Professional Documents
Culture Documents
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Proceedings of the XXXVth International Conference of the Round Table on Archives Reykjavik, Iceland, 10-13 October 2001
Actes de la XXXVe Confrence internationale de la Table ronde des Archives Reykjavik, Islande, 10-13 octobre 2001
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I am deeply indebted to Mr. Patrick Cadell, the former Scottish National Archivist, for his valuable advice and comments.
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called electronic government. The result has been an enormous production of documents in electronic form. It is also a fact that ICT has made many things possible which were not conceivable only a few years ago. This has led to complexity in the information created. As a consequence, archival institutions have to decide if they are going to cover all new areas of the created information or if they have to refrain from some, such as pharmaceutical, environmental, meteorological, biomedical, genetic . This means that society has to face a new situation regarding the preservation and appraisal/destruction of documents. Besides the very evident factors of the enormous mass and the very complex nature of information in documentary form, we also have to face the question of what appraisal/destruction shall cover. It should cover all official documents emanating from all kinds of agencies regardless of level. It could also be argued that it should cover privatised public functions or bodies which are financed by the public sector. Here it can be difficult to draw clear borders. Regarding documents coming from the private sector, the legislator by tradition is much more reluctant to interfere, even if it is evident that these documents can be of immense value to society. You can see, however, that there are emerging signs that society will interfere even here. Traditionally, there have been regulations about keeping accounts etc. Today, there is also in the private sector a growing need, partly caused by legislation, to keep documents. As an example, you can take the pharmaceutical area, which can be said to be a very regulated industry. Its information is required to be kept for many decades, through the life of a drug product. The major driver for this is the United States Food and Drug Administrations new regulation on Electronic Records; Electronic Signatures. A key requirement here is that records created electronically must be maintained elctronically throughout their lifecycle. These conditions (i.e. legal needs) are likely to be more or less the same in the environmental and chemical industry, the car and aircraft industry and so on. Of course, there are differences in the public sector, where usually legislation demands that documents shall also be kept for the sake of researchers and the use of genealogists as a part of the cultural heritage. This kind of legal obligation does not as a rule occur in the private sector. The result will be that far more documents from the public sector will be kept than from the private sector with obvious consequences. What is deletion or appraisal? In the electronic environment, the question of what destruction means must be much more discussed. In the paper environment, it is easy to define destruction as the destruction of the paper with the text. In the electronic environment, this issue has to my knowledge not generally been clearly expressed in legislation. In Sweden as in many countries the law only says that documents may be disposed of. The National Archives has defined destruction in its own regulations: Destruction: destruction of official documents and information in official documents Destruction of documents / information in connection with transmission to another data carrier is disposal if the transmission means loss of information loss of possible combinations of information loss of searching possibilities and loss of possibilities to the authenticity of information. These rules in Sweden applicable only in the state sector and not in the independent municipal/local government sector follow from the obligations laid down in the Freedom of the Press Act. The main reason for them is that the public should continue to have access to certain information, kept by agencies in uncorrupted form, regardless of the medium in which the information is stored. If public access to documents were not assured to this extent in an electronic environment, where information is easier to access,
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the principle of equal access would not be fulfilled. According to this principle, the public and in the long-run researchers who will also benefit from this should have the same access to information as the public authorities. Accordingly, the archival legislation and our work are aimed at preserving the text and the context, that is the principle of provenance according to our interpretation. If you choose to do it in another way, then that way must be described and defined, preferably in law. From this it follows that, within a legal framework, in appraisal work it will be necessary to know what the original text and context were. If this is not adequate it can be seen as destruction and a reduction of your legal rights. For long- term use, and for researchers, the result can be that the original text or context cannot be accessed.
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relations between the institutions and the member states, member states should take care not to hamper the proper application of this regulation and should respect the security rules of the institution. In the regulation, it is said that each institution shall provide access to a register of documents. Nothing is said about deletion. Within the Council of Europe, there is work going on regarding a recommendation to official information. The work is not completed yet but in one draft says: Member States shall take the necessary steps to ensure that applicants can exercise their rights. To this end, public authorities shall manage their documents efficiently so that documents are easily accessible. apply clear and established rules for preservation and destruction of their documents set up, as far as possible, publicly available lists, registers or files of the documents held by the public authorities. In the Explanatory Memorandum which will accompany the Recommendation, the section of recommendation will be expanded to invite public authorities: to provide the necessary consultation facilities (equipment, reading rooms etc.), to take note of the need for physical security of documents, both traditional archives and electronic documents. The obsolescence of the systems underlying these electronic documents is particularly stressed, to provide lists of the documents held. Here, destruction is recognised as an impediment to access. It is evident that destruction is a much greater threat to access to documents than is the classification of documents as secret. When a document is subject to privacy rules, it is still there and an appeal can usually be launched against a refusal. Furthemore, the privacy rules are usually detailed and elaborated and carefully stated in the articles in this kind of legislation. I believe that the legislator in the near future will attach much more interest to regulating appraisal/destruction of documents, now that the first steps regarding access legislation have been taken.
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To this end, I believe that we within the ICA have to continue the cooperation with, for example, the EU and Council of Europe, to make further studies of how appraisal / destruction is carried out, what is regulated in law, what appraisal/destruction is in electronic environment and so on. To achieve this, one way could be to create a database of all kinds of legal requirements. One should furthermore analyse definitions, terminology and mandates of National Archives and other agencies and bodies involved. Both supranational and national legislation should be targeted. One might start by investigating a region, as it will obviously be very difficult to cover all the regions in the whole world at the same time. Appraisal/destruction should be addressed by several of the ICA committees and bodies and ICA should be charged with co-ordinate these efforts and disseminating the results. Even so, it will take a lot of resources to carry out the study, coordination and work as suggested above.
Claes Grnstrm