Guidelines for curriculum development in records management and the administration of modern archives

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Michael Cook

1. INTRODUCTION

1.1 The aim of these Guidelines is to help forward the development of education and training in the professional fields of records management and archives administration. Records Management is defined as "that area of general administrative management concerned with achieving economy and efficiency in the creation, maintenance and use, and the disposal of records". It aims at achieving an accurate and complete documentation of the policies and transactions of an organization, and at controlling, refining and simplifying records and record systems, and at the judicious preservation and disposal of records. Records are "recorded information, regardless of form or medium, created, received or maintained by an agency, institution, organization or individual in pursuance of its legal obligations or in the transaction of business". Archives Administration (apart from being the theoretical and practical study of policies, procedures and problems relating to archival functions) is "the direction and management of archives"; and archives, in turn, are "non-current records permanently preserved, with or without selection, by those responsible for their creations or by their successors in function for their own use or by an appropriate archival agency because of their archival value." Archival value refers to the value a record may have in the long term, as a source of information off use in research, or in documenting the activities of the originating institution over time.

1.2 The two fields of records management and archives administration are closely interwoven. In some countries records managers have tended to organise themselves as a profession quite separate from that of archivists, while in others no such split is apparent. The assumption here is that the normal and desirable situation is one where both kinds of work are done efficiently, and where the professionals who do them communicate closely. In what follows, the term 'archivist' is sometimes used to cover the activities of both records managers and archivists, but it is not intended to suggest that these groups are identical or that one should be subordinate to the other. There is a strong case for planning a common basic professional training for both records managers and archivists, and for career structures in these fields to be closely related.

1.3 There is a difference between education and training, a difference which is important when various levels of professional activity are dealt with. Both are important: training covers instruction in the actual processes which are carried out in an archives service, and seeks to ensure that these processes are efficient, aptly designed and effective for their purpose. Education is something more fundamental and wide-ranging. In the long term, probably the most important job done by archivists, for example, is the selection of records for preservation or destruction. In carrying out this process of selection, archivists are doubtless ready to be advised on the current administrative or legal value inhering in the records; but when it comes to identifying possible long-term values, they must draw on their own resources of experience, perception, and general culture: these things may be summed up as education. These Guidelines attempt to deal with both, but it is inevitable that more space is allocated to technical knowledge and processes. The reader is asked to bear in mind that training programmes should always be planned in the context of general educational development of the student.

1.4 These Guidelines must deal with training for the overall needs of the profession. They must include provision for entry to the principal career level for both archivists and records managers; for senior or managerial staff in both fields; and with paraprofessionals. They do not seek to deal, except incidentally, with the question of technical training for conservationists or other specialist staff such as reprographers.

1.5 The aim is to suggest a basic training programme providing the common ground work for all the workers involved directly in the professional management of archives and records. Apart from important differences of level and approach, there is a single body of basic training appropriate to the whole field. The desire to encourage harmonization has raised the question as to whether there should be some basic training for all workers in the information field. This question is not directly tackled here but it has not been possible to avoid a good deal of reflection on it. The
Guidelines (sections VI and VII) are arranged as far as possible on a modular system, so that they can be adapted for those who do not need the whole of the basic course.

1.6 A set of general Guidelines such as these have a limited use. It is not likely that they will be suitable for adoption by any one particular training institution as they stand. They must be interpreted in the light of the local situation. This warning is more necessary in the case of archive and records administration than with librarianship and documentation. The character of archives and the systems which generate them are so deeply rooted in the cultural and administrative traditions of individual countries, that it is difficult to generalize accurately about them across cultural and linguistic boundaries. Also, the records and archives themselves (the accumulated material held by a records and archives service) is by definition unique, this uniqueness not being affected by the existence within the archive of a quantity of published or duplicated material or by the ability to make a large number of copies with modern equipment. Archives will always remain unique, and this makes very difficult any attempt to systematize all aspects of their administration in a worldwide archives science. All archives and records services, however, do share the characteristic that they should be user-orientated.

1.7 Subject to this proviso, the suggestions made here are intended both to raise professional standards and to systematise those standards as between nations. Particular training institutes will have to consider how far their application can usefully be made.

Consequently there has been an attempt to avoid excessive specificity in the Guidelines and excessive detail in the curricular modules. In the general field of information studies it is particularly necessary to avoid rigidity. It should be possible to accept the principles of an international standard without slavish obedience to a code.

1.8 In practice, the Guidelines must be aimed primarily at the training needs of the Third World. It is not suggested that there should be a different standard of professional excellence for developing countries. The investment of scarce funds in this branch of the information infrastructure is a serious matter in a developing country, and the archives and records management services there may well have to justify themselves by results much more rigorously than their parallels in a developed country. The archivists of the more advanced countries have in this way much to learn from the experience of their colleagues in the developing countries. This is particularly so where practical records management or the harmonisation of information courses is concerned. In fact training in most developed countries is far from being fully developed, and there is an urgent need for a general standard for basic professional training which will highlight areas where there is need for adaptation or for the revision of traditional attitudes.

1.9 It is often remarked that archivists and records managers are faced with pressures which pull in opposite directions. One aspect of this contrary pull is the tension between the archivist as administrator and the archivist as researcher. At a deeper level, these tensions counterbalance themselves and become a unity: the records manager, serving the information needs of a current administrative body, is setting up a structure for the regular appraisal and disposal of its records, can easily see himself as working towards THE same ends as his colleague the archivist in a historical collection, or working for the conservation and - exploitation of the historic archival treasures of the realm. In many parts of the world the historical origins of archival training are in the second sector, and records management has come as a late, and not always welcome, intruder. In other, very influential, parts of the world, the situation is almost the reverse of this. It is the view of the present work not only that there is the unity lying at the root of all archives and records management which was referred to above, but that this unity ought to be expressed in the training of recruits to the profession. Therefore, although there will, in the long run, be a need for specialists in the advanced practice of some aspects of the profession's workload, it is assumed that as far as basic initial training goes, the best way is to provide a basic course which all should complete. This is a point not yet agreed upon in the developed countries, or not explicitly and universally. In the developing world the point is accepted pragmatically, in the sense that any training that is offered at the right time has been taken up. It is a point of some importance for professional development, and is important, too, where the harmonisation of archival training and other information studies is concerned. The present Guidelines argue for it, and are a step towards the formal advocacy of the principle in the centres of professional discussion.

1.10 The bibliography is intended to give references to additional information or discussion which may help in adapting these general outlines to particular situations. Beyond this it is to be hoped that individual lecturers and teachers of archives science and its branches will get used to drawing up course notes and outlines, comparing these to avoid overlap within the institution, and making them available for comparison in professional circles. This could be done through the International Clearing-house for Instructional Materials related to librarianship, documentation and archival work, situated at the University of Maryland (USA), and publicised through the FID Newsletter on Education and Training Programmes for Specialised Information Personnel.

8.0 GUIDELINES

8.1 General:

The introductory section of these Guidelines places them within the general context of international development in archives work; in particular, the RAMP programme and the movements towards harmonisation of archives, library and information training. Their aim is to forward the training of entrants to both archives administration and records management, linked professional areas where there is a need for common training. The Guidelines deal with training at three levels: the professional, senior management, and the paraprofessional. The question of training for technical specialities is not dealt with.

8.1.2 Although there is a body of knowledge common to this professional area (which should be harmonised as far as possible with curricula for training librarians and information scientists), it is not possible to establish a single model which will be useful in all circumstances. Archives and records management must remain rooted in local traditions and practices. An important common feature, however, is that they must always be user-oriented, and that their effectiveness may be measured by their service to users, and by their adaptability. A common training ought to be able to reconcile the two aspects of archives and records work: the dual orientation towards current or recent information supply, and towards historical study.

(Internal references are to the paragraph in the main text which provides discussion of the specific guideline).

8.2 Infrastructure

8.2.1 level of Development:

Before a new course of archival training can successfully be established in a country, there would need to be a general level of development, featuring the following elements:

- a modern system of government with coherent planning practices (2.1-2).
- a public education system producing potential recruits and a recognised career structure and expectation; public recognition of the nature of the job is also needed (2.2).
- a network of cultural institutions (libraries, museums, etc) and organised research activities (based in universities, specialised institutes, etc), and a number of large institutions generating records and exercising administrative practices (2.3).
- access to some common forms of technology (2.4).

8.2.2 Manpower Planning

A more specific infrastructural requirement is that provision should be made for the development of information services in the general manpower plan, with the following features:

- a supply of candidates, principally at graduate level, from the public education system (2.5-6)
- a supply of recruits, at levels below that of university graduates, for paraprofessional posts, and for technical and craft specialists (2.6-7)

8.2.3 Aims and pedagogical strategies

The aim of the training is to produce self-reliant and self-critical practitioners. This demands strategies which

- promote student initiative in learning and discourage mechanical or rote learning (2.9)

8.2.4 Information Services

Practical training in-house is a necessary component of information training. Existing information services should be able to provide:

- access to practicing documentation centres (2.10)
- access to functioning library services (2.10)
- access to specialist technology (2.10)
- collaborative contact with professionals during practical
- training (2.11).

8.2.5 Status

The status of information professionals has an important influence on the effectiveness of their service. Training programes should aim at ensuring that there will be:

- an appropriate career grade for archives and other information workers (2.12)
- recruitment of well-motivated and high-calibre students, with a strong sense of service (2.12)
- training which is relevant, specialist and vocational (2.13)

8.2.6 Other features

Planning the siting, output and level of a training centre involves the following considerations:

- the possibility of some training in foreign countries, bringing knowledge of alternative systems and international guidelines, recommended practices and standards (2.14-15).
- the value of developing indigenous training systems and staff (2.15)
- the need to give full academic accreditation to training which introduces new members to a profession linked with research, and to give advanced practitioners and teachers the chance to work for higher degrees (2.16)

8.2.7 Professional associations the role of these associations may include:

- internationally, assistance in finding grants, bursaries and fellowships to support students and teachers (2.17)
- a share in planning and accreditation of the courses (2.18)

8.3 Institutional Factors

8.3.1 In terms of the institutional nature of the training school, the following are principal requirements:

- finance for capital and recurrent expenditure (3.1-2)
- buildings for three functions: teaching, technical work and support services (3.2)

8.3.2 Teaching rooms:

- design should be appropriate to the teaching method (probably informal) (3.3)
- capacity of rooms should be designed in view of the curriculum and student groupings arranged by it (3.4)
- physical atmosphere should be suitable (this may require air-conditioning and humidity control in the tropics) (3.4)

8.3.3 Technical rooms

- preservation laboratory. If this is provided it should have a technical staff to support it as a base for teaching and research. A simple laboratory using local materials is possible (3.5).
- reprographics laboratory. Advanced equipment requires a higher environmental and technical standards (3.5).
- laboratories are resources that should be shared, and may support joint research and teaching (3.5).

8.3.4 Supporting accommodation

- individual teaching staff offices (3.6)
- library facilities:
(a) services - to provide these it will usually be necessary to integrate the specialist library with a larger service;
(b) materials - a full collection of professional materials, maintained and updated (3.6)
- staff and student common rooms, usually best integrated into those of the larger campus (3.6) - administrative offices, with access to equipment for making and storing teaching aids (3.6)

8.3.5 Other factors which should be considered:

- future technological development in

(a) pedagogical technologies
(b) informational and communication technologies, including access to computers and data processing
(c) advanced reprography, xerography, photography, microforms (3.7)

- resource sharing with related departments or the larger institution may lead to better equipment and the benefits of intellectual interchange (3.8)
- the need to rely upon local materials and resources, both in the present and in forward planning (3.9)
- the provision of student accommodation, catering and subsistence and of financial provision for the support of research and higher studies may follow national systems (3.10-11)

8.3.6 Staff:

- staff/student ratio should not be less favourable than 1:12, though this is not a useful statistic in planning archive schools (3.12)
- from one to three full-time staff members may be needed to provide teaching of professional subjects, teaching of other subjects demands access to additional staff time. Provision should be made for research, advanced study, and academic interchange (3.13)
- teachers of professional subjects need both qualifications and experience, as this may justify detaching a successful practitioner from his substantive work. Expatriate teachers are not usually a satisfactory alternative in the long term (3.14-15)
- recruiting and training an indigenous body of teachers of archival subjects should be a priority; the existing skills of practitioners in post could be drawn upon by offering part-time teaching (3.16-18)
- subjects additional to the professional subjects will normally be taught by employing teachers in kindred or allied departments (3.13,3.19)
- the teaching of administrative history presents a special difficulty in that it has to be researched and taught by archivists (and so how can the discipline be established initially?) (3.19)

8.3.7 Students:

- students may be full or part-time (3.20-21)
- part-time enrolment allows for better practical applications, including arrangements whereby students attend courses for part of the year and work the rest (3.20)
- full-time enrolment has academic advantages (3.20-21)
- student numbers are determined by several factors: accommodation and resources; the availability of candidates; employment potential and underlying demand. Numbers may vary from the very small (say 6 students and 1 full-time teacher) to the very large (specialized national institute with student numbers in the hundreds). An initial practical target might be 5 students at professional and 20 at paraprofessional level (3.22)
- selection procedures should include tests of academic ability and achievement, and motivation. Responsibility for selection of students should rest with the school, rather than with employers (3.23).

8.3.8 Learning resources are particularly important as they allow a teaching method which is student-centred and does not depend on imparting information authoritatively. The main resources include:

- bookshop facilities (3.24)
- library facilities, including international technical and specialist materials (3.25)
- non-book materials (3.25)
- access to technical facilities such as computers (3.26-27)
- visits, demonstrations and models, involving active participation by professional staff in post (3.28-29)

8.4 Educational Factors

8.4.1 Objectives: planning a training programme:

- a survey to establish manpower requirements in the context of the development of information services (4.1)
- planning which aims to provide professionals who are user-oriented and open to resource-sharing and innovation (4.2-3)
- a concept of the function of a training school which regards it as a centre of development, with research, outreach, updating and continuing education programmes (4.4)

8.4.2 Target groups

The levels of entry and output, and the type of training offered need also to be planned. The following are important considerations:

- the general aim, to provide staff for archives and records management and technical services; provision for the main body of professionals, supported by paraprofessionals, providing the basis for directorial staff (4.5)
- career structures to assimilate graduates of the training scheme (4.6)
- initially, training should aim at producing professionals who can undertake early responsibility (4.7-8)

8.5 Entrance Levels

8.5.1 Training courses should be provided for all appropriate levels of entrant: professional, managerial, paraprofessional:

- courses at each level should be complete in themselves, aiming at producing effective operational staff (5.1-2)

8.5.2 Professional courses:

- initial entry requirement should be a first degree (5.3)
- the standard of the training course should be a master's degree (5.3)
- the standard of entrant should be appropriate to the standing of the course (5.4)
- the length of the course should be about one year (5.5)
- the quality of teaching should be appropriate to a postgraduate course (5.6)
- motivation is the principal factor in selecting entrants (5.7)
- experience in retrospective documentary research is a desirable feature in candidates' first degree (5.7)
- validation of the qualification given should be accepted by academic, professional and employing organizations (5.8)

8.5.3 Higher Grades

- directorial personnel deal with professional duties but in relation to strategic planning, overall management and external relations (5.9)
- skills required are those of management and specialist knowledge in professional fields (5.10)
- the main requirement for selection of candidates is leadership ability (5.11)

8.5.4 Continuing education:

- regular updating and recycling courses suitable to all levels (5.12)

8.5.5 Training of teachers:

- there should be training in teaching methods and technology (5.13)
- experienced and effective professionals should be posted to teaching posts wherever possible (5.13)
- training is a function of every professional service (5.13)

8.5.6 Paraprofessionals

- entrants should be of high quality (5.14-15)
- the number of trainees should correspond closely with actual job opportunities (5.15)
- there should be opportunities for paraprofessionals to rise in their career with further study (5.16)
- the course should be practically-based and contain an element of general education (5.17-18)

8.6 Scope and Range of Curriculum

8.6.1 Archives and records management are practical operations based upon a knowledge of theory. Courses should be characterised by:

- academic status and orientation (6.2)
- strong practical elements at all stages in the course (6.2-3)
- practical training in records management (6.4)

8.6.2 Local curriculum development

Archives services are rooted in the administrative methods of their country. There can be no generally applicable model of training for it. Curriculum must be developed locally, and take account of:

- the interests and capabilities of teaching staff (6.5)
- the advice of practicing archivists (6.5)
- the nature of the practical training possible (6.5)

8.6.3 The scope, range and structure of courses

Archival training has to be harmonised with two different areas of study:

- library and information science and parallel training courses in information work (Systems studies) (6.6.7)
- user interests and disciplines, studies arising from the content of the archives served (subject studies) (6.7-8)

8.6.4 The structure of the course must reflect this by making the following provision:

- professional core subjects records management archives management interpretative sciences and skills administrative history (6.9, 6.11-15)
- courses in common with other information training reprographics exhibition preservation and restoration information storage, retrieval & dissemination bibliography & sources of information user studies legislation security building design and environmental control systems design & automation (6.9, 6.16)
- courses in common with other sectors management sciences; statistics - languages research methodology & environment (6.9, 6.17) additional fields: general foundation courses (6.10) practicals and special study (6.18) electives: education preservation publication special formats oral evidence (6.9, 6.19)

8.6.5 Other courses should include:

- in-service, technical and updating courses (6.20)
- continuing education (6.20)

8.7 Construction of a Course

8.7.1 Course design should:

- give a full range of training at appropriate levels to professional, directorial and paraprofessional entrants (7.1)
- give a common basic training to all entrants despite specialisation in the career structures (7.1)

8.7.2 The model curriculum is divided into modules:

- first professional qualification:

- second (advanced) professional qualification: this course is not modular:

management sciences
a professional speciality to doctorate level

- paraprofessional courses

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