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

2. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug2 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)

3. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug3 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

4. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug4 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

5. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug5 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”)

6. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug6 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.

7. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug7 Status of electronic recordkeeping 1  Some have started  Others are about to start  Some have not even contemplated the issue

8. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug8 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!

9. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug9 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

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

11. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug11 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.

12. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug12 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.

13. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug13  A dedicated task systems is 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. Dedicated task systems

14. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug14  Noark-5 due to be presented 30.06.2007

15. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug15 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.

16. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug16 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

17. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug17 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

18. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug18 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.

19. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug19 Acceptancy tests of systems  The National Archives will check individual systems for acceptance before utilisation, on:  repository format  exchange-/migration formats

20. March 20th 2007 Norsk Arkivråd - Per Ivar Hammershaug20 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.