ARCHIVES AND RECORDS MANAGEMENT

Transcription

1 ARCHIVES AND RECORDS MANAGEMENT

2 Objectives and Content General principles and concepts in archival management Presentation of techniques, rules and information that could be used in the resolution of specific problems

3 Archives & Records management in the Information age Information and communication technologies (ICT) New media Information becomes a valuable asset for companies and institutions New legal framework impose new legal obligations: administrative transparency, personal data protection,

4 Archives Etymology - Definitions How do archives come into being? Understanding the creation of archives Why do we keep them? Archives past and present: An overview

5 Archives The total records (inscribed information) produced or received by natural or legal persons (individuals companies, public services, etc.) as part of their activities. The word archives also refers to An archival service, and The building in which is housed.

6 The World of Information Information science(s) - Library and archive science Archives and History

7 The World of Information From practice to theory New information technologies In search of the integrated information

8 Information science Archival science has comparatively recently evolved into a autonomous academic field Utilizing new technology As a part of the broader field of information science

9 Technological developments New tools for managing records New means for producing them

10 Archives and their use Instruments of Power Evidence Administration-Documentation Historical research

11 The Nature of the Archival information Archival information Organic : produced or received by a natural or legal person as part of its activities Inscribed / Registered New Media

12 Types of Value in an Archive Operational (Primary value) Administrative Financial Legal Evidential (Secondary value)

13 The Three-age Principle (Document Life cycle) Records are divided in three categories: Active / Current Intermediate/Semi-active Historical

14 The Three-age Principle (Document Life cycle) Origins of the principle Vital Records Retention schedule

15 Application of the principle Management of intermediate records Rationalization of records management Integrated Archival Science

16 Records management

17 Records Management The archive of a company or organization reflects its activities, decision making processes and phases of its evolution. Archives comprise assets for an institution or company.

18 Records Management - General Aims The management of an archive aims at the realization of quantifiable objectives to the benefit of the company but also to the benefit of the social environment in which it functions.

19 Records Management - Individual Aims Immediate and complete retrieval and distribution of all requested information Secure, that is controlled, access to information, and flow of information Ability to back up decisions, providing support for fast and well documented decisions Offers a record of history and a way to manage accumulated knowledge and experience in the organization

20 Records Management Conditions Any attempt to organize archival material is considered successful only if it meets the following criteria: It has to form part of an overall system of management of records in an organization or company It must be executed by personnel trained or familiar with archival methods It must be supported by the administrative hierarchy

21 Effective Records Management Incoming and outgoing documents should be recorded in a registration system Files should be arranged in a logical order: prepare a filing plan and get it approved and implemented.

22 Effective Management of Active Records Physical and conceptual classification of records in files The flow of records should be managed: make a distinction between files in regular use and those that are used occasionally regularly transfer documents to the archives centre

23 ISO 15489: Records Management Records management requirements Design and implementation of a records system Processes and Controls

24 Effective document management Tools: Retention schedule Filing plan 24

25 Retention schedule A comprehensive list of records series, indicating for each the length of time it is to be maintained and its disposition (ARMA). Also referred to as records retention schedule (RRS) and records schedule. 25

26 Retention schedule The retention schedule for each type of document shows: the duration of its administrative usefulness (DAU), i.e. how long it should be kept by the administration how it will be disposed of. Type DAU Disposal Comments 26

27 CREATION OR RECEIPT OF DOCUMENTS ANALYSIS AND REGISTRATION OF THE DOCUMENT The three stages of the Document Life cycle CURRENT RECORDS (Files in Current Use) INTERMEDIATE RECORDS (Closed Files) FILING : ORGANISATION OF DOCUMENTS INTO FILES STORAGE / CONSULTATION / DISSEMINATION CLOSURE OF FILES PRESERVATION OF CLOSED FILES HISTORICAL ARCHIVES (Files of Historical Value) APPRAISAL TRANSFER TO HISTORICAL ARCHIVES DESTRUCTION 27

28 Retention schedule The three-age theory is the basis of any programme to help a unit control the documents that it generates from creation to disposal or deposit in the historical archives. 28

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30 Arrangement The intellectual and physical processes and results of analyzing and organizing documents in accordance with archival principles

31 Purpose of Arrangement We arrange not simply to tidy up but in order to be able to retrieve a record easily and fast when we need it. A misplaced record is essentially a lost record.

32 Archival Units Record File Archive (group of records)

33 3.1. What are we filing? Records (in the appropriate files and subfiles). Files: define a (logical and hierarchical) structure. 33

34 Action files and serial files Action files Serial files Cases which are one-off" (distinct, discrete or unique) The duration of the case is unknown / irregular and nonrecurrent A type of case that is regularly repeated / repetitive Duration of the case is generally linked to a calendar or financial year Procedure is always the same

35 Types of filing Hierarchical filing : General, logical filing by a hierarchy of headings of all the (incoming & outgoing) documents in an administrative division, in accordance with a filing plan. Sequential filing : The documents or files are classified in a continuous sequence (consecutive-numeric filing) according to one criterion, which may be chronological, alphabetical, etc. 35

36 Sequential filing Criteria: alphabetical order : by personal name or corporate name chronological order: documents are filed in chronological order of events 36

37 Hierarchical filing This entails the intellectual and physical filing of all documents issued or received by the department. It operates according to a rigorously hierarchical framework: the organisation of documents in files and sub-files under a system ranging from the general to the particular. Filing is determined by the document s purpose; all documents dealing with the same case are classified in the same file. 37

38 F I L I N G Filing plan: consists of a hierarchical arrangement of headings P L A N File File File Allocating files to specific headings of the filing plan. A file can be allocated to only one heading in the filing plan Sub-files Subfiles A file can be divided into subfiles in order to facilitate their management. Documents Documents Documents Documents are placed into files or sub-files. 38

39 How to prepare a filing plan First stage: collect information Examine the records that the department produces or receives to see what topics have been dealt with and the documents topics. Colleagues should be asked about their work and the importance of the files. If the files are complex, this will help establish a hierarchy and assess the importance and development of particular topics. 39

40 How to prepare a filing plan Second stage: produce a draft Once the information has been collected, incorporate it in a structure subdivided into series, sub-series, files, sub-files. The references will be based on a symbol or filing, which can be numeric or alphanumeric: this will be the document address. 40

41 How to prepare a filing plan Third stage Get your draft approved by the users. Arrange training sessions for use. Reach an agreement with the rest of the department on a date for putting the plan into effect. Give yourself a trial period. 41

42 Implementing a filing plan Basic Rules Stick to the initial plan throughout the whole test period Choose a system of codes easy to remember Ensure that the physical arrangement of the files corresponds to the filing system

43 Filing Systems to be avoided Personal arrangement Layers of different arrangements Filing according to recipient/sender

44 Filing Systems to be avoided Filing by type of document Filing by alphabetic order of the themes Filing according to the organizational chart

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46 Keeping files in order Files have an internal order and more is required than putting a collection of papers in a folder. A file that is physically well organised is more manageable and easy to use. 46

47 How do you create a file? When a case first emerges, you have to open an appropriate file. The case will be identified by various criteria (but always the same ones): a title or identifier; the first and last dates; other factors depending on the type of filing used (e.g. a sequence number or a filing number). 47

48 How do you create a file? If a file is too complex, it may be divided into several sub-files. You should avoid multiplying files and dispersing information. Take care of the file s physical appearance: a clean well-identified file that is not too thick so it is easy to hold. 48

49 How do you keep a file in order? You must follow an internal order inside the file. Keep documents in order inside the files every time you use them (respect sub-files and chronological order). Eliminate documents that are of no immediate use : doubles, drafts, blank forms, brochures, documents for information. 49

50 How do you keep a file in order? Do not remove documents from a current file for use in a documentation folder, but rather make photocopies and return the documents to the file. Staple together a letter and its reply, a schedule and the associated document. Avoid using items that may damage documents (e.g.: metal paper clips, sellotape). 50

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52 Practical Advice Take advantage of searches carried out for the management staff to make them aware of the importance of document management. Keep yourself informed of your department s activities so you know how they are developing and you can be prepared to update the filing scheme. Speak to document management professionals inside and outside Parliament (archivists, document managers, secretaries). 52

53 Practical Advice When you set up a new filing scheme, create all the relevant files, boxes and hanging files in advance, even if they are not all used later. Check regularly that documents or files borrowed by colleagues are returned. When filing documents take the opportunity to eliminate duplicates. Make a short list of useful addresses (internal team, suppliers, removal staff, etc.). 53

54 Practical Advice Take advantage of the less busy periods to organize the archive and manage the accumulated records Do not deposit your records to the archival service before actually moving through all departments and offices in order to locate missing records and files

55 Depositing Records to the Archives Service The percentage of the archives that must remain close to their producer so as to facilitate his/her everyday activities does not go beyond 25%.

56 Depositing Records to the Archives Service Legal obligations and administrative profits Preliminary work Protocols of delivery/acquisition

57 Principle of provenance I Information - archival documents Record /Item = the quantity of information Derived from a natural or legal entity In a given time and place Related to a specific action / case

58 Autonomous records or related to other records? Groups of records with what criteria? Shape or medium Whether they have been derived from a specific person or group of people Whether they have been created with a specific activity Content, place, individual, topic

59 Five primary properties of the archive I Records are organic products natural products natural consequence of activities unique not in relation to their content only and external form but also as units of a whole

60 Five primary properties of the archive II The archive (records group) exists as a group a network of interconnected records and information comprises evidential value (proof of an activity)

61 «The total is bigger than the sum of its parts» Every element acquires meaning and role to the degree it is related to the rest of the elements, while the system itself has its own individual existence that is bigger than the sum of its individual parts

62 «The total is bigger than the sum of its parts» Records may release the maximum of their evidential capability only when they become incorporated in the environment that produced them and when they become examined under the prism of the function they created

63 Principle of provenance - Levels Records derived from a natural or legal person have to be kept concentrated and not dispersed and should not be mixed with records of other persons (Principle of Provenance) Records must maintain the arrangement given by the producer of the archive (Principle of Original Order)

64 Record group (Archive) The total sum of records regardless from chronology, material and form, produced or acquired by a natural or legal entity in the context of his/her activities.

65 Collection The artificial accumulation of records of any provenance under a common point of reference-theme, person, place, period, form, medium.

66 Record group (Archive) vs Collection In contrast to the archive that is formed naturally and automatically as the result of an activity of a natural or legal body and for this reason comprises evidential value, the collection is formed artificially in order to satisfy research or simply collecting interests.

67 Record group (Archive) vs Collection Thematic collections serve the purpose of the individual who created them excluding other researches Fragmentation of archival units Use of thematic criteria instead of preserving evidential value Loss of the record group (archive) to the benefit of the individual record Alteration of the very essence of the archive

68 Principle of provenance - Advantages Ensures that the unity of the archival memory is preserved Allows us to appreciate not only the content of the records but also their in between relations Comprises a way of structuring information. It is a system of access to these.

69 Principle of provenance - Advantages Provides an objective work unit for the acquisition, arrangement and description of archives. Makes archival work easier directing it towards bigger archival entities

70 Principle of provenance Practical matters Definition of the creator/producer What comprises an archival group = who is its producer Producer the central administration or individual administrative cell? Criterion is the administrative function and not administrative hierarchy

71 Minimalist - Maximalist approach Minimalist approach. Producer is the smaller administrative unit. There is a danger of fragmenting undivided archival units. Application in services with great autonomy as far as their units is concerned-universities

72 Minimalist - Maximalist approach Maximalist approach. Producer is the central government. The danger lies with the creation of difficult to use groups of many services in one. Application in organizations of small size with concentrated structures

73 Principle of provenance Practical matters Open and Closed archival group Closed comprises the archival group the producer of which has terminated his or her activities, while open when the activity of the producer continues Records produced by civil servants and elected members of government

74 Principle of provenance - Conceptual Unity Records of common source are tied in a common bond This bond Is of a conceptual nature and concerns exclusively the information of the record It is independent of Age (active-intermediate-inactive) Date Medium Subject

75 Principle of provenance - Physical Unity The archival bond functions also as a link for the group of various material media (paper, vinyl, film) that holds information The passing from the conceptual to the physical unity is justified only in cases when: Given certain gaps in research/organization, physical unity substitutes the conceptual one Physical decomposition in archival material imposes difficulty to the intellectual work of the archivist and researcher

76 Principle of provenance - Physical Unity The archival bond under no circumstances may be supported by physical contact of the records. On the contrary, if the archival service judges that the records must be placed in different spaces this does not contradict the principle of the archival bond.

77 Principle of Territoriality All efforts striving towards the physical unity of the archival material are supplemented and defined by the principle of territoriality. According to the latter, records must be kept in the archival services of the particular domain (country or region) in which they were created.

78 Principle of Territoriality The principle of territoriality (a principle that concerns the ownership of the archives) supplements the principle of provenance: The archive must be preserved and managed as a unified conceptual body by the archive services.

79 Principle of Territoriality This principle is contingent on international law and initially concerned only national territory (Vienna Treaty for the succession of states in matters of archival property and debts, 1983).

80 Principle of Territoriality Gradually, the principle became enforced and applied in the interior of states. The thinking being the same: An archive becomes upgraded when connected to other forms of local memory and becomes more easily accessible for local research.

81 Principle of Territoriality This principle is contingent on international law and initially concerned only national territory (Vienna Treaty for the succession of states in matters of archival property and debt (1983)).

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83 Archival description Indentifies and presents those characteristics of form and content intrinsic in an archive Description products: research tools.

84 Levels of description

85 Rules of Describing Description begins from generic and moves to particular Information has to be attuned to the level of description Descriptions have to be interconnected Avoid repetitions

86 International Standards ISAD-G ISSAR (CPF) ISDIAH Links between standards

87 A Research Tool The final product of archival description An information tool that includes metadata that allows for the identification, management and interpretation of an archive and which explains the context of its creation

88 Projecting the Archive- Communicating with the Public Unmediated and Mediated modes of communication (research tools) Cultural activity Educational programmes

89 Financial and Administrative Benefits Saves storage space Restricts demand for technical/material requirements Saves time Makes the management of active records easier and more efficient

90 Alert Services It is necessary through a systematic and constant flow of information to make these benefits widely known to the services involved.

91 Alert services It is necessary to create staff-links between different administrative services and archives services.

92 Processing (Retention) Apply guidelines from the table of records management to the inactive records. Remove multiple copies and records of minor value.

93 Depositing Archival Material: Preparation Check agreement between title and content Files keep the original arrangement, the one they had as active records

94 Storing Records in Boxes Records are kept in boxes. Boxes are numbered and their numbers are listed in the protocol of deliveryacquisition

95 Acquisition-Delivery Protocol It comprises data that allows us to decide: Who deposits? Who receives? The object of the transaction Time, place and the terms of this act

96 Delivery-Acquisition Protocol Records Code Title (exact) Time (date)

97 Delivery-Acquisition Protocol It s a contract between two parts Acts like a research tool until the record becomes subjected to archival processing. Therefore it has to be composed with the maximum attention and accuracy.

98 Control of Acquisitions by the Archives Service

99 Placement in Free Storage Space

100 Placement in Free Storage Space

101 Retrieving and Publishing Records

102 Electronic Records/Archives Are called the archives that are stored in media that require the use of a computer for the processing of the information which they hold.

103 Types of Electronic Archives Text databases text messages and attachments Digital images of texts Digital photographic files

104 Types of Electronic Archives Digital geospatial records Web content records PDF files (Portable Document Format) Audiovisual digitized records

105 Electronic (Digital) Records Maintenance Concerns the design and acquisition of media as well as the application of methods and technologies that are required in order to ensure that digital information will remain accessible and usable also in the future.

106 Electronic (Digital) Records Maintenance Keeping records in their original format. Access thus is made possible and extended in the future via the use of their original software. Transform archives so as to make them readable in future formats (digital transformation).

107 Digitalization It is the process of creating a binary representation of an object (e.g. text) which can be processed, stored, transferred and presented with the use of digital technology.

108 Digitalization-Advantages Fast and efficient retrieval Records become readily accessible and at a long distance Adds value to the material and increases the use/usability of the material Offers many, reliable and cheap copies enhancing use

109 Digitalization-Advantages Prolongs the life of the original records Widens access to archival material Puts storage cost down Protects, safeguards original records of crucial importance

110 Digitalization-Design Tasks? People involved? Venue? Date?

111 Digitalization-Design Tools/infrastructure required? Do we rely on our strengths or we have to buy specialist services? «Digitize only Once»

112 Digitalization Digitalization is not the solution to all problems!

113 Access to digital information - OCR OCR (Optical Character Recognition): This software recognizes the characters included in an image file and exports them in the form of a word file (ASCII)

114 Digitalization process A digitalization programme must have clearly defined objectives and this immediately has an impact on: The selection of the material to be digitized The protection of intellectual property rights The activities involved in the publication and exposure of the material to the public

115 Access to Digital Information/Metadata Thanks to metadata the search of free text is rendered obsolete, as every digital object contains cognitive/content traits that restrict the search results span

116 Access to Digital information/metadata The efficiency of metadata is enhanced when we follow established standards

117 Archival System The term National Archival System refers to the means which a given state holds and uses in order to Consist Preserve Process and Promote its archival material Preconditions: design, rationalization, co-ordination of action (elements lacking or just about emergent)

118 Elements of the archival system: Infrastructure Equipment Its role is crucial to Storage, preventive conservation and restoration, reproduction, promotion of archives

119 Elements of the archival system: Infrastructure Building Safe storage of the archives Symbolic function: Acts as the image of the Archive The architecture of the building is contingent Not only on the image which any country wishes to project But also on the country s climate

120 Elements of the archival system: Infrastructure Finances Define the span of human resources and of the technical-material infrastructure Differences from one country to another: amount - provenance of funds Common ground: the search for funds (fundraising)

121 Elements of the archival system: Legal framework National Archival Service The launching and function of this service forms the first step in the creation of an archival system Acts as example as far as Its function The solutions it provides to different problems The span of its responsibilities is contingent on the degree in which a given state is decentralized or not The degree of autonomy that local government and offices in the periphery hold

122 Elements of the archival system: Legal framework Legislation Archival legislation makes official and rationalizes archival interventions in any given country. It also acts as a point of reference for many basic concepts and carries implications for the professional camp.

123 Elements of the archival system: Legal framework Legislation It has to take into consideration the following: The characteristics of the archival material and the problems of composition and preservation of archives The available resources (financial, material and human), and the existing institutions Earlier legislation The structure and political establishment of a given state

124 Elements of the archival system: Archival Profession The most important element of an archival system Legislation contribute to the creation of a job market or recognition of professional status The growth of the profession is connected to the problematic and practices applied in the field of archives.

125 Elements of the archival system: Archival Profession The empirical and coincidental manner that characterized the growth of the profession until recently explains the diversity of techniques and methods applied across the world. A point of crucial importance: The struggle for the boundaries of the profession. The degree, that is, to which archival services may intervene in the management of active and inactive archives.

126 Elements of the archival system: Education -Training -Communication Archives management as a profession and as a scientific field of research is supported by many and diverse types of communication. The various educational environments: university, professional associations, cultural or research institutes In addition to research, all manners employed for the transmission of knowledge, (teaching, conferences, publications and journals) support the profession

127 Elements of the archival system: Education -Training -Communication The community of archivists suppressed by the practical problems has shown little interest for theoretical concerns and theory

128 Elements of the archival system: Education -Training -Communication Education is the most important form of communication. Differences in: Form: academic class or seminar, practical application, colloquium Level: degree, or post-graduate studies, professional, life long leaning Environment: National archives, universities, independent schools Orientation: History, administration, book science, information science

129 Elements of the archival system: Education -Training -Communication Education The educational system of each country must comply with the following: The individual problematic of the domain of the archives Professional experience and tradition Educational system Job market (public or private)

130 Elements of the archival system: Archival science With the term science we refer to the theoretical body, the concepts and principles that guide the practice of this profession The higher stage in the development of an archival system The orientation towards practice and the limited theory make archival science a point of convergence in national archival systems.