The Status of Electronic Archives in Norway

1. The Status of Electronic Archives in Norway Riga, 22. march 2007

2. Agenda • Status for electronic records and archives • The development of the NOARK-standard (version 3, 4 and 5) • Norwegian standard for electronic document systems (NOARK) • from electronic registry to ERMS (electronic record management system) Norsk Arkivråd - Per Ivar Hammershaug

3. Some issues to keep in mind… • The notion of an archive is: • Focused on the document • There is no word equivalent to ”record” • We often refer to information in databases as professional systems Norsk Arkivråd - Per Ivar Hammershaug

4. Some issues to keep in mind… • The ”registry” is important: • As log for finding documents • Our Freedom of Information Act (FOI) is based on using the registry for identifying documents one wants access to • The registry is also the basis of transferring archives to a repository Norsk Arkivråd - Per Ivar Hammershaug

5. Some issues to keep in mind… • We refer to an administrative officer as a ”saksbehandler” when working with documents and their contents • Literally a case handler • The documents are collected in a ”sak” • literally a case or one could say a folder • ”Saksbehandling” ??? (”Case handling”) Norsk Arkivråd - Per Ivar Hammershaug

6. CASE = FOLDER It must be stressed that the case concept of Noark is not primarily a question of what is correct and what is incorrect, but rather of how it can be used in an appropriate way. Registering cases and case information is primarily a tool for grouping case documents which belong together, under a common identity, which facilitates clarity and retrieval for both electronic records and physical records. The use of a separate case level replaces the traditional linking that was used with manual registration. Norsk Arkivråd - Per Ivar Hammershaug

7. Status of electronic recordkeeping 1 • Some have started • Others are about to start • Some have not even contemplated the issue Norsk Arkivråd - Per Ivar Hammershaug

8. Status electronic recordkeeping 1 • This is our situation: • RMS (ERMS?): Noark-4, • electronic case-working • and partial or fully electronic filing • many still keep and define the paper as the original record • dedicated task systems (ERMS?): • there is no common design for record-keeping functions, • often not included in the registry, and no internal registry • No integration between professional systems and RMS • duplicate registration and filing • or no filing! Norsk Arkivråd - Per Ivar Hammershaug

9. System requirements • Electronic document systems must conform to the Noark-4 standard • Folder (case) • Registry post • documents • All main documents in a “folder” must be electronic • Attachments may be stored on paper, but normally electronic storage Norsk Arkivråd - Per Ivar Hammershaug

10. Hovedstruktur som Noark-4 Noark-5 database? Noark-4 database Noark-3 database Administrative Partitioning by date (also non- hierarchical) Exa: Project-, Presedens-folder Exz:Other EMRS Arkiv Administrative Partitioning by date Record section Classification Scheme Delarkiv Basis- folder Classification Scheme Classification Scheme Primary folders Project Folder Expansion Static Administrative partitioning Secondary folders Folder Registry- post Simplified registry Registry- post Docu-ment Docu-ment Logged document Docu-ment Version VersjonVariant Format VersjonVariant Format Version Archive Archive Record section Folder Skjematisk tolkning av Noark 3-4-5. NB: Noark-5 er ikke ferdigstilt pr dato.

11. Starting point • The function of Archives and Records Management (or the creation of records/archives) is • to document transactions in an organisation • In the sense of actions and/or decisions that take place within an office or with its surroundings . Norsk Arkivråd - Per Ivar Hammershaug

12. Starting point • Documentation in two parts • The content of the transaction (normally a document of some sort) • metadata: information showing that the transaction has taken place, • when, • how, • Who were involved, • relations to other transactions etc. • These two parts can be intermixed. Norsk Arkivråd - Per Ivar Hammershaug

13. Dedicated task systems • A dedicated task systemsis a specialized system to support or control the process of documents in relation. • Supportive functions: A tool to monitor the information and process in order to communicate with other, to produce documents, simplify the case flow etc. • Control: A tool that controls the process, e.g. the case flow. The process can be automated If it is sufficient formalised • Transactions has a central role in dedicated task systems, and the systems are often designed to automatically acquire and document these transactions. Norsk Arkivråd - Per Ivar Hammershaug

14. Noark-5 due to be presented 30.06.2007 Norsk Arkivråd - Per Ivar Hammershaug

15. Noark-5 – to harmonize with international standards • ISO 15489 • ISO-standard for”Records management” • MOREQ • EUs Model Requirements for the management of electronic records • In Norway the Noark-standard will not be replaced by general standards designed for other purposes than Norwegian standards. Norsk Arkivråd - Per Ivar Hammershaug

16. Specification and guidance • Noark-5 says WHICH functionality, not HOW it is going to be solved • Conceptual data models are modelled only when there is a need for detailed specification (i.e. function for excerpts for delivery to repository) • Specifies demands to document registry and functionality that can be utilized in “any” given context • Two-folded standard • A specification without work processes • A manual that describes standard administrative routines and areas of utility Norsk Arkivråd - Per Ivar Hammershaug

17. Noark-5 and Integration • Integration with dedicated task systems • E-mail • Word-processing systems • Portals • Automated decision processes • Registers • Other Noark-systems • Joint databases between public offices Norsk Arkivråd - Per Ivar Hammershaug

18. Logging of document and case working • Focus on logging of what happens with the document and the case working • The work processes are now to be logged more thoroughly • A larger focus on development and demands for automated tracking logs. • The work processes of record managers becomes less important than documenting the processes of administrative officers. Norsk Arkivråd - Per Ivar Hammershaug

19. Acceptancy tests of systems • The National Archives will check individual systems for acceptance before utilisation, on: • repository format • exchange-/migration formats Norsk Arkivråd - Per Ivar Hammershaug

20. Result • The standard will be more useful • Will be more widely used because it delivers a solution for how Noark can be used with other systems • Improves the possibility of acquiring the right documents into the system • Easier to develop technical solutions • Easier for new groups to relate to the standard. Norsk Arkivråd - Per Ivar Hammershaug