Bu makale teknolojik gelişmelerin arşivcilik mesleğini nasıl etkilediği ve arşivcilerin değişen dünya şartlarına ayak uydurabilmeleri için arşivcilik mesleğinde ne gibi değişimlerin olması gerektiği konularına değinmektedir. Bu amaçla öncelikle bilgisayar ortamında üretilen evrakların özellikleri üzerinde durulmuştur. Bilgisayarın evrakların yaşam döngülerini nasıl etkilediği ele alındıktan sonra bilgisayarın evrak üreten kurumlar üzerindeki etkileri araştırılmaktadır. Makale son olarak bu gelişmelerin arşivcilik eğitiminde nasıl ele alınacağı konularına değinmektedir.

Introduction

The management of electronic records demands a new approach to traditional archival principles and practices, as well as the development of new skills. If archivists and records managers are to manage electronic records, they must acquaint themselves with the computer and associated telecommunications technologies. The nature and characteristics of electronic records needs to be understood. A new approach to life cycle management must be developed in order to accommodate electronic records. It is vital that the organisation, its environment and management are studied in order to determine how computer applications affect organisational structures and management cultures. The archivists and records managers must be involved in the design and implementation of information systems so that their requirements are taken into account at this early stage. It is also necessary to investigate the use of information technology in information processing, retrieval and storage.

Types of Electronic Records

Digital Documents: These are the electronic records that most closely correspond to their traditional counterparts; word processed documents, electronic mail messages, scanned images, and computer-aided designs are found in this category.

Databases: These are collections of logical records forming a database file. Databases can also be defined as the collection of files with pre-determined relations. Such a file, for example, can include a master file (consisting of logical records), an index file or files, catalogue, report, format and view files. Examples of databases include any set of data managed by a database management system (DBMS), spreadsheets, project planning, forecasting systems and so on. A database management system usually has a resource directory (also known as an information resource directory system or IRDS) built into the system, providing details of record layout, relationships between records, file and record hierarchy and user accounts.

Statistical Data: This category consists of any set of data, such as census and survey data, collected for statistical purposes and managed by statistical analysis software.

Artificial Intelligence (AI): These systems are designed to solve complex problems that require reasoning. The most common applications of artificial intelligent systems are natural language processing, robotics and expert systems.

Hypermedia and Hypertext: Hypermedia refers to documents consisting of text, data, images, graphics and sound used in a hypertext environment. A hypertext system can link data in different formats with the aid of keywords, phrases, concepts, etc., all of which activate the system.

Remote-Sensing Systems: These are systems, which receive input via remote sensors. The computer receives and stores the data, for example, about the environment, crop growth, the atmosphere and so on. The data is not aggregated and therefore is likely to have a high research value.

Geomatic Information Systems: Geomatics is the scientific and technical domain concerned with geographical data. Geomatic information systems include land and geographic information systems, automated mapping systems and digital image processing systems.

Characteristics of Electronic Records

Electronic records have two important characteristics. They reside on a fragile medium and they are dependent on the system (computer hardware and software).

Storage Media: Storage media for electronic data are of concern not only to computer manufacturers, but also to archivists, records managers and information technology managers. Archivists require a stable, standard medium for the long-term preservation of electronic records, while the computer industry has been hard at work manufacturing and marketing new products on a daily basis. Media are getting more compact, and their density and life expectancy are increasing.

Although optical storage technologies have been on the market for some years, magnetic tape has been, and still is to some extent, the primary storage medium for archival preservation. This is due to the fact that it has been on the market longer than optical storage media has. However, optical disks promise to provide a longer life expectancy, a larger capacity and improved access to the data stored, therefore being of greater interest to the archivist. A number of projects have been undertaken by archival repositories around the world to test the suitability of optical media for archival preservation. [1]

The vital issue here is for the archivists and records managers to be able to decide what to choose, as there are, as yet, no internationally accepted standards for storage media. Optical disks, for example, come in different sizes, densities and recording techniques.

System Dependency: Electronic data is machine dependent. Without a computer, the data cannot be accessed. In addition, electronic data can be dependent on a specific type or make of computer. The exchange of data between heterogeneous systems is possible. Upon acquisition, electronic data is converted into a standard format that can be read and manipulated by the archives’ computer system.

However, electronic data created under the control of specific software cannot be easily transferred to a standard format or to any other vendor dependent format. Even when transfer is achieved, the format of the data is likely to be lost, if not completely, than at least partially. Therefore, software dependency can pose a serious barrier to the preservation and future use of electronic records.

The problem of the software dependency of electronic records has proven to be the most difficult hurdle to overcome. The data is most useful when retrieved under the software package with which it was originally created. However, it is neither practical nor possible to keep the software with the records. Firstly, software is released to the licensee under a leasing agreement. The use of the software by anyone other than the licensee would be breach of copyright law. Secondly, it is not feasible for the archives to purchase every software package needed to access the data in its electronic collection.

This means that the data should be translated into a standard format. Transferring data to a standard format may lead to some contextual information being lost. Almost every software package has different user interfaces, different query languages and different file creation and editing procedures. Some of these procedures may have logical or hierarchical relationships with the text itself. If a file with these kinds of attributes is transferred to a standard format, its distinguishing marks, such as highlights in the text or logical footnotes, will be lost.

Database management systems include query languages, providing facilities for the storage, retrieval, updating and deletion of records. They also show the way the database was constructed and used. Query language attributes may also be lost when a database is transferred into a standard format.

Almost all software suppliers build data migration facilities into their products. This enables users to retrieve data even when the software becomes obsolete. However, it is more difficult to exchange data between heterogeneous systems than between different releases of the same software product from a single vendor. Every supplier processes data in a different way and the relationship between the data and its format is handled differently. Different types of software are embedded with different user interfaces and/or different query languages.

Data exchange standards provide vendor independent data exchange between heterogeneous systems. Records managers and archivists need to explore these standards fully to ensure the preservation of information that has continuing value.

Data exchange standards have been the concern of many software vendors, user groups and standards organisations at national and international levels. As a result, a number of standards have been developed for the exchange of data between heterogeneous systems. These can be grouped into three categories. The first group consists of the standards developed by the International Standards Organisation with the open system environment, known as the Open System Interconnection (OSI) Reference Model. The second group is the Application Portability Profile (APP), developed by the National Institute of Standards and Technology in the United States. The third group comprises individual standards related to the exchange of data developed outside the OSI and APP. These standards include some of the American National Standards Institute (ANSI) standards, the Consultative Committee on International Telephony and Telegraphy (CCITT) recommendations and industry standards. [2]

The Life-Cycle Concept and Electronic Records

Records managers and archivists have practised life-cycle management of records for some time. This basically involves the application of a series of interrelated professional procedures as the records pass through three distinct and separate stages: active, semi-active and inactive. Normally, records managers are responsible for the creation or reception of the records by the organisation and for their maintenance, use and appraisal. When records become inactive the archives take over the responsibility for their selection, description and arrangement, preservation and classification. Despite the fact that records managers prepare retention and disposal schedules and carry out some form of appraisal, the final selection of records for permanent retention is not usually carried out until the records become inactive. Therefore this function is performed mainly by the archivist.

Table 1 illustrates the life-cycle process, as it is usually practised by the records management and archival community. In fact, the life-cycle process does not assign specific roles and responsibilities for records managers and archivist. This is a flexible concept and does not dictate strict guidelines. It merely establishes that records should be managed in phases. In each phase there is a function to be carried out, but it does not designate which particular professional should carry out the task. Rather, the professional chosen would be the most suitable and qualified to carry out the task.

Records management & archival functions	Active stage	Semi-active stage	Inactive stage
Creation / reception	RM
Filing and classification	RM
Maintenance & use in the offices	RM
Scheduling / first review	RM/ARC
Disposition	RM
Transfer to records centre	RM
Maintenance & use in the record centre		RM/ARC
Appraisal / second review		ARC
Transfer to archives		ARC
Acquisition			ARC
Arrangement and description			ARC
Maintenance & use in the archives			ARC

As the traditional application of the life-cycle concept deals mainly with physical entities, the life-cycle concept initially appears to be inadequate for managing electronic records. However, as long as the records manager and the archivist can be flexible in performing their record-keeping procedures, the life-cycle concept can be a useful basis for managing electronic records.

The life-cycle process is traditionally interpreted as starting from the creation or the reception of the record by the organisation. However, the life-cycle process of electronic records should start at the design stage of computer-based information systems. Decisions concerning the retention and disposal of records, the classification of records and the flow of information within the system must be taken at this stage.

Usually computer-based systems have in-built facilities for managing the records within the system itself. Records management functions, such as retention and classification can be programmed into the system and carried out automatically. Sometimes these functions can be invisible to the user and to the systems manager. Records management procedures, which provide the means of verifying the authenticity of records and the functions of the organisation, become machine dependent.

It is very difficult, if indeed possible, to determine the active, semi-active and inactive stages of electronic records. In a paper-based system, it is the frequency at which the records are used that determines whether a record is active, semi-active or inactive. When a record ceases to have administrative value, it becomes semi-active and is transferred to low-cost storage. However, with electronic records the semi-active stage virtually disappears. In order to provide a safe backup copy, electronic records are stored in off-site premises, similar to the record centres used for paper records. But such records are not necessarily semi-active or inactive. It is vital that the archivist receives a copy of the records as early as possible, because electronic records will not survive long periods of time unattended. Thus, if the life-cycle process is defined by frequency of use, it is possible for electronic records to exist in active, semi-active and inactive stages at the same time.

Organisation and Management

Records managers and archivists have tended to overlook the theory of organisation as it has developed over the last hundred years, despite the fact that their work is directly related to the structure and activities of administration. In order to be able to record and preserve the documentation generated as a result of the activities of large complex organisations, records managers and archivists must make a thorough study of the nature of modern organisations. Modern organisations have become increasingly dynamic. Their structures become more complex as the organisations grow. Rigid rules governing the inter-personal relationships within the organisation have been replaced by more flexibility. Organisational procedures and regulations are developed to improve the effectiveness and efficiency of employees, thus increasing productivity.

The impact of information technology on the structure, business strategy and management of organisations is of major significance and must be taken into account by records managers and archivists. The effects of the computer on an organisation can best be illustrated by looking at how it affects the managerial job. The management style of the organisation and the nature of the managerial function define the culture of the organisation. The structure of the organisation, the level of centralisation in management, the flow of information between different management levels and the relationship with the environment are determined by management decisions. [3]

The information processing power of the computer has affected the nature and content of managerial jobs in three important ways. The speed of the computer has changed the nature of the decision-making process, while its accuracy has increased the reliability of the decision-making process. Its ability to perform complex analyses has broadened the scope of the manager’s job.

Speed: The computer’s ability to perform millions of operations or calculations within seconds has obvious effects on management. Database management systems, for example, can store a number of details about a person, an event, a phenomenon, etc., and show the relationship between them. When required, the data can be summarised and reported quickly. Information that might be impossible or at least very time consuming to obtain with manual systems, can be available in a matter of seconds. This information can be used by the manager in a variety of formats. The manager’s decision-making process thus becomes faster. Furthermore, some routine managerial jobs can be computerised, giving the manager more time to turn his attention to other areas. Decision support systems can also help the manager to forecast future events based on past experiences.

Accuracy: Modern computer hardware is very reliable, if properly programmed. Computer errors are mainly caused by a software failure or incorrect input, that is to say, by human error.

Ability to Analyse Complex Problems: The speed and reliability of computers enable managers to analyse problems using ‘if then’ questions. The computer can determine the solution to a wide range of problems. It can analyse changes in the nature of the problem or situation in a short time, giving the manager alternative solutions for different circumstances. Decision support, forecasting and financial analysis systems provide managers with the possibility of making realistic predictions, thus giving them more control over future events and helping them to avoid the unexpected.

All these advantages associated with computers also have an impact on organisational structure. The question of whether computerisation facilitates centralised or decentralised management has been debated by many management analysts. Centralised management means that decisions are made as high as possible in the organisational hierarchy. Under decentralised management, middle and lower management are given more incentives to make decisions and to participate in planning and goal setting for the organisation. The computer can facilitate either management style. This is illustrated by an analysis of the management functions and the role of middle management in an organisation and the degree to which these functions can be computerised.

All managers are concerned with planning and forecasting, organising, staffing, directing and controlling. The difference between top and middle management is only the level of their participation in these functions. The middle manager’s role is to support the upper level managers and to carry out routine planning and organisational functions. Top level managers are engaged in more strategic decision-making activities. If the routine functions of middle management can be computerised, which to a great extent they can be, the role of middle management is bound to change. Some argue that the computer will make middle managers’ jobs more challenging. Since their routine jobs can be carried out by the computer, they can take up more responsibility in strategic decision-making activities. There may be a significant decrease in the number of managers needed by the organisation, but those who remain will have more power in decision-making.

Some analysts foresee that the introduction of computers will eventually lead to the disappearance of middle management. John Cornell, executive director of the Office Technology Research Group in the U.S.A., notes that:

We made the layers because we couldn’t move information fast enough. If information becomes available instantaneously, then we have to ask why you need all those layers. If the answer is, ‘Maybe we don’t’ then the impact will be on the middle management. [4]

Office automation consultant Amy D. Kohl reports on a number of companies whose management pyramid has flattened after computerisation.

Rigid hierarchical structures have begun to crumble at the best-managed companies. Replacing them are leaner, more fluid organisations with fewer levels of management and more direct lines of communication between the top and the bottom. Instead of relying on entrenched specialist bureaucracies, companies are pulling together a few key managers on an ad hoc basis to solve the immediate problems... [5]

Records managers and archivists must understand the structure of an organisation if they are to deal with the information it creates and uses. Records managers must base the design of the information systems they introduce on the structure of the organisation and the flow of information within it.

Information Systems

Archivists and records managers need to get more actively involved in information systems and their design more actively. When designing a system, there are a number of issues that need to be considered.

Organisation: Information system design must take into account the primary function, size and structure of an organisation. For instance, the primary function of agencies within a government is to run the country. The size of these agencies is usually very large and their structure consists of the arrangement of the component departments, divisions, sections, etc. and the relationships between them.

Management: The system design should also take account of decision-making requirements and the level of centralisation. Decision-making usually takes place at top and middle management levels of the organisation, where quick access to information is required.

The chain of command affects the information system. It can be short or long, depending on the structure of the organisation. Organisation theorists suggest that there are two types of organisational structures, tall and flat structured organisations. Despite the length of chain of command, there are three main management layers in an organisation, each having different information requirements which need to be considered in information system design.

- Managers at the strategic level are interested in where the organisation is going and how it can assist in decision making

- Middle level managers are engaged with organising work to achieve long-term strategies as defined by the top management. Their interest in the information system lies in planning tools and forecasting applications to estimate the effectiveness of particular tactics.

- Managers or supervisors at the operational level keep the business up and running.

Information Technology: Computer and associated telecommunications technologies are increasingly important to organisational efficiency. Especially in the last two decades, developments in the capabilities, speed and compactness of computers and the sophistication of software have made computers so attractive that many organisations world-wide have become computer dependent. This is illustrated by a survey undertaken by the University of Minnesota Management Research Center on the impact of computers in different types and sizes of organisations. The survey showed a decline in organisational operations after computer failure from 96% to 9% in 10.5 days. [6]

External Effects: An organisation’s information system is affected by external influences. These include external users of information systems and the organisation’s dependency on external information. External users employ the services provided by the organisation and the information it maintains. The legal obligations with which the organisation has to comply also have an external effect.

The Use of Information Technology in Information Processing

Today, computers are used in most areas of office operations, particularly in data processing, office automation systems and structured or semi-structured decision support systems. These main areas of computer applications are interrelated, and it is difficult to draw boundaries between them.

Transaction/Data Processing: Data processing is mainly used in day-to-day transactions, public inquiry systems and housekeeping records systems. The level of management involvement is low. The value of records is minimal and retention requirements are short term.

Office Support Systems: These systems may include one or more applications, such as word processing, electronic filing, electronic mail and data storage and retrieval. Records created within these systems have mid-term or long-term value and reflect the activities of the organisation. Therefore, these records concern the records manager and the archivist.

Decision Support Systems: The main applications of decision support systems are data analysis, spreadsheets and expert systems. The information is fed into the system by data processing and office support systems applications. These systems are mainly used in formulating policies and strategic decision-making. Therefore, records created in these systems will have high informational and evidential value and are likely to be preserved for long periods.

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