of the electronic records originally accessioned by MRA, MSS is currently responsible for 64 of approximately 2,500 "G000s" or datasets belonging to at least 15 different fonds.

Since 1986, MSS has continued to acquire electronic archival records, principally of individuals, in 19 additional fonds.  Ministerial records are subject to the disposal and transfer provisions of the National Archives of Canada Act and acquisitions are usually made during a change of government.  Records of outgoing government officials are acquired amidst the haste and disorder which accompany a change of government, and acquiring the records, regardless of media, can be a challenge.  In order to assist ministers in the arrangement and classification of their records, the NA developed Guidelines for Managing Recorded Information in a Minister's Office (1992).  This publication has three paragraphs on electronic records, all of which refer to electronic correspondence tracking systems.  This does not address all the issues surrounding the various types of electronic records created and maintained in ministers' offices.

Other private sector records exist outside of federal government legislation and are acquired as a result of negotiations between the NA and the donor.  As a result, acquisition tends to be less systematic.  Once electronic records of archival value have been identified, new challenges are presented since electronic records created by individuals and organizations are often organized in personal, idiosyncratic ways.  Archivists must appraise and process records as they are presented to the archives by the donor.  These may or may not include contextual information explaining the manner in which the records were created or used.  With much of the research on electronic records focusing on public records, more research on private electronic records issues is needed to identify appropriate acquisition, arrangement, and description practices.

MSS also provides two services to potential donors in order to encourage the eventual donation of records to the NA.  A deposit service (i.e. storage) is provided to political figures, now ministers, in the hope that the NA will be the recipient of their private papers.  While this system has worked well for textual documents, electronic records have suffered due to the fact that they have remained in boxes.  The NA needs to ensure proper conditions for the storage of these records.  It may also be necessary  during the time the records are on deposit to copy or migrate them in order to ensure that they remain readable.  MSS is investigating the possibility of an Electronic Deposit System which would permit the accessioning, copying, and migration of electronic records.

Secondly, MSS prepares records for presentation to the National Archives Appraisal Board (NAAB).  As part of this process, the "Deed of Gift" governing the legal transfer of material to the NA must indicate exactly what is being donated, both in terms of content and extent.  Once the transfer has been effected, the NA must process, describe, and present both the material and sufficient contextual information to NAAB for it to evaluate the records for tax purposes.

•	Issue 9 - Pro-active Acquisition of Textual Private Sector Electronic Records

Acquiring electronic records in the private sector presents a challenge since these records are not subject to consistent disposition procedures.  Regardless of the donor, MSS archivists must be active in looking for electronic records in what were previously wholly textual environments.  In addition, MSS must be prepared to extract the information from these systems to ensure that the NA receives the records of highest archival value.

•	Issue 10 - Deposit System for Electronic Records

The NA must ensure that electronic records on deposit are stored and maintained in a way that will ensure their long-term readability and accessibility.  If the NA cannot read the records, they cannot be accessioned as archival records when the donor is ready to transfer them to the NA.

3.4  Custody and Control of the Physical Record.4  Custody and Control of the Physical Record

3.4.1  Transfer from Government Agencies3.4.1  Transfer from Government Agencies

Most electronic records which have archival value are transferred to the NA according to the terms and conditions of transfer.  Though the terms and conditions specify the way in which the data should be transferred, to date no terms and conditions have specified the actual method of physical transfer.  In the past, transfers have occurred in various ways, all ad hoc, with very few procedures.  GAD is making a first attempt at identifying the steps necessary to transfer electronic records, but implementing the actual transfer is dependent upon each archivist's level of comfort concerning physical formats, operating systems, copying programs, encoding systems, "header" information, etc.  If the archivist is not knowledgeable enough to complete the transfer, GAD's E/R Officer or ESPD must assist with the transfer.

The difficulties which we are now experiencing with transfers are the result of imprecise terms and conditions of transfer.  Transferring agencies currently do not have to inform the NA that it is currently preparing records for transfer or state how the records will be transferred. To date, few records have been transferred electronically, but we expect this situation will change in the near future.

3.4.2  Accessioning and Processing3.4.2  Accessioning and Processing

Upon arrival at the NA, CHD completes the "Accession Notification Form" (ARC 330) and archivists are informed that the records have arrived.  This is common for all three divisions within AGRB which have electronic holdings.  The first stage of processing involves copying the data from the copy provided by the department/donor to the NA's own on-line storage space.  Once a working copy of the records has been made, ESPD confirms that the records can be opened and decoded.  VSA, GAD, and MSS archivists return the transfer media to the donor or place the transferring media in the MIDAC “scratch pool” for disposal.

At this stage, archivists should be able to confirm that the records are indeed those that were identified as archival during the appraisal.  In order to accomplish this, archivists must have independent access to the data.  In 1995, GAD and ESPD agreed that GAD archivists would have access to the ESPD "N" drive in order to view the records.  To date, not all of the archivists have been connected.  None of the archivists in MSS have this capability.

In VSA, archivists transfer copies of the incoming data to a 8mm data tape and produce preliminary descriptions of the logical and physical arrangement of the records/files according to the Canadian Inter-Agency Committee on Geomatics (IACG) directory standards for the description of datasets/databases.  All verification of the logical and physical arrangement and supporting documentation, whether electronic or textual, is also done within VSA.

Data validation is the second part of processing.  This involves confirming the frequency of data in fields and the accuracy of the codebooks provided -- both important steps particularly when the NA expects to receive accruals from on-going, and constantly changing, departmental systems.  Despite knowing how to validate the records, the NA does not possess appropriate tools to accomplish this.  Instead, NA archivists must assume that the codified data and database structure matches the department’s description of what it transferred.  Upon completion of the processing, the copy of the processed record is transferred to APB where CD manages the preservation copying program.

For both public and private records, the NA must be able to complete the processing stage as quickly as possible.  With public records, the NA has a legislative requirement to respond to formal Access to Information and Privacy requests.  With respect to private records, MSS must be able to arrange and describe the records sufficiently to legally acquire the records and complete the "Deed of Gift."  In the case of records being presented before the National Archives Appraisal Board, not only do the records need to be processed, arranged, and described, there must also be a way of re-presenting them to the Board.  In addition, since the NA tries to ensure that tax receipts are issued in the year in which the donation was made, strict deadlines are imposed on their processing.

It must be noted that unlike other media, most of the NA’s technical capability for processing textual electronic records lies not within AGRB, but within IMB.  The resources available for providing technical appraisals during the archival appraisal of the records, processing archival records upon accessioning, transferring masters to APB, and processing requests by researchers for electronic holdings, are centred in a division whose tasks now often venture far beyond the handling of electronic records.  During the past year, ESPD has been involved in a variety of projects which, though part of its IMB mandate, are not related to the acquisition or processing of electronic archival holdings, as was its sole focus until 1992.

•	Issue 11 - Delay in Processing Records

Electronic records, particularly in GAD and MSS where there is a great diversity of systems, are taking a long time to process.  Delays in processing only delay the identification of other problems (eg. the records are not those which were identified for transfer, the data is unreadable or the NA does not possess the appropriate hardware and software to run the system)  which may have occurred at time of transfer.

•	Issue 12 - Development of Proficiency in Processing Records

NA archivists and technical staff must develop expertise in accessioning, verifying, selecting, and arranging electronic archival records using a variety of tools.  Technical capabilities (eg. hardware, software, links to appropriate servers) must be available to archivists at all times.

•	Issue 13 - Providing Access to Technical Expertise

Though most of the technical resources associated with processing electronic records are located in a branch other than AGRB, they must be available to GAD and MSS archivists when the electronic holdings are ready to be processed.

3.4.3  Preservation and Copying3.4.3  Preservation and Copying

MIDAC used to be solely responsible for providing the long-term preservation of electronic records.  With APB in the midst of implementing the 1993 re-organization, it appears that there will be two divisions responsible for the functions that were carried out by MIDAC.  CHD and CD are in the process of determining the jurisdiction under which each of the preservation functions related to electronic records will fall.  Regardless of how the responsibilities are divided, it is likely that the processes will remain similar to the ones now in place.

Once the Requisition for Electronic Records Services form (ARC 1148) has been received by APB, the request is entered into the MINISIS TAPE database and a specific tape number (P or PA number) is assigned.  This record is verified with the textual description in the MRDF (Machine Readable Database File) database and a GOO number or accession number is acquired.  One MRDF description can have many physical copies attached to it.  After it is determined that the tape in hand matches the description in the MRDF database, the files from GAD, VSA, MSS, and PCD are copied onto a preservation format.  Both VSA and ESPD (on behalf of GAD and MSS) currently use 8mm cassettes; this tape becomes copy number 1. CD makes a second 8 mm cassette; this becomes copy number 2 and is stored off-site.  While the 8mm format has never been officially approved as the NA’s physical preservation format, it is preferable to the obsolete STORLORD optical disk .

•	Issue 14 - Preservation on Different Physical Storage Formats

Currently, the NA is storing both copy 1 and copy 2 on 8mm tape.  This is contrary to the 1992 Working Group on Conservation Standards and Technologies' recommendation to use two different physical storage formats.

3.4.4	Tape Destruction3.4.4	Tape Destruction

The NA destroys electronic records under its "Internal Generic Authorities by Record Type" procedures which authorize the destruction of:

Electronic records for which it is logically and/or physically impossible to retrieve the information, or which has been copied to an archival format and the original is no longer required.

Over the years, MIDAC accumulated old copies of tapes which were both redundant and obsolete.  In fact, every time a tape was recopied, the obsolete copy remained in the holdings.  On behalf of AGRB, GAD has agreed to review all copies in order to identify the single “master” and “off-site” copies which should be kept.  To date, this initiative has resulted in the identification of 1,952 magnetic tapes which can be destroyed.  In each case, the data files have been copied to optical disk and an additional tape copy also exists.  This is the beginning of a review of existing magnetic tapes of GAD, MSS, and VSA holdings;  there will likely be hundreds of duplicate tapes destroyed.  An on-going destruction program linked to the copying program should prevent this situation from arising in the future.

•	Issue 15 - Ongoing and Retrospective Tape Destruction

Although the identification of obsolete tapes has begun, it is an extensive task to look at each GOO and its attached tapes.  In addition, approximately 4,000 tapes that are not attached to any GOO description will need to be evaluated and either provided with descriptions or disposed of.

3.5  MRA Legacy.5  MRA Legacy

Despite the fact that MRA was disbanded in 1986, there remains a considerable backlog of material acquired by  MRA which is in various stages of processing.  In some cases, it may be that the material should be re-appraised in light of current archival thinking in order to confirm its archival value.  Once the archival value and readability of the electronic records have been confirmed, the records must be processed and the administrative documentation files updated.  Part of this clean-up work will include making a decision on the utility of preserving approximately 500 boxes of documentation (publications, survey questionnaires, punch cards, etc.) currently being stored in Renfrew.

•	Issue 16 - Processing the MRA Legacy

For those electronic records originally accessioned by MRA which, upon reflection, do have archival value, there must be a commitment of time and resources in order to bring these records under control and make them accessible to researchers.

3.6  Long-term Physical Preservation Format.6  Long-term Physical Preservation Format

In June of 1992, the Working Group on Conservation Standards and Technologies, a sub-group of the Electronic Records Co-ordination Committee (ERCC), produced a report on physical storage format standards to be used at the NA for the acquisition, processing, and long-term preservation of electronic records.  At the time, it was recognized that STORLORD, the NA's official optical disk system, was obsolete, as the manufacturer had released an up-graded model of the disk drive which did not allow for upward compatibility.  The report of the Working Group concluded that "no single technology can be selected at this time to serve as a long-term preservation media format."  The report also concluded that the NA should expect to copy its electronic holdings from one physical format to another at least every decade. 

Since that time, the NA has been moving its data onto 8mm tapes because data files, particularly GIS, require a significantly higher storage capacity format.  Holdings are stored on  12" WORM [Write-Once, Read Many] disks, 9-track tapes, and 8mm tapes.  The records stored on 9-track tape are "refreshed," that is, copied to new stock on a regular cycle.  During this process, no changes are made to the record or the method in which they are stored.  APB is currently studying digital formats which may be able to store audio, as well as archival electronic holdings.  In light of the fact that technology is changing at an unprecedented rate, it is expected that the search for replacement formats will be ongoing.

•	Issue 17 - Choosing a Long-term Physical Preservation Format

The NA will be choosing “long-term” physical preservation formats.  Once a choice has been made, the NA will be in a better position to forecast costs associated with the preservation copying program.  Planning for new physical formats will be an on-going concern if the institution is to keep pace with technology.

3.7  Logical Storage Format and Systematic Migration.7  Logical Storage Format and Systematic Migration

Logical storage refers to the layers of software which support document creation in electronic environments such as operating systems (eg. DOS), coding schemes (eg. ASCII), proprietary software packages, and copying programs.  The current practice of the NA is to store textual electronic records in their "native format" (i.e. dependent on the software in which they were created).  This, in turn, means that the NA has a requirement to be able to operate and read electronic records in a variety of proprietary software environments.  In theory, this could lead to a situation where the NA would be forced to maintain a "museum" of obsolete software and the hardware required to run them.  For example, many of the automated records of the Trade Negotiation Office (TNO) are in WordPerfect 4.2.  We have, for the moment, the ability to open and read these files, but it is easy to imagine that this will not always be the case.  Within the NA, there is no systematic tracking of the various software used to create electronic records and by extension, what kinds of viewers, software, hardware, etc. are necessary to read the data.  The NA has not yet addressed the question of the cost of operating such a museum.

One alternative approach is to depend upon so-called document "viewers" which have the ability to read many types of proprietary software packages.  Document viewers contain “drivers” which support specific versions of proprietary software packages.  For some time now, the NA has depended on Lotus Corporation's "Magellan" software to view word processed records acquired to date.  If the NA plans to continue depending upon viewing software, it must find a replacement for Magellan.  Lotus Corporation no longer supports this software and, furthermore, new software drivers have not been added (eg. WordPerfect 5.0 is the most recent release of WordPerfect supported by Magellan).

Another alternative would be to identify and adopt a "neutral" encoding scheme (eg. ASCII, Standard Generalized Markup Language (SGML), Hyper-Text Markup Language (HTML), and Postscript) which would not depend on proprietary software packages.  Though this would free the NA from its dependency on a wide range of proprietary software, it may not be cost-effective to convert all electronic holdings to this type of logical storage format.

It is clear that in the future the records must be migrated from obsolete software to something supported in the marketplace.  It is also recognized that each migration entails some loss of content and structure.  The NA must, however, begin to weigh the disadvantages of migration (and some loss of context) vs. non-migration (loss of the ability to read the record itself).

A final issue related to logical storage format is that of copying programs used to generate preservation copies internally that are also subject to hardware and software dependencies.  As technology changes, the NA must ensure that new software used to copy electronic holdings can accommodate data which was copied in the past without changing the data in any way.

•	Issue 18 - Systematic Tracking of "Native Formats"

The NA does not currently track the type of software used to generate our electronic holdings.  Consequently, it is ill-equipped to decide what types of hardware and software capabilities are required to support the holdings.

•	Issue 19 - Choosing a Logical Storage Format and Migration Strategy

The NA must continue to investigate logical storage formats and identify a long-term strategy for viewing, operating, and migrating electronic records which have been acquired to date, as well as those that will be acquired in the near future.

3.8  Description of Electronic Archival Holdings.8  Description of Electronic Archival Holdings

At the moment, GAD, MSS, and VSA describe their electronic holdings in various divisional databases and at various levels (usually the fonds or the series); however, descriptions of electronic holdings are rarely found alongside textual ones.  With the introduction of the MIKAN system which will hold multi-level descriptions of all of the NA's holdings, it is intended that descriptions of archival records in all media will be integrated.

It had been expected that the draft Chapter 9 of the Rules for Archival Description (RAD), "Electronic Records," would be the standard which would guide the description of electronic records.  However, it has not yet been accepted by the Planning Committee on Descriptive Standards (PCDS) of the Bureau of Canadian Archives.  Given that the NA is one of the few Canadian archival institutions to have electronic records other than data files in its holdings, it may be necessary to develop internal descriptive policies and procedures.  The draft Chapter 9 could serve as a basis for this.

•	Issue 20 - Description of Electronic Records

Description of electronic records must be in a RAD-compliant manner in order for them to be included in the multi-level, multiple-media descriptions of our holdings.

3.9  Access to Electronic Holdings.9  Access to Electronic Holdings

In the past, those interested in the electronic holdings of the NA were primarily researchers who wanted a copy of the data in order to manipulate it for their own statistical purposes.  MRA provided these few researchers with a complete copy of the database, usually in a flat ASCII file, as well as photocopies of any documentation needed to run the system and decode the data.  Though the number of researchers seeking access to electronic archival holdings is small, it will only be a matter of time before requests for access to electronic holdings become routine, particularly since records once found in textual form are now being created electronically.

Currently, requests for electronic holdings are considered specialized reference requests and are handled by AGRB archivists.  When necessary, the archivists work in conjunction with ESPD to ensure that researchers receive the information and/or products requested.  This system of  processing requests is only adequate when there are few requests and archivists have the time required to respond to them.  It is also acknowledged that the NA is now accomodating those researchers who do not know how to access electronic records, or do not possess the ability to work with the records independently.

Alternatives to labour-intensive reference work include providing public use copies of databases and automated office system records.  GAD is investigating the use of public use copies of databases to present the data in a way which restricts access to those fields which contain information (eg. personal information) that could not be released under the ATIP legislation.  Recreating the automated office system on a network server as the electronic documents are opened would also provide researchers with the oppportunity to consult records which have previously been reviewed and opened.

•	Issue 21 -Establishing Standards for Access to Electronic Records

The establishment of reference standards for electronic records will enable the NA to provide access to electronic records in a more systematic fashion.

•	Issue 22 - Delivery of Reference Services  

Electronic records offer new possibilites for the delivery of reference services.  Concepts such as public use databases and on-line transfer of data are two examples of resource efficient delivery mechanisms. 

4.  FUTURE DIRECTIONS.  FUTURE DIRECTIONS

In addition to the operational issues noted above, there were several themes which surfaced from the results of the survey and subsequent discussions amongst NA staff.

•	Development of Corporate Mission and Priorities

Though front-line staff revealed a committment to electronic records in their individuals areas, a lack of common, corporate goals was noted.  Participants suggested that the NA ought to define its electronic records goals in order to develop a mechanism whereby separate organizational entities can work towards a common goal.

•	Staff Training and Development

The responses to the questionnaire revealed that a relatively small number of staff give papers and attend conferences on electronic records.  While it is acknowledged that these opportunities arise from their exposure to and knowledge of electronic records issues, more NA staff need to be encouraged to “learn, present, and publish” in order to broaden the NA’s knowledge.  A number of ways were suggested to increase the knowledge and confidence of staff, such as more oppportunities for conference attendance, better distribution of conference papers given by NA staff, electronic records seminars such as those in GAD, and improved access to information resources on trends in electronic records.

•	Strategic Research in Electronic Records Issues

There was widespread recognition that strategic research in electronic records issues would allow the NA to anticipate developments in the creation, use, and storage of electronic records.  Past and current NA projects such as IMOSA, the Electronic Work Environment initiative, and the revision of the Government Records Disposition Schedule (GRDS) are examples of such research.  Many areas still require research, such as physical preservation and logical storage formats and methods of providing access to archival electronic records.

5.  CONCLUSIONS.  CONCLUSIONS

The findings in this report reveal that the NA is in the process of maturing to a new stage in its management of archival electronic records.  From the experience of working with electronic records for the past 20 years comes the confidence that the NA can design an integrated electronic records program which takes into account our past as well as our future.  The issues identified in this report do constitute a major challenge, but they reflect the institution’s determination to achieve a level of competency and effectiveness in managing what has become an important part of our work.

With the division of responsibilities amongst the five branches and eleven divisions, the corporate structure and culture cannot be ignored.  Branches and divsions involved in the preservation of electronic records must be able to look beyond individual mandates and priorities towards shared institutional goals.  Given the complicated network of inter-dependencies, effective coordination is essential if the NA is to establish priorities and allocate resources to a seamless, integrated program where staff with expertise work towards preserving electronic records.

	BibliographyBibliography

Cook, Terry,  The Archival Appraisal of Records Containing Personal Information:  A RAMP Study with Guidelines, PGI-91/WS/3, Paris:  UNESCO, 1991.

Cook, Terry, "Easy to Byte, Harder to Chew: The Second Generation of Electronic Records Archives," Archivaria 33 (winter 1991-92), pp. 202-216.

----------, “It’s 10 O’Clock -- Do You Know Where Your Data Are?” Technology Review (January 1995), pp. 48-53. 

“The Machine Readable Archives:  The First Ten Years and Beyond,” Machine Readable Archives Bulletin, vol. 1 no. 1, spring 1983.

Internal Documents

Brown, David, Control of Archival Electronic Records and Finding Aids, [Ottawa: National Archives of Canada], 24 November 1994. 5p.

----------, Procedure for the Processing of Electronic Data, [Ottawa: National Archives of Canada], n.d. 10p.

----------, Report on Geomatics for the National Archives of Canada, [Ottawa: National Archives of Canada], November 1989, 50p.

Cook, Terry, An Appraisal Methodology: Guidelines for Performing an Archival Appraisal,  [Ottawa: National Archives of Canada], 31 December 1991, Third Draft, 11p.

Cook, Terry, Introduction to Appraisal (Emphasizing Electronic Records), [Ottawa: National Archives of Canada], February [1994].

Cook, Terry, Leaving Archival Electronic Records in Institutions, Policy and Monitoring Arrangements, [Ottawa:  National Archives of Canada], November 1993, np. 

Division des manuscrits, Sondage - Documents Informatiques, [Ottawa: National Archives of Canada], [September 1995], 9p., (File 8000-1).

Electronic Records - APB Approach, [Notes from meeting, April 5/95], [Ottawa: National Archives of Canada], 5 April 1995.

Durance, Cynthia, Strategic Planning Framework Study for the Disposition of Government Records, [Ottawa: National Archives of Canada], 30 January 1989.

[Government Archives Division], Acquisition Issues Relating to Electronic Records, [Ottawa: National Archives of Canada], October 1989. 18p.

----------, Government Archives Division Issues Relating to Electronic Records,  [Ottawa: National Archives of Canada, 10 July 1992], 16p.

----------, Listing of Data Files Accessioned From April 1, 1990 to July 29, 1995 (by Accession Number), [Ottawa: National Archives of Canada, 19 July 1995]. (File 9540-1). 

----------, Procedures (so far) Relating to Electronic Records, [Ottawa: National Archives of Canada], Draft 3, 20 July 1995, (File 9540-1). 

----------, Steps Involved in the Control of Electronic Records, [Ottawa: National Archives of Canada, n.d.]

----------, Transfer of Electronic Records to National Archives, [Ottawa: National Archives of Canada], Revised: 10 November 1995, (File 9540-1). 

Hackett, Yvette, Electronic Records Procedures and Systems in the Government Archives Division: Status Report,  [Ottawa: National Archives of Canada], 11 January 1994, 15p.

----------, Current Status of the Electronic Records Program, [Ottawa: National Archives of Canada], 21 March 1995.

Informatics and Records Services, Filing of electronic documents, Bulletin 95-1, Ottawa:   National Archives of Canada, 31 January 1995.

Maddocks, Roy, Literature and Documentation on The Management and Preservation of Government Electronic Records in Office Automation Systems, National Archives of Canada,  [Ottawa:  National Archives of Canada], n.d.

Moving Image and Sound Archives, [National Archives of Canada], Guidelines on Appraisal,  [Ottawa:  National Archives of Canada], October 1990, 21p.

O’Brien, J.W.,  Government Archives Division, Appraisal Criteria, [Ottawa:  National Archives of Canada], 18 May 1990, 28p.

Paquet, Lucie,  Les documents informatiques à la division des manuscrits, [Ottawa:  National Archives of Canada], September 1995, 31p., (File 8000-1). 

----------, Les archives informatiques à la division des manuscrits: Plan d’action, [Ottawa:  National Archives of Canada, Juin 1995], 4p., (File 8000-1).

Powell, Sheila,  Elements of an Integrated Archival Electronic Records Program, [Ottawa:   National Archives of Canada], 15 November 1995, 35p., (File 8000-38).

Procedures and Initiatives Relating to Electronic Records: MIDAC,  [Ottawa:  National Archives of Canada], 1995. 

Procedures for Destruction and Disposal of Records Under the Control of the National Archives of Canada,   [Ottawa:  National Archives of Canada], 29 March 1994, (File 6238-0).

Records Disposition Division, Government-Wide Plan for the Disposition of Records, Version 2: 1994,  [Ottawa:  National Archives of Canada, n.d.],  10p.

[Records Disposition Division],  Checklist: Archival Agreement, and Terms and Conditions,  [Ottawa:  National Archives of Canada], 4 October 1993.

----------,  RDD, GAD, and VSA Guidelines: Direct Transfer Criteria for Records not covered by a Disposition Authority including Records of Defunct Agencies,  [Ottawa:  National Archives of Canada, 1995].

----------,  Record of RDD-VSA Agreement: Planned Approach to Records Disposition,  [Ottawa:  National Archives of Canada], 4 October 1993. 

Records in Ministers’ Offices - Roles and Responsibilities,  [Ottawa:  National Archives of Canada], 15 February 1994, 3p.

----------,  Submission Processing & Control Within the National Archives,  Revised: Version 7,  [Ottawa:  National Archives of Canada], January 1996.

Report and Recommendations of the Work Group on Requirements of Submissions, Archival Appraisal and Authorities,   [Ottawa:  National Archives of Canada, n.d.], 8p.

Report of the Multi-year Records Disposition Plan Work Group, [Ottawa:  National Archives of Canada, 1991], 14p.

Report of the Working Group on Conservation Standards and Technologies, [Ottawa:  National Archives of Canada], 1992, 36 p., (File 1135-E18). 

A revised approach to research in support of development of Multi-year Records Disposition Plans,   [Ottawa:  National Archives of Canada], Draft, 9 June 1992,  11p., (File 6235-2).

Taylor-Munro, Doug,  Interim Report on a Logical Format for Long-Term Storage of Electronic Documents,  Draft,  [Ottawa:  National Archives of Canada], 14 December 1995.

	Appendix II

	List of Issuesof Issues

•	Issue 1 - Interdependency of Work Within the NA

Many steps in the advice-appraisal-transfer-processing-storage-conservation-reference chain require the participation of several divisions.  This interdependency requires a commitment to, and an understanding of, shared corporate goals.

•	Issue 2 - Managerial Accountability

There is currently no accountability for the electronic records program as a whole.  Program accountability is a necessary component for evaluating the success, and the failures, of any process.

•	Issue 3 - Co-ordination of Roles and Responsibilities Regarding the Provision of Advice

Consistency in the messages provided by IMSP, RDD, GAD, VSA, and the FRCs is required in order to ensure that regardless of the level at which the advice is given, it has the same end -- the acquisition of the best quality archival record.

•	Issue 4 - Provision of NA-Approved Advice

In assuming a leadership role, the NA must provide advice based upon approved policies and best practices.  These must address the current state of record keeping in the federal government.

•	Issue 5 - Sharing of Appraisal Information and Decisions

With the MYDP process and the concept of macro-appraisal firmly in place, archivists and their supervisors are confident that they can appraise electronic records for their archival value.  However, with electronic records, the possibilities of different approaches to appraisal are much greater than for textual records.   Consequently, creative solutions and precedents must be shared within RDD, GAD, MSS, and VSA to ensure that archivists do not "reinvent the wheel" each time they appraise a new system.

•	Issue 6 - Requirement for Detailed Technical Appraisals

The amount and type of information collected in the technical appraisal has an impact on the amount of time spent processing, selecting, arranging, and describing electronic systems.  The body of knowledge collected and analysed at the technical appraisal stage must be sufficient to expedite the processing of records.

•	Issue 7 - Defining Specific Terms and Methods of Transfer

Though the terms and conditions of transfer allow for the method of transfer to change due to technological advances in both the originating agency and the NA, the terms of transfer should specify the manner in which the transfer to the NA will be accomplished.  This will depend on the NA's decisions about the desired level of functionality of electronic records transferred to its custody and control.

•	Issue 8 - Development of Monitoring Guidelines

The implementation of the policy to leave electronic records in creating institutions is dependent upon guidelines that indicate how monitoring agreements would be implemented and enforced.

•	Issue 9 - Pro-active Acquisition of Textual Private Sector Electronic Records

Acquiring electronic records in the private sector presents a challenge since these records are not subject to consistent disposition procedures.  Regardless of the donor, MSS archivists must be active in looking for electronic records in what were previously wholly textual environments.  In addition, MSS must be prepared to extract the information from these systems to ensure that the NA receives the records of highest archival value.

•	Issue 10 - Deposit System for Electronic Records

The NA must ensure that electronic records on deposit are stored and maintained in a way that will ensure their long-term readability and accessibility.  If the NA cannot read the records, they cannot be accessioned as archival records when the donor is ready to transfer them to the NA.

•	Issue 11 - Delay in Processing Records

Electronic records, particularly in GAD and MSS where there is a great diversity of systems, are taking a long time to process.  Delays in processing only delay the identification of other problems (eg. the records are not those which were identified for transfer, the data is unreadable or the NA does not possess the appropriate hardware and software to run the system)  which may have occurred at time of transfer.

•	Issue 12 - Development of Proficiency in Processing Records

NA archivists and technical staff must develop expertise in accessioning, verifying, selecting, and arranging electronic archival records using a variety of tools.  Technical capabilities (eg. hardware, software, links to appropriate servers) must be available to archivists at all times.

•	Issue 13 - Providing Access to Technical Expertise

Though most of the technical resources associated with processing electronic records are located in a branch other than AGRB, they must be available to GAD and MSS archivists when the electronic holdings are ready to be processed.

•	Issue 14 - Preservation on Different Physical Storage Formats

Currently, the NA is storing both copy 1 and copy 2 on 8mm tape.  This is contrary to the 1992 Working Group on Conservation Standards and Technologies' recommendation to use two different physical storage formats.

•	Issue 15 - Ongoing and Retrospective Tape Destruction

Although the identification of obsolete tapes has begun, it is an extensive task to look at each GOO and its attached tapes.  In addition, approximately 4,000 tapes that are not attached to any GOO description will need to be evaluated and either provided with descriptions or disposed of.

•	Issue 16 - Processing the MRA Legacy

For those electronic records originally accessioned by MRA which, upon reflection, do have archival value, there must be a commitment of time and resources in order to bring these records under control and make them accessible to researchers.

•	Issue 17 - Choosing a Long-term Physical Preservation Format

The NA will be choosing “long-term” physical preservation formats.  Once a choice has been made, the NA will be in a better position to forecast costs associated with the preservation copying program.  Planning for new physical formats will be an on-going concern if the institution is to keep pace with technology.

•	Issue 18 - Systematic Tracking of "Native Formats"

The NA does not currently track the type of software used to generate our electronic holdings.  Consequently, it is ill-equipped to decide what types of hardware and software capabilities are required to support the holdings.

•	Issue 19 - Choosing a Logical Storage Format and Migration Strategy

The NA must continue to investigate logical storage formats and identify a long-term strategy for viewing, operating, and migrating electronic records which have been acquired to date, as well as those that will be acquired in the near future.

•	Issue 20 - Description of Electronic Records

Description of electronic records must be in a RAD-compliant manner in order for them to be included in the multi-level, multiple-media descriptions of our holdings.

•	Issue 21 -Establishing Standards for Access to Electronic Records

The establishment of reference standards for electronic records will enable the NA to provide access to electronic records in a more systematic fashion.

•	Issue 22 - Delivery of Reference Services  

Electronic records offer new possibilites for the delivery of reference services.  Concepts such as public use databases and on-line transfer of data are two examples of resource efficient delivery mechanisms. 

Appendix IIII

	File:  8000-38
	8 August 1995

	SURVEY OF CURRENT NA POLICIES, PROCEDURES AND INITIATIVES
	RELATING TO ELECTRONIC RECORDSOF CURRENT NA POLICIES, PROCEDURES AND INITIATIVES	RELATING TO ELECTRONIC RECORDS

Below you will find a list of questions relating to various activities performed at the NA with respect to electronic records.  If you feel that you would like to respond to certain issues or questions even though your particular division or branch is not mentioned specifically, please feel free to do so.  Whenever possible, please provide copies of policy statements, directives, flow charts, etc. which document the activities of your division/branch.

1.  CONTEXTUAL INFORMATION

a) Please submit a copy of your division/branch's work plan for 1995-96.  If this does not include a brief description of your division/branch's specific goals and responsibility(ies) for electronic records, please include one.  The statement should provide sufficient information to answer questions i and ii below.
Action:	All Members

i) What is the relationship between your division and agencies outside of the NA (eg. IMSP and TB's Electronic Work Environment Management Board)?

Action:	IMSP		GAD	
RDD		VSA
MSS

ii) What is the relationship between your division and other divisions within the NA with respect to electronic records?

Action:	All Divisions

2.  ADVICE

Each area within the NA is responsible for providing advice to its clients, be they government departments, private donors, other divisions of the NA or researchers.

a) What type of publications do you provide to clients who request information concerning electronic records?  Do you maintain a documentation centre?

Action:	All Members

b) What type of subjects might be covered in future publications?

Action:	IMSP
RDD
GAD
VSA
MSS

3.  ACQUISITION

a) What types of electronic records have you acquired to date?  What types do you anticipate acquiring in the future (eg. digital photographs)?

Action:	RDD
GAD
VSA
MSS

b) What kind of information gathering and systems analysis is necessary before records can be appraised (government institutions or private donors)?

Action:	RDD
MSS

c) What appraisal criteria do you use to decide whether or not to acquire electronic records?

Action:	GAD
VSA
MSS

d) What initiatives is the NA considering in order to streamline the process of acquiring databases or authorizing their disposal (eg. 100 database proposal, GRDS for electronic records)?

Action:	RDD
IMSP
VSA
MSS

e) For systems identified as having potential archival value, are technical appraisals completed?

Action:	GAD
VSA
MSS

f) What is the process of developing a technical appraisal in order to acquire an EDP system?  What points of information are required?

Action:	ESPD
GAD
VSA
MSS

g) Once a system has been identified as archival, what instructions do we give the transferring agencies to ensure a smooth and accurate transfer of electronic records?

Action:	RDD
ESPD
GAD
VSA
MSS

h) What is the number of databases/systems that you anticipate acquiring in the next year?  In the next five years?  What types (eg. office systems,

digital photographs) will we be acquiring (eg. do you anticipate a shift from databases to office systems)?

Action:	GAD
VSA
MSS
4.  PHYSICAL CONTROL

a) What is the work flow for electronic records from the time they enter your division/branch until their final disposition (i.e. what are the various steps involved in the control of electronic records while they are your division's responsibility)?

Action:	CHD
MIDAC
ESPD
GAD
VSA
MSS

b) What mechanism(s) do you use to track your electronic holdings and how are the physical holdings described (eg. tape number, name of system, etc.)?

Action:	CHD
MIDAC
ESPD
GAD
VSA
MSS

c) What storage formats do you use for interim processing (i.e. work copies, reference copies)?  Are these formats sufficient for the foreseeable future?

Action:	GAD
VSA
MSS
ESPD

d) What long-term formats are being considered as replacements for STORLORD and 9-track tape?

Action:	MIDAC
APB

e) What are the intended procedures for monitoring electronic records left in institutions?

Action:	GAD
VSA
IMSP
APB

f) What is the procedure for destruction of tapes/cartridges/diskettes which are not being returned to the donor or donor copies which the NA no longer needs?

Action:	MIDAC
CHD

5.  INTELLECTUAL CONTROL

a) How are your division's electronic holdings arranged and described?  At what level (RG/MG group, series, etc.)?  Where are these descriptions captured?

Action:	GAD
VSA
MSS

b) At what level(s) are your electronic holdings described (preliminary vs. final processing).  Where are these descriptions captured?

Action:	GAD
VSA
MSS

6.  REFERENCE

a) How do researchers determine whether or not the NA has electronic records of interest to them?  Does your division promote its electronic holdings?

Action:	GAD
VSA
MSS

b) How does your division/branch process requests for access to electronic holdings?

Action:	GAD
VSA
MSS
ESPD
APB

c) How many requests for access to electronic holdings did your division/branch process in 1994-95?  In the last two years?

Action:	GAD
VSA
MSS
ESPD
APB

d) What does your division/branch's experience tell you about the type of researchers requesting access to electronic records?

Action:	GAD
VSA
MSS

7.  TRAINING AND DEVELOPMENT

a) What type(s) of training do personnel in your area receive regarding electronic records?

Action:	All Members

b) Do staff in your division/branch attend and participate in conferences which include sessions on electronic records?

i. Which electronic records-related conferences did personnel in your division/branch attend in 1994-95?

ii. Did personnel in your division/branch participate in the conference (eg. giving a paper, providing a commentary)?  Please provide a list of conference participants and the nature of their contribution to the conference.
iii.  Is there a mechanism in your division/branch for making available the information gathered at conferences to those who were not able to attend?

Action:	All Members

c) What type of resources do you refer to when you need information concerning electronic records?

Action:	All Members

d) Do personnel in your division/branch possess the required skills to carry out your division/branch's activities?  In which areas would you like to see your staff's skills upgraded/broadened?

Action:	All Members

8.  EQUIPMENT

a) Does your division have adequate hardware and software to carry out your activities?  If not, what hardware/software/technical capabilities are required.

Action:	All Members

9.  OUTPUTS

a) Does your division/branch measure its activities with regard to electronic records in a form other than the PMIS?

Action:	All Members

b) How does your division assess its capability to deal with electronic records (eg. number of requests for advice, number of systems acquired, number of holdings processed)?

Action:	All Members

c) Please provide a copy of your division/branch's a) annual report and b) quarterly reports for 1994-95.

Action:	All Members