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3. Records and archives in decision making
3.1. The relevance of records and archives
3.2. Usage of records and archives
3.3. The beneficial use of records and archives
3.4. Adverse consequences of not using records
and archives
3.5. The decision makers view of the relevance
of records and archives
3.6.
Decision making
3.1. The relevance of records and archives
The relevance, importance, usefulness and necessity for records and archives is universally recognised and accepted. Those whose duty is it to look after records and archives believe in the mission of their work and in the immense responsibility that they have to shoulder as they stand custodian over such a unique and irreplaceable heritage. Those who create the records and archives and use them for the conduct of their business also recognise the importance of records and archives. They recognise that records and archives carry information without which it would not be possible for them to continue with their operations.
The custodians of records and archives have the responsibility to meet the needs of those who would like to use the records and archives. They get to know which records and archives are needed more than others for they are the ones who process the requests for access. The custodians feel that they have a crucial role to play in deciding which records should be retained permanently and which ones should be disposed of. To facilitate access to the records and archives they have created elaborate procedures for accessioning, arranging, describing and preserving records and archives and for granting access. To assess the rate of usage they maintain statistics showing the numbers of people who come to consult the records and archives' and of the quantities and types of materials accessed. They also usually record information relating to the reasons for needing use of the records. If one asks them about their users they are able to tabulate the categories of records used and the purposes for this but when one prods deeper one suddenly realises that all that exists are generalities without much specification.
3.2. Usage of records and archives
In response to the question that asked for what purposes and records the archives were used, the following usages were sighted by the custodians of records and archives;
3.2.1. verification of facts
3.2.2. compilation of reports and studies
3.2.3. research
3.2.4. finding of precedent
3.2.5. collection of statistical data
3.2.6. policy formulation, planning and implementation
3.2.7. handling of legal claims
3.2.8. project planning and evaluation
3.2.9. litigation
3.2.10. administration
3.2.11. protection of national interests
3.2.12. documenting of departmental histories
3.2.13. restoration of buildings
Ten institutions felt that the records and archives were used to some extent and the frequency ranged from those who felt that they were used quite frequently to others where it was really all to a very limited extent. Two of the institutions positively said that the records and archives were not used by decision makers while eight institutions were unable to respond to this question. There were others who said that while indeed the records and archives were requested by the ministries and departments they were however not made aware of the purposes for which the records were requested and issued.
3.3. The beneficial use of records and archives
It was evident for the responses that there is to a large extent merely a general idea on the part of the custodians as to what records and archives are used for. Answers such as for current administration! historical purposes, decision making, or for reference purposes were therefore not surprising. This is borne out by the responses received to the question that requested for examples of the way in which records and archives had been used in demons/ratably and positively beneficial ways.
Only eleven institutions were able to give significant examples of the way records and archives had been used in a beneficial way for the following purposes:-
3.3.1. in Botswana to prove ownership of disputed lands
3.3.2. in Ireland to create a genealogical data base for use in the tourist industry
3.3.3. in the state of Maine in the United States of America to identify the relative of a person potentially needing a bone marrow transplant
3.3.4. in the province of Ontario in Canada to settle court cases in mining and timber claims and to defend the provinces position in a law suit concerning the takeover of a business
3.3.5. in Western Australia to support cases for minority groups and in court cases relating to sufferers of asbestosis.
3.3.6. in the Republic of Kiribati to prove ownership of land
3.3.7. in Canada to handle native land claims and for the assessment of redress for Japanese Canadians affected by the actions taken by Canada during World War II
3.3.8. in the Netherlands to award pensions for damages to people persecuted for political reasons during previous regimes and for reconstruction after wars and natural disasters
3.3.9. in Poland for the recultivation of agriculturally important low lands in the mouth of the Vistule River after the Second World War, for the reconstruction of a new hotel on old foundations in the city of Poznan and to render assistance during mining industry catastrophes
3.3.10. in the United States of America to compensate Japanese Americans interned during the Second World War
3.3.11. in Cape Verde for the reconstruction of the old city of Cedade Velha
3.3.12. in Kenya for the purpose of determining constituency boundaries and to determine the tribes and clans that owned the "White Highlands" before and at the time of colonisation
Most of the other institutions could only give generalised examples of how records and archives were used for historical and academic research, local history, genealogy, publication, education, pension, exhibits, promotion of historical and national consciousness and identity, biography, radio and television. Sixteen institutions were unable to respond to the question and thus to give any examples at all. As we shall see later, the inability of the custodians of records and archives to identify the particular and individual needs for their records and archives and to quantify that need has profound consequences on the decision makers ability to use these materials. The inability also to identify particular and outstanding examples of the value and usefulness of archives has implications in terms of the marketing of records and archives as necessary inputs in decision making.
3.4. Adverse consequences of not using records and archives
At times if it difficult to demonstrate the positive value of a product or service, then it may be possible to drive home the message by demonstrating the disastrous consequences of the failure to use that product or service. When the respondents to the first questionnaire were asked to give examples of instances when there had been disasters which could have been prevented or avoided if records and archives had been used, 36 of the respondents were unable to answer the question in any way. Six were bold enough to declare that no disaster had occurred and yet the truth lies with those who were able to give examples and with the seven institutions which said that they had no information or were not aware of any. The latter is especially important because it is only if archivists can imperially demonstrate the adverse consequences of not using archives that they can begin to make the resource allocation breakthrough that they need.
An examination of seven respondents who gave examples of disasters provides some interesting information.
3.4.1. In Ireland, about 20 years ago some records of title relating to state property were destroyed necessitating the employment of staff to recreate the records of title.
3.4.2. In Zanzibar new research was undertaken on cloves diseases and studies done on the rehabilitation of the ports when these had already been partially done and the information was available in the archives.
3.4.3. In Indonesia floods that occur in new real estates in cities such as Jakarta could have been avoided if past records of city planning and development which are in the National Archives had been consulted.
3.4.4. In the Marshall Islands a fire burned down the government administration building destroying many valuable documents which could not be replaced.
3.4.5. In the Far East the territorial crisis between
Thailand, Laos and one of the neighbouring countries could have been averted if archives had been consulted.3.4.6. In Malaysia the Kuala Lumpur - Seremban Highway was constructed in the 1970's without taking into account the geological unsuitability of the terrain. Major repairs have become frequent and problematic and yet this could have been avoided if geological monographs and other records in the National Archives had been consulted.
3.4.7. In Poland the disastrous effects of the severe inundation of the basin of Oder River in 1984 could have been avoided or minimised if old documentation of anti-flood installations which was available in the National Archives had been used.
The overall picture therefore is that while archivists know that records and archives are used by decision makers they generally do not know for what purposes they are used. They know that the records are requested and they then come to the conclusion which one of the colleagues succinctly put across as follows:- since "the National Archives is the only official repository for the official records of the government of .....; therefore, the records are used by decision makers".
If however we cannot determine with precision the records and archives that the decision makers are using perhaps we can obtain this information from the decision makers themselves.
3.5. The decision makers view of the relevance of records and archives
Fifty five responses were received in reply to the second questionnaire which was distributed to Government Ministries and Departments to obtain information about the use of records and archives in decision making.
The decision makers by and large seemed to value archives. Asked if they felt that archival institutions merited high priority in the allocation of financial and other resources, 34 said yes and eleven said no. Asked if records and archives played a vital role in their decision making process 35 said yes and eight said no. While however the vast majority said the records and archives were important in decision making a different picture emerged when they were asked to estimate the number of times they used records and archives in different age categories for decision making.
The most important point that emerged was that archives are not very much used in decision making. If a generalisation can be made that in most countries records become archives after some 25 or 30 years, then it would seem that really very few decision makers use archives in decision making. The usage statistics were obviously very rough estimates but in those institutions where accurate figures were available, the overall picture was the same.
3.5.1. Nineteen of the respondents positively did not use records and archives between 15 and 25 years of age.
3.5.2. Fifteen of the respondents positively did not use material over 25 years of age.
3.5.3. Eleven of the respondents positively did not use material between 10 and 15 years of age.
3.5.4. In the Land Office of the Ministry of Law in
Singapore usage declined from 6000 times per year in the 2 to 5 years category and 4000 in the 5 to 10 year category to almost nothing for material older than 10 years.3.5.5. In the Headquarters of the Ministry of Health in Singapore usage declined from 1200 times per year in the 2 to 5 years category to 240 in the 10 to 15 years category.
3.5.6. In the Ministry of Education in Botswana usage declined from 264 times per year in the 2 to 5 years category to nil in the over 25 years category.
3.5.7. In the Attorney General' s Department in Australia usage declined from 13200 times per year in the 2 to 5 years category, 1200 in the 10 to 15 years category to 100 in the over 25 years category.
3.5.8. In the Department of Social Security in Australia usage declined from 13500 times per year in the 2 to 5 years category to 30 in the 15 to 25 years category.
Asked if they used or considered using records and archives when making decisions on budgets, project and development plans and manpower planning only 32 used the records when making budget submissions, 43 for project and development planning and 31 for manpower planning.
While 25 respondents did not feel that blunders or errors had been committed, projects duplicated unnecessarily or the decision making process hampered as many as 17 felt that this had happened. Although it was found difficult to give specific examples it was pointed out that there was duplication of effort among ministries and departments, that there were cases where surveys were mounted when the data had been collected and already existed in other departments, that court cases had given verdicts at variance with early decisions or without taking cognisance of earlier decisions. Thirty nine of the respondents were making use of records centre and archives facilities and had deposited some of their records.
Before examining records management and archives concepts as they relate to decision makers it is also necessary to look at the decision making process in order to identify the information that is needed.
It is basic knowledge that there are many governmental systems in the world ranging from countries that are run by Monarchies to those that are under Prime Ministers or Executive Presidents. While one can talk of democracies, autocracies, dictatorships, capitalism, socialism and communism each of these concepts has its own variations and peculiarities that make generalisation difficult and unwise. Within these confines however it is still possible to isolate certain common features.
In virtually all cases there will be on one hand the rulers and the political figures who wield power, make the decisions and strive in one way or another to fulfil the wishes of the governed. There will also on the other hand be the bureaucracy or civil service, the relatively permanent and stable corp of workers that is there to execute the policies and wishes of the rulers. The relationship between the two groups will of course differ from country to country, region to region and from continent to continent but at the end of it all records and archives are being produced and used whatever the system.
There is generally a mechanism for the formulation of the rules, regulations and laws that must guide and govern the conduct of the citizens or the ruled. These will be formulated in fore such as Parliaments where the civil servants still play an important role in the formulation of policy, in researching and designing programmes and in providing answers to the plethora of questions that may be raised. In the Western World the role of the civil servant in decision making is best exemplified by the comedy "Yes Minister".
The politicians or rulers usually have core groupings that meet to decide on important issues. Whether these bodies are referred to as Politburo or Cabinet nevertheless the civil servants provide a back-up service by providing the information that is required in the making of decisions.
The decisions are made at different levels of the organisation It is fairly obvious that the lower down the organisation one goes the lower the level of decision that must be made and in reverse, the higher that one goes the higher the level of decision. irrespective of the level however information will be required in one way or another. The births registration clerk will need proof of date of birth and parentage in order to issue a birth certificate. A doctor in a hospital will need certain information in order to decide on the illness and prescribe requisite medication. The immigration officer will need information in order to issue a passport or grant a visa. The senior economists in the Ministry of Finance will require certain information to produce the short, medium and long term economic plans for the country. The Permanent Secretary in the Ministry will require certain information in order to prepare his Minister for the Cabinet meeting or to address a certain forum. In all spheres of activity decisions are being made about the allocation of budgetary resources, the prioritisation of programmes, the granting of social benefits, the opening of new mines, the closure of unproductive ventures, the information to release to the public or the level of classification that certain information requires.
Records and archives provide the information that is required by those who make the decisions. The question only is whether these records are available to these decision makers and whether the decision makers are aware of their existence and thus make use of them when making decisions.