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This is European Union co-operation at work!
Willing to change: The Swedish National Archives at
the Threshold of the Digital Age
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by Hans Hofman & Karin Buckens
Introduction
In the last decade the technology and the use
of information and communication technology (ICT) have been quickly changed and
still are changing. This has all kinds
of consequences including for record keeping and archival management. How should archival authorities respond to
these changes? What impact do they have
on the position of an archival institution?
Do archives have to change their conceptual thinking about records,
information or documents? How can
archives use the opportunities IT has to offer?
Answers to all these questions are not clear
yet and mostly still have to be found out.
In the meantime however archival authorities have to carry on in
fulfilling their tasks and responsibilities.
What is the best strategy in this?
Enough reasons for the Riksarkivet or the
Swedish National Archives (SNA) to ask for a peer review. The Riksarkivet is wondering whether their
strategies in dealing with official electronic documents, especially with
respect to their creation, management and access, are adequate and effective. I have been asked for this peer review for
reasons that I am considered to be an expert from outside Sweden, and as such
have an overview of developments going on in the field of electronic
records. The focus of this review was
on the level of strategies and not on the operational level. I conducted this review in collaboration
with Karin Buckens, who contributed with respect to the framework of the research and the management aspects.
This report presents the results of the
review. After the summary, we will give
in the first chapter a short overview of the Swedish situation concerning the
legal and organisational context with respect to official documents. The second chapter deals with the
characteristics of the changing environment and the impact of ICT on record
keeping.
Apart from that it gives an outline of the
international scene. In chapter three
the research questions are presented and some information is given about the
way the review has been carried out.
Chapter four goes into the results of the
interviews. Chapter five presents an
analysis of the data with respect to the research questions. We finish the report with conclusions and
recommendations in chapter six.
We like to thank everyone of the SNA who helped
us in doing this research, especially Claes Gränström, who co-ordinated everything and guided us in this review, and Mats Burell from the Inspection department, who assisted us very well during the whole research in making
minutes of meetings, translating many Swedish documents and arranging the
interviews. The hospitality of the SNA
was represented in the way Mrs Birgit Conrad arranged our visits. It was outstanding!
Hans Hofman
The Netherlands
August 19, 1998
Contents
1. Legal and organisational context
in Sweden concerning official documents
1.4 Main
activities of the SNA
2. Characteristics of the changing
environment
2.2 Transition
from paper to digital
4.3 The
Swedish National Archives
5.2 Issues
in the current situation
Formal
competencies and resources
5.3 Issues
concerning the policy-making process
6.2 Three
components of the policy making process
7.1 Appendix
A: Overview of available documentation
7.2 Appendix B: Interview protocols
Interview
protocol, Legal councillors
7.3 Appendix C: List of interviewed persons
7.4 Appendix D: Some key concepts
The
definition of a record or document
7.5 Appendix
E: About the authors
Executive Summary
Archival institutions are confronted with the
consequences of the developments in ICT (information and communication
technology) and the increasing use of IT in government administrations. These consequences have a crucial impact on
record keeping and archival management, the core business of the archival
discipline. The exact significance is
however still difficult to establish.
What is clear at the moment is that existing methods and infrastructures
in record keeping are no longer applicable in the new environment that is
emerging. The rather stable situation
that existed in the paper-based world has disappeared.
Subsequently a new paradigm is needed, that is
based on fundamental archival concepts.
Yet this paradigm has to be developed, not only in Sweden, but all
around the world. That means that
archival authorities and institutions have to formulate new strategies to deal
with the results of the developments in ICT.
The Swedish Riksarkivet (National Archives) has
asked for a peer review in order to assess whether it is on the right track and
whether it is using the right strategies in order to deal properly with
electronic records, or as called in Sweden official documents in digital form.
The activities carried out by the Swedish
National Archives (SNA) so far regarding electronic documents are mainly based
on existing methods and on a rather traditional approach. Within the SNA a growing awareness is
emerging that this approach is not adequate and there is a strong willingness
to change this situation. The existing strategies
and activities consist largely of issuing regulations and are furthermore
mainly on an operational level. The
activities in general lack a coherent vision.
One of the consequences is confusion and uncertainty at agencies that
want to transfer electronic documents and are most willingly to comply with the
requirements of the SNA. So the
activities of the SNA do not have the desired effect.
Determining for the strategies is the existing
legislation, which in Sweden is based in particular on the Freedom of
Information Act. Other acts such as the
Archives Act, the Data Protection Act and the Secrecy Act are subordinated to
this act. These laws define the
mandate, mission, and scope of the activities of the Swedish National Archives,
which can be described as preserving the integrity of documents and
guaranteeing access to these documents.
The recommendations concern both strategic
aspects and pragmatic initiatives that could or should be taken.
In order to be able to accomplish its mission
in the digital era the SNA has to take into account that developments in ICT
will cause continuing change and that a dynamic mechanism is needed to be able
to assess permanently the relevant developments, to identify the consequences
for the SNA and to translate them into appropriate policies and subsequently
into activities.
This dynamic policy-making process has to be
supported internally by an adequate organisational structure or a kind of
platform for discussion e.g. Intranet
that would stimulate a shared vision.
This vision and the policy or strategies derived from it should guide
the activities.
Since many issues are still unclear and have to
be investigated or developed, scientific research is required. At the other hand life is going on and that
requires practical instruments and guidelines.
Strategies have to deal with both sides and support a good balance
between theory and practice. They
should foster an ongoing mutual exchange of information, knowledge and
experiences.
On a pragmatic level it is recommended to
establish what is already available and what could be used to build upon. On this basis, new instruments, procedures
and methods should be developed.
Examples of such activities are:
·
the performance
of experiments with respect to issues around equal access in order to acquire
more practical experiences and a better insight in about what is possible and
what not;
·
the common
development of a procedure of transfer of electronic documents;
·
the development
of a quality assurance system for records management, and
·
collaboration
with other government agencies in Sweden as well as with archival institutions
in other countries on specific issues.
Transition to a more pro-active attitude and an
early involvement in the documents life cycle is needed. The introduction of new methods such as
functional appraisal and/or the establishment of a set of baseline requirements
for record keeping could achieve this for instance.[1]
Essential for this new approach are obviously
sufficient resources, both skilled people and funding. Apparently the present budget is not
allowing for these necessary investments.
1. Legal and organisational context in Sweden concerning official documents
1.1 Introduction
This chapter will give an overview of the
Swedish situation concerning the legislation with respect to official documents
in general and to the creation, management of, and access to (official)
documents as part of the cultural heritage especially. Secondly it presents the formal position of
the Swedish Riksarkivet (SNA). Both
aspects are necessary for this review and to analyse the Swedish situation with
respect to electronic documents.
It is mainly based on documentation and
publications. These are listed in the
literature list in appendix A.
Furthermore the following is improved and corrected with additional
information from discussions with people from the SNA and from interviews with
legal councillors and record creating agencies.
1.2 Legal context
Records and archives management in Sweden is
ruled mainly by two acts, the Freedom of the Press Act (FPA) and the Archives Act
(AA). Apart from these two laws there
are the Secrecy Act and the Data Act, which have influence on the access to
official documents in general and official documents specifically. Leading is the Freedom of Press Act as one
of the three Swedish constitutional laws.
The main principles of this law are:[2]
1.
the public has
free access to official documents;
2.
the Freedom of
Press Act is applicable to all official documents in the keeping of a public
authority;
3.
each government
organisation is responsible for proper documents and archival management;[3]
4.
equal quality of
access to official documents for the public;[4]
5.
conforming the
legal interpretation of the Freedom of Press Act it does not matter whether or
not the authority has actually produced the information, but whether or not the
information can be made available by ordinary means ('potential
documents'). In this respect it is
crucial to establish that also the National Archives preserves documents or
information (as 'potential documents').[5] The term record as
used mostly is not applicable in the Swedish context, because of the broad
definition of a document in the FPA.
Both the Secrecy and Data Protection Acts contain restrictions to the right of free access.The essential part of the Secrecy Act with respect to record keeping is Chapter 15, which prescribes the immediate registration of official documents.This registration enables the identification of (classified) documents and whether they can be released or should be kept secret. The Secrecy Act also contains some rules about the accessibility of electronic documents for the public.
The Data Act contains regulations concerning
the privacy of private persons and the use and preservation of personal
data. The European Data Directive of
1995 has as a consequence that this law has to be adapted. The main issues in this respect are the
preservation of personal data after they are no longer needed for the purpose
for which they are created, and the obligation to inform citizens about the
existence of the data. The new rules
have also an impact on archival material, although the interpretation varies
between member-states of the European Union.
The tendency in Sweden is to stay close to the letter of the law.
1.3 Organisational context
Based on the Archives Act and the Freedom of the
Press Act, government organisations and archival authorities have several
responsibilities concerning record keeping and access to official documents.
Government
organisations
The central Swedish government consists of the
Cabinet Office, 13 ministries and a General Services Division. Apart from these authorities there are many
other government agencies, mainly courts and administrative authorities.
According to the Archives Act all government
organisations have the responsibility
1.
to maintain their
archives; [6]
2.
to enable free
access to official documents for the public; one of the duties is to register
official documents in order to ensure that the public can establish their
existence; [7]
3.
to use
appropriate material in producing documents;
4.
and to give due
consideration to the importance of official documents at their registration;
5.
to draw up an
archival description or inventory;
6.
to protect
documents against destruction, damage, theft and unauthorised access, and
7.
to carry out
prescribed disposal.
This legislation also concerns municipalities
and municipal agencies, but they are not treated in this review.
Archival
authorities
The Swedish Archives Act dates back from
1990. The General Archival Statute from
1961 preceded this act. The main
difference is that the new Act gave the National Archives a broader mandate and
is more in line with the Freedom of Press Act.
The Archives Act has apart from safeguarding
cultural heritage the following objectives:
1.
to provide a
framework for access to official documents;
2.
to ensure for the
government organisations access to their records, and
3.
to preserve and
make available relevant information for research.
The responsibilities of archival authorities
are regulated in the Archives Act of 1990 and the Archival Ordinance (AO).[8]
Excluded from the authority of the Swedish National Archives for certain
issues are parliamentary authorities, authorities within government offices or
the Ministry of Foreign Affairs.[9]
The Swedish National Archives is subordinated
to the Ministry of Culture. Mainly budget
and legal aspects (regulations) determine the relationship with the Ministry of
Culture. Each year a budget request has
to be made. This will be the basis for
the working plan of the SNA.
Examples of the legal aspects are the
consequences of the European Data Directive, copyright aspects, interpretation
of the FPA, etc. Furthermore, the SNA is the controlling
authority towards the regional archival authorities (landsarkiv).
The main responsibilities of the SNA are:
1.
Supervising
government organisations except the Parliamentary authorities, authorities
within the government offices or the Ministry of Foreign Affairs. The records
management of these organisations are regulated by special orders (Parliament
Chancery Order and Cabinet Chancery Order). The SNA can give advice to these
government bodies.
2.
Issuing
regulations on technical/physical matters to ensure the quality of the
documents. (medium)
3.
Preservation of
(archival) documents.
4.
Giving permission
to agencies in case the organization changes, about the adaptations with
respect to creation, appraisal and disposal of documents. (AO, section 6)
5.
Issuing
regulations and/or giving permission for disposal of documents. (AO, section 14)
6.
Issuing
regulations on 'archival processing', description and cataloguing, transfer,
and return of archival documents (AO, section 11).
On the issue of data protection, the SNA has to
communicate with the Data Inspection Board.
Since the new Data Act (1998) the SNA is acting on the same level as the
Data Inspection Board. Until then the
latter had more mandate and the SNA was in a way dependent on the decisions of
the Data Inspection Board concerning disposal.
Now the SNA is the ultimate authority with respect to disposal of
personal data.
An important player in the field of government
administration is the Statskontoret or Agency for Administrative
Development, which has also the power to issue guidelines towards government
organisations.
Furthermore, the SNA is participating in several
committees, such as a committee on legal matters, a committee on realisation of
reliable communication between government organisations, standardising
committees etc. In this way it tries to
influence or at least to be involved in the developments related to ICT within
public administration.
Summarising:
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Act --------------- parts |
Freedom of Press
Act (first version in 1766) Revised in 1994 |
Archives Act
(1991) |
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Scope |
Government organisations and archival authorities |
Government organisations, and archival authorities |
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Purpose |
to encourage free interchange of opinion and the enlightenment of the public |
to secure the access, and preservation of official documents as part of the cultural heritage |
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Object |
Official documents; Documents including 'any written matter, picture, or record which can be read, listened to, or otherwise comprehended only by means of technical aids' (article 3) |
Official documents and '... such documents as are referred to in Chapter 2 Section 3 of the FoPA' (Archives Act 1991, Section 3) |
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Rules / requirements |
Access free of charge for the public from the moment that a document has become official |
· Authorities are responsible for their documents; · There exists no transfer period; · Free access to official documents; · Archival authorities have supervising competence on authorities except ..; · Official documents may be disposed of; · Archival authorities have regulating competence conformingly the Archival Ordinance |
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Exceptions/
restrictions |
· Chapter 2 article 2: |