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Electronic records management and archives in international organisations
Charles M Dollar
INTRODUCTION
0.1 The key concept in this study is that an understanding of the implications of electronic technology for archivists and records managers in international organisations involves both an examination of the technology itself and the environment in which that technology will function. The implications of electronic technology, or what is defined as the supply side, includes the technology of computers, software, communications, information services, databases, printers, and memory devices, among others. Certainly this aspect requires major attention, since technological capabilities help structure what can be accomplished. The demand side of information technology is the organizational environment - individual productivity enhancement, centralization versus decentralization of management, organizational structure of institutions operating in a network, and the like.
0.2 This demand side of information technology has serious long range implications for archivists and records managers in international organisations in that it may increase the distance that separates them from the information for which they are responsible. This distancing may include information technology decision making which can have a profound, though indirect, impact upon archival and record management programs. For example, a decision to install a new telecommunications capability, which includes an electronic mail and message system, introduces a new set of archival and records management concerns which may not be apparent to the decision-makers. Not having a voice in information technology decision making inevitably means that archivists and records managers are likely to have very little influence in the shaping of information technology policy.
0.3 This rather bleak picture in which archivists and records managers in international organisations (as well as in other organisations may find themselves in an environment where they are the passive recipients of information derived from processes over which they have little influence or control need not be the scenario of the future. Indeed, this study along with its recommendations is premised on the expectation that archivists and records managers in international organisations can (and should) become involved in the shaping of information technology policy and decision-making.
0.4 The first chapter of this study focuses upon a detailed examination of information technology as it relates to trends in micro-electronics, software, storage, data transmission, new computer architecture, text conversion, and computer-based micrographics systems. Chapter two elaborates on some of these trends, with a review of a number of pilot research projects or operational programs now under way. These trends and applications provide the context in which general records management and archives policies, principles, and practices are reviewed in chapter three.
This chapter concludes with the identification of key opportunity areas which information technology presents to archivists and records managers.
0.5 Contemporary archival and records management policy and practice in international organisations in the theme of chapter four. A detailed questionnaire on archival and records management policy and practice was sent to 34 archivists and/or records managers in international organisations Responses to the questionnaire, along with information collected from on-site visits to thirteen international organisations form the analytical basis for identifying problems and opportunities for electronic records management and archives in international organisations
0.6 Chapter five integrates the findings from the previous chapter with the trends, applications, and opportunities identified in the first three chapters. This integration provides a series of recommendations for action at three different levels: Section of Archivists of International Organisations, institutional and individual.
0.7 Annexes include a glossary of terms, recommended readings, a copy of the questionnaire discussed in chapter four, and suggested evaluation criteria for computer hardware and software.
GUIDELINES
The focus of this chapter is a series of recommendations which explicitly integrate the findings discussed in chapter four with the trends, applications, opportunities identified in chapters one through three. Although this is a somewhat narrow focus, nonetheless, many of the recommendations are relevant and generalisable to any institutional setting in which there is an awareness and concern about the ways that electronic information handling technologies affect traditional information handling activities, especially records management and archives.
Section of Archivists of International Organisations
5.1 The Section of Archivists of International Organisations
(SIO) should take note of and officially endorse the recently
completed study of "The Changing Use of Computers in
Organisations of the United Nations System in Geneva : Management
Issues". This study acknowledges the importance of records
management and archives in the rapidly expanding applications of
electronic information handling technologies, especially in UN
organisations in Geneva.
(The latter should not detract from its relevance to non-UN
organisations Official recognition of the usefulness of this
study by archivists and records managers in international
organisations would lend the study greater credibility and
reinforce efforts now under way to establish clear communication
among the various participants in the use of electronic
information handling technologies.
5.1.2 Related to this is the urgent need for SIO to call upon archivists and records managers in international organisations to take a pro-active stance by bringing to the attention of top management the importance of archives and records management in the rapidly expanding area of electronic record keeping activities. Such a call should acknowledge that in most institutional settings, the success of archivists and records managers in becoming involved in helping influence automation strategic planning and implementation relates directly to the extent to which they seize opportunities to redefine archives and record management as a significant part of electronic information handling activities.
5.1.3 Another area in which SIO could set an important precedent is to formally establish liaison with the Automation Committee of the International Council on Archives in order to ensure full exchange of viewpoints and concerns. Such a co-operative endeavour could help the Automation Committee better identify special needs that it could address and at the same time provide the SIO with access to archivists who have considerable knowledge of automation developments.
5.1.4 Of equal importance is the need for the SIO to establish a formal liaison with the Advisory Committee for the Co-ordination of Information Systems, which is located in Geneva, Switzerland. Although this committee, which is better known as ACCIS, primarily serves specialised UN organisations both its agenda and scope of activities address issues and concerns that are relevant to archivists and records managers. Participation in the ACCIS meetings and activities would demonstrate a pro-active stance of the SIO and facilitate a full exchange of views.
5.1.5 As this study has noted, it is very important for archivists and records managers in international organisations to become fully informed about existing international and national standards governing the use of computer data bases and telecommunications and to call for their implementation in archival and records management applications. Specifically, the SIO should endorse the use of ISO 8211 and X.400 in archival and records management applications and urge members to work for their implementation in their respective organisations Furthermore, the SIO should work closely with the Secretary for Standardisation of the International Council on Archives to ensure that issues of concern to archivists and records managers are brought to the attention of working groups and organisations in the standards development area.
5.1.6 A fundamental electronic archives and records management issue this study identifies is the need for specific assignment of disposition responsibility for information in electronic form, adoption of the life cycle concept of information, and early identification (or appraisal) of information in electronic form that has permanent value. The clear absence of disposition guidelines for electronic information (including machine-readable records) in most international organisations which responded to the questionnaire means that no archival or records management control is in place. Until this issue is addressed and resolved, there is little likelihood that any significant progress can be made in dealing with more complex electronic information handling technologies (e.g. electronic mail or microcomputers). Closely related to this is the urgent need to adopt the life cycle concept as the only feasible approach that helps ensure that documentation of permanent value in electronic form will in fact be retained and transferred to archives. For these reasons, it is imperative that the SIO endorse the centralised disposition of all information in electronic form and use of the life cycle concept (including early appraisal or identification of archival value) in archives and records management programs.
5.1.7 This study also notes that strategic systems planning should be an important activity for those archivists and records managers who are successful in dealing with electronic information handling technology issues. Unfortunately, since few archivists or records managers possess strategic systems planning skills or experience, considerable guidance in this area is required. One way to do this is by example. The leadership of SIO should undertake a strategic systems planning approach in terms of what the organisation, needs to do over the next five years in order to move the organisation, into the mainstream of electronic information handling applications. This assumes that clear goals will be defined and an incremental action plan with specific objectives and activities will be developed. The development of a model Five Year Plan for Electronic Information Activities would serve at least three purposes. First the model would give SIO members who participate in the planning process some sense of what strategic systems planning involves.
Second, the model would assist the SIO in identifying priorities and monitoring accomplishments. Third, the model would be a clear signal to other electronic information handling disciplines that archivists and records managers understand contemporary analytical processes and know how to use them to influence strategic systems planning and the resultant implementation of electronic information handling technologies.
5.1.8. An integral part of such a strategic systems plan is meeting the training needs SIO members and other archivists and records managers. The questionnaire analysis in chapter four clearly reveals that many archivists and records managers are very interested in obtaining training in the use of new electronic information technologies, especially with regard to the use of microcomputers. A carefully designed training program done, perhaps, in conjunction with the Automation Committee, that is part of a five year plan would go a long way toward building a technically informed infrastructure that is so essential to the long term effective use of electronic information technologies. Among the training priorities that merit attention are the archival and records management use of data base management systems, archival and records management requirements for electronic mail systems, and the establishment of a microcomputer based system to support archives and records management program goals and activities, including, but not limited to, finding aids and statistical reports.
Archivists and Records Managers
5.2 All of the recommendations relating to the SIO are equally relevant to individuals archivists and records managers without regard to whether or not the institutional setting is an international organisation, Consequently, this section restates many of the earlier recommendations for implementation in a variety of institutional settings where electronic information handling technologies are now in place or still in the planning stage.
5.2.1 One of the single most important activities that archivists and records managers who are concerned about the impact of electronic information handling technologies on archives and records management programs and activities can initiate is a change in outlook. By tradition and the nature of their work, most archivists and records managers tend to be reactive to problems and that result from changes in procedure and process rather than anticipating these changes and trying to shape them so that they also serve archival and records management ends. Therefore, it is one of the utmost importance that archivists and records managers begin immediately to get involved in helping influence automation strategic planning and implementation activities. One very effective way to do this is by preparing and circulating a background paper to senior management officials which redefines archives and records management as a significant part of an institution's electronic information handling activities. If such activities are not in place, then the background paper can serve as input into a planning document for the introduction of electronic information handling technologies.
5.2.2 Related to the preparation of a background paper is the need to be informed about activities of the Automation Committee of the ICA and ACCIS. The latter can be easily accomplished by getting on the ACCIS Newsletter mailing list by sending your name and address to the Editor, ACCIS Newsletter, ACCIS Secretariat, Palais des Nations, 1211 Geneva 10, Switzerland. The ACCIS Newsletter, which is published bi-monthly and is available at no cost, contains useful summary records on information technology and the work of various technical panels, among others. The Automation Committee publishes the ADPA Bulletin, which is an annual publication that reviews archival automation applications, and holds an annual meeting. Information about the Bulletin and annual meetings can be obtained from Mr Wolf Buchmann, Bundesarchiv, Potsdamerstrasse, 1, D 5400 Koblenz 1, FRG.
5.2.3 Individual archivists and records managers can greatly assist in encouraging the widespread use of ISO 8211 abd X.400 by determining if institutional or agency computer operations permit or require the use of either standard. Since both standards are relatively new (actually X.400 has not been formally adopted yet), it is likely that only a few managers of computer operations will know about them. Sharing this information and offering to assist in their implementation could bring greater co-operation among the various participants in electronic information handling technology applications.
5.2.4 At the institutional or agency working level there is no reason why archivists and records managers on their own initiative could not develop a strategic systems plan for automating archives and records management activities. Such a plan would address functional information requirements for archives and records management functions, describe goals, objectives, and activities, and in general lay out an action plan covering several years. A plan on this order quite likely would incorporate microcomputers as well as linkage with whatever computer capability exists for the institution or agency. Where feasible, this plan should tie in directly to the background paper discussed earlier in 5.2.1.
5.2.5 Since few archivists or records managers have the background or experience in electronic information handling technologies, there is an obvious need for training. Some archivists and records managers can benefit from self-training obtained through reading appropriate literature. Others can best benefit from formal training such as short seminars and symposia or academic course work. Usually, a combination of self-training and formal training works for most people and probably would be adequate for archivists and records managers. Unfortunately, there is no single journal article, book, or short course that addresses the full range of training needs for archivists and records managers. Consequently, it would be advisable to consult with computer operations staff regarding recommended articles, books, and short courses. In some instances, computer operations staff might teach a short course on a particular topic. However, in most instances it is likely that the best training in this area will be offered by people who have a sound understanding of both archives and records management activities and electronic information handling technologies. Literature, which identifies opportunities for training in electronic information handling technologies, especially in North America, generally is widely available.
Summary
5.3 The final summary recommendation calls attention to the potential for embarrassing and very expensive failure in the implementation of electronic information handling technologies where a careful analysis of systems requirements has not been conducted. Overlaying an automated systems solution onto flawed and inadequate manual processes is counter-productive. This is even more true where the manual processes are fragmented and not clearly understood or followed. In situations like this or where little or no automation now exists, a far more useful approach to take is to identify a manageable activity and do a prototype systems study with the clear expectation that a microcomputer based solution is intended. This approach involves a relatively low risk (financial cost and failure) and has the added advantage of providing staff members with hands on automation experience. This experience then can become the foundation on which more elaborate electronic information handling applications can be developed.