ANALYSIS AND DEVELOPMENT OF MODEL QUALITY GUIDELINES FOR ELECTRONIC RECORDS MANAGEMENT ON STATE AND FEDERAL WEBSITES



A Research Grant Funded by

The National Historical Publications and Records Commission

January 1 to December 31, 1997


Principal Investigators

Charles R. McClure J. Timothy Sprehe

Distinguished Professor President

Syracuse University Sprehe Information Management

Syracuse, NY Associates, Inc.

Washington, DC



The purpose of this research project is to develop records management and preservation strategies for electronic information contained in state and federal agency websites. More specifically, key project activities are:

• Provide a framework within which to understand records management and historical preservation issues posed by government websites;
• Provide a statement of records management and historical preservation principles as they apply to government websites, based on an empirical assessment of state and federal website activities;
• Provide model guidelines for webmasters and records managers concerning management and preservation of electronic records on government websites; and
• Promote awareness in archivists and records managers concerning measures to be taken in order to manage and preserve historically valuable records in government websites.

Progress to Date on the Study.


In the preliminary analysis of research issues, the investigators have asked whether materials appearing on state and federal agency websites constitute official records. Although initially agencies seem to have posted only "copies" of materials published elsewhere in other forms, the evolving uses of the Internet suggest that more original materials are appearing that would qualify as records.


Some regulatory agencies are now accepting public comments on rule makings electronically and posting the comments on their websites; these seem to be records unlikely to exist elsewhere in the agency in other forms. These kinds of events are prompting some agencies to establish clear linkages between their websites and agency record keeping systems. Other agencies are arriving at the conclusion they must keep an historical log of website

postings for purposes of future accountability. Overall there

is considerable confusion as to appropriate records management

procedures for official records on state and federal websites.



State Investigation


The investigators have completed an empirical investigation of state records management of websites. First, a study team at Syracuse University focused on locating information from state websites, state employees, and listservs related to records management. They searched all 50 states' websites, looking for guidelines for managing electronic records and policies and guidelines concerning the state's website management; they also searched for information about electronic records management policies. Second, the study team subscribed to 7 listservs pertinent to records management, monitored the listserv discussions for relevant topics, and initiated questions to provoke responses on the question of records management for websites. Third, the team conducted an electronic mail survey and a telephone survey to key employees in all fifty states, asking whether they had--or were in the process of creating-- guidelines for records management on websites.


The results of these three methodologies revealed quite limited action being taken by states regarding website and electronic records management. Fourteen states appeared to offer enough information to justify additional followup. They are: Connecticut, Delaware, Florida, Louisiana, Maine, Missouri, New Jersey, New York, North Carolina, North Dakota, South Carolina, South Dakota, Tennessee and Texas.


The summary report on state agency electronic recordkeeping and website activity can be found at the Syracuse University project site. The researchers welcome comments and corrections on the report.


In June, McClure and Sprehe conducted site visits to state agencies in Connecticut, New York, and Virginia. Additional data collection activities are in progress. Site visits to federal agencies are planned for August and September, 1997.


For more information on the research project in general, interested persons may contact McClure by email or at 315­443­2743*; or Dr. Sprehe by email or at 202­364­5300.

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*Chuck McClure is no longer at Syracuse University. His number at Florida State University, School of Information Studies is 850-644-8109. RB