The definition and implementation of an integrated document and archive management system for Barcelona City Council

Transcription

1 Lligall 21/2003 The definition and implementation of an integrated document and archive management system for Barcelona City Council Ramon Alberch, M. Carme Martínez, Jordi Serchs and Xavier Tarraubella Often, when the analysis and design of integrated document and archive management systems is discussed, it is in terms of their implementation in newly-created institutions or organisations, or in institutions that until that point did not have systems for the processing and organisation of their documentation. However, we must remember that the implementation of in integrated management system in institutions that have been in operation for many years or even centuries, with organisation systems that have been replaced over time and with archiving and document processing systems that are consolidated to varying extents, is a challenge that calls for reflection, debate and advance planning. In cases like this, which are common, the theoretical planning of the processes of analysis, design and implementation of an integrated document and archive management system must be moulded, corrected and adapted in line with the reality of the institution in which they are to be implemented; it is not recommendable to entirely ignore the organisation and operating schemes of the institution on the one hand and the tradition and baggage of documentation processing and organisation on the other. In this respect, it is clear that a feature of the implementation of a new system must be its permeability, as all of the accumulated information capital must be integrated into it in order to obtain the greatest possible benefit. Based on these premises, Barcelona City Council may be a good example and a paradigmatic case of this situation: it is an institution that has been operational for several centuries, with a complex organisational structure, with very different working methods that have led to varied administrative management systems, with high volumes of accumulated documents, with a consolidated archiving and document processing tradition and with a municipal archives system consisting of twelve centres and the group of central archives and current records. Faced with this situation, the implementation of an integrated document management system appeared to be a difficult and complex task, but one that was clearly worth undertaking. In order to outline the process that took place leading to the creation and subsequent implementation of the document management system, this article has been divided into three main sections. The first deals with the initial phase, begun in 1987 and completed in 1991, which served as the starting point. The second section is given over to the definition, development and implementation of the integrated document management system. In this section, the system s main technical instruments will be considered, along with their development and implementation. Lastly, a third section has been included that describes the outlook for the future, together with the objectives to be attained during the period This last section is framed within a programme that is both technical and administrative, and political. 1. Phase one: The starting point The origins of the Archive of the city of Barcelona are inseparable from the legal foundation of the city s government in the mid-13th century. It was Jaume I, through the concession of privileges in the year 1249, who laid the foundation stone of municipal autonomy, the development of which led to the generation of the first documents resulting from the exercise of

2 the assigned authorities and functions. These documents were originally stored in wooden boxes kept in the convent of Santa Caterina and were later moved to a place in the new Casa de la Ciutat (Town Hall), at the end of the 14 th century. The growth in volume of the documentation produced by the activity of the City Council eventually led to the provision of a space specially for the archive, so that throughout the 15 th -18 th centuries, all evidence points to there being more or less standardised facilities. It was not until the 19 th century that the first concerns began to be voiced concerning the unchecked growth of the archive. The development of municipal functions and the increasing number of offices brought about a gradual but inexorable neglect of the state of the archive premises, which at the beginning of the 20th century were located on the top floor of the Casa de la Ciutat. It was in this context that the Commission for Culture, headed by the councillor Jaume Bofill i Mates, created the Municipal Office for Historical Research in One of the actions of this office was the division of the Archive into two collections, one administrative and one historical, and the installation of the historical documentation in an old, prestigious building, the Casa de l Ardiaca (Archdeacon s House), opened in This operation, clearly inspired by a sense of romanticism and a love of history, had the positive effect of housing the historical collections in suitable premises and ensuring access to them for researchers, but in contrast it also meant the organic division of the ancient municipal archival collection, which quickly led to the unfortunate neglect of contemporary documentation, which, from this moment on, began a period of being shunted from municipal premises to municipal premises and suffered from complete and total disregard for much of the 20 th century. The realisation on the part of the municipal government of the scattered and uncontrolled situation of municipal documentation led to the Archive Organisation Project being carried out in the city over the period between the months of April 1987 and April For a year, a team of archivists systematically collected data that would enable an exhaustive analysis to be made of the situation of documentation in the offices and the organisations that formed part of the municipal administration and then a short- and medium-term action plan to be drawn up within the framework of drafting a municipal archiving policy. The information gathered for the Project, collected in four volumes, encouraged the beginning of a planned action that constitutes an inevitable point of reference for all actions undertaken in the last fifteen years. In this respect, in the first phase progress was made in drawing up the first regulatory instruments, particularly the Regulatory Standards for the organisation and operation of the Municipal Archive System (1990), the Order concerning District Municipal Archives (1991) and the Municipal Archive Regulation, which reinstated the possibility to operate on all municipal documentary heritage, going beyond the organic dependencies of the different services. As a result, the creation of the Municipal Archive seemed natural, in order to bring together the Historical Archive of the City, the Municipal Administrative Archive and the network of District Municipal Archives. In parallel to this, the integration of the central archives and the current records of the different offices as part of this global approach gave rise to what became known as the Municipal Archive System, the driving force behind which was the Office of the Chief Archivist as a central service to guarantee coordinated and homogeneous action among all the bodies of the municipal administration in Barcelona. The aim of the proposed objectives and the need to undertake integrated action that affected different elements the renovation of basic archival infrastructures, an increase in the number and training of archiving staff, a boost to the processing of the historical and administrative collections, the introduction of information technologies meant it was recommended that sequential intervention be considered, aimed at encouraging the continuity and coherence of these advances and enabling progress to be made, taking the solid and thoughtful proposals resulting from the Archive Organisation Project as a basic reference. The first steps were therefore taken towards a wholesale remodelling of the Historical Archive of the City, completed in September 1998, and of the Municipal Administrative Archive, completed in 2003, and a sequential improvement of the premises of the recently-created (1988) District Municipal Archives, along with decisive action concerning the processing of the most recent documents. The Project s diagnosis in terms of the situation of administrative documentation with an annual production of over one kilometre of documents - accelerated the introduction of the Selection and Elimination Commission (1991), created by a provision of the

3 abovementioned Regulatory Standards. This made it possible to decrease the addition of nonappraised documents to the archives and parallel to this, to reduce the accumulated document collection, which in 1988 consisted of some 33 thousand linear metres of documents. With regard to the computerised processing of the numerous document collections, in this initial stage different computer programs were created that would enable those collections that required specific, priority attention to be dealt with. In particular, specific programs were developed for the processing of licences for particular works and for photographic (BIMA), graphic and cartographic (VICA) collections. The putting into practice of these initiatives, based on the practicalities of beginning work on those collections that required most urgent processing in anticipation of their later integration into a more global, general processing, brought about the realisation that there was a pressing need to open a wide-ranging debate leading to agreement on the bases of a system that would bring theoretical principles and technological tools together in as harmonious and global a way as possible. 2. Phase two: Definition, development and implementation of the integrated document management system 2.1. Defining the instruments of the system In 1992, based on the results obtained from the first phase, the need and the usefulness emerged of standardising and coordinating certain aspects of document treatment that until then had been developed and carried out independently by the different bodies that make up the Municipal Archive System (SMA) of Barcelona City Council. These bodies are: Office of the Chief Archivist ADVISORY BODIES TECHNICAL BODIES MUNICIPAL ARCHIVE Assessment and Access Commission Coordination of dissemination policies Historical Archive of the City Coordination of District Municipal Archives AIDA system working groups Coordination of Current Records Municipal Contemporary Archive Advisory Councils Central Archives Network of District Municipal Archives Current Records The main aim of this standardising and coordinating process was to consolidate the bases of what was to be the integrated document management system, so that it would include not only the processing of administrative documentation, but also all documentation forming part of the SMA. This translated as a boost for the development of the Integrated Document and Archive Administration system, better known by its acronym AIDA. The AIDA system is the instrument that allows a series of technical and methodological criteria to be established for the processing of documentation at each and every stage of its life cycle. This system is designed taking into account both municipal employees and citizens in general. Both internal and external users use the same instruments to obtain the information contained in the documents. In this respect, the AIDA system offers internal users certain instruments for technical processing of documents and information that facilitate both the recovery of

4 documentation and information in the course of required administrative operations and their later transfer to the corresponding municipal archive. External users are permitted access to the documentation generated by any City Council body at any time, in order to obtain information for either historical or administrative consultations. The AIDA system is based on four basic instruments: the collection organisation scheme, the document classification scheme, the document description method and the retention schedule. The collection organisation scheme The diversity of document collections of different types and sources that are stored in the Municipal Archive of Barcelona required intellectual organisation by means of what is known as the collection organisation scheme, in which the different existing collections would be classified: municipal, of the formerly annexed municipals, patrimonial, personal, professional or of institutions. The resultant collection organisation scheme is as follows:

5 COLLECTION ORGANISATION SCHEME 1. MUNICIPAL COLLECTION 1. NON-MUNICIPAL PUBLIC COLLECTION 1 PRIVATE COLLECTION 1. HOLDINGS 2. Municipality of Barcelona 3. Mediaeval 3. Modern 3. Contemporary 4. Institute 4. District 4. etc. 2. Attached municipalities 3. Gràcia 3. Horta 3. Les Corts 3. Santa Creu d Olorda 3. Sant Andreu de Palomar 3. Sant Gervasi de Cassoles 3. Sant Martí de Provençals 3. Sants 3. Sarrià 3. Vallvidrera 2. Direct entry through creator organisation 2. Family 3. Family 2. Personal 3. Mr Entities 3. Association Companies 3. Lico, S.A...

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7 These groups ideally contain the following information: Municipal collections: these include the document collections of Barcelona City Council (divided between mediaeval and modern, on the one hand, and contemporary, on the other) and the document collections of the former municipalities annexed to Barcelona between 1897 and Non-municipal public collections: these include the document collections of non-municipal public institutions and organisations, the documents of which are held in the Municipal Archive. Private collections: these include the private document collections of persons or entities, deposited in the Municipal Archive. Holdings Taking the creation of this basic structure of document organisation as a starting point, it has been possible to establish a first level of document processing and to make it easier to relate the different collections identified and the corresponding classification scheme. Document classification schemes Logically, each document collections identified in the collection organisation scheme has its own classification scheme. The different classification schemes are not described here, but reference will be made in more detail to those corresponding to the municipal collection or, more precisely, to the municipal collection of Barcelona City Council. As a result of the historical evolution of the municipal institution and the history of the Municipal Archive itself, three different classification schemes have been defined for the global organisation of the municipal collection: the classification scheme for mediaeval and modern documentation, the uniform classification scheme for administrative and contemporary documentation and the classification scheme for the documentation of the former annexed municipalities. a) The classification scheme for mediaeval and modern documentation. Systematised throughout the years, the most recent version of the classification scheme applied to mediaeval and modern documentation (from the 11 th century to the first third of the 19 th century) of Barcelona City Council is published in the Guia de l Arxiu Històric de la Ciutat de Barcelona [Guide to the Historical Archive of the City of Barcelona], published in It is a classification scheme with a predominantly organic structure, as it responds to a fixed system of municipal organisation. Despite this, taking into account the fact that the Municipal Archive System has made the commitment to an integrated document management system, a new classification scheme is now being drawn up, which is much more complete and precise, within the framework of the organisation scheme for the collection of the Municipal Archive of Barcelona. b) The uniform classification scheme for administrative and contemporary documentation. Taking the decentralisation process of Barcelona City Council into account, the Municipal Archive analysed and carried out an in-depth appraisal of what type of scheme would be most practical for the different offices, with the aim of establishing a standard instrument for all the archives in question. The use of an organic classification scheme was practically ruled out from the start, because it meant the constant modification of the scheme, given the mobility resulting from changes in the municipal organisation chart as a result of consecutive municipal elections. The second possibility consisted of establishing a scheme of an organic-functional nature, but the decentralisation of authorities would make this difficult to work with. The first transfers of administrative acts of an executive nature began towards the end of the 1980s. Lastly, the advantages of using a functional classification scheme were obvious, at least in the case of Barcelona City Council. For these reasons, it was decided in 1992 that a functional classification scheme should be drawn up, that is, one that encompassed not only the authorities of the local administration, but also their functions and activities. In addition, two objectives were laid down from the start. The first consisted of being aware that the classification scheme must be the same for all the sections of the City Council, both those of an administrative nature and those of a political nature. This meant that

8 both the mayor and the other high offices with functions, most of which were political, had to use the same scheme as any other administrative section. The second objective involved taking into account the fact that the scheme was to operate at every level of territorial organisation, that is in both the centralised and the decentralised administration, both functionally and organically, which means it had to include everything from the municipal districts and the autonomous organisations to companies or societies with municipal participation. This decision and setting out of objectives also implied an awareness of the advantages and disadvantages that this involved. In this respect, the analysis carried out by the Chief Archivist of Barcelona City Council in a presentation prepared for the 13th International Congress on Archives in Beijing was used, the main points of which are outlined below: Advantages Unaffected by organic changes. Guarantees continuity of the system when there is mobility of staff. Enables the identification of principal and secondary records. Language is standardised. Enables the integration of the conservation calendar. Saves time, resources and space. Disadvantages Continuous and personalised training is required. Slow to implement, because it involves a significant change to habitual working methods. It is necessary to have in-depth knowledge of the functions of the entity. Involves permanent collaboration between users and archivists. Requires constant supervision and maintenance of the system. Necessitates complementary training for those in high office and politicians. Taking this analysis into account, a working methodology was established that would help in the progressive drawing up of the scheme in order to allow it to be implemented in parallel, that is, without the need to establish all of the descriptive entries, while on the one hand the slow and complex elaboration of the study of functions and activities and on the other, the need to act on the administrative archives of offices, had to be taken into account. This methodology consisted of: 1. Identifying all of the document sections. 2. Developing the document sections that were common to all of the administrative branches (A100 to J100). 3. Developing the document sections that were specific to the different bodies (K100 to Y100). The resulting document sections were as follows: A100 Government actions and organs B100 Acts of protocol and foreign relations C100 Legal affairs D100 Administrative organisation and coordination F100 Human resources G100 Information and communication H100 Finances J100 Municipal heritage K100 Education L100 Culture M100 Citizen safety and attention P100 Communication, transport and traffic

9 Q100 Town planning and public works R100 Public procurement, trade and consumption S100 Public health and healthcare T100 Environment V100 Promotion and development of the city X100 Social services Y100 Sports The establishment of the document sections was easy, as only the major functional sectors of the administration had to be identified: legal, health, education, town planning, etc. For the development of each section, whether common or specific in nature, a strict methodology was used that consisted of analysing and reading different documents: reports, legislation, articles, classification schemes for other entities, etc. However, while the identification of the document sections of the classification scheme was straightforward, this was not the case for the adaptation of the classification scheme for contemporary documentation (19 th -20 th century) that the Municipal Administrative Archive was using to the new functional scheme that was to be developed. It should be remembered that the scheme of the Municipal Administrative Archive was of an organic-functional nature. In order to identify the document series that were functionally configured, all that was required was a change in the classification code, while for organic entries, the functional classification scheme had to be adapted by introducing the organs or administrative units into the corresponding document section, that is in the section where the authorities of these bodies coincided with the function of the document section. As a result, the functional scheme for all contemporary documentation has a number of organic entries, all of which are considered to be closed document series. c) The classification scheme for the documentation of former annexed municipalities. This second classification scheme, applicable to the document collections of the municipalities of the Barcelona Plain that were annexed to the city between 1897 and 1921, is the fruit of the organisation project of the documents of these formerly independent town councils, carried out by the district municipal archivists from the year 1988 and published in the collection Normes i Reglaments de l Arxiu Municipal [Standards and Regulations of the Municipal Archives]. The resulting classification scheme is a functional scheme with organic references, drawn up based on the study of the original classification of the documents, the analysis of contemporary inventories, the comparison of these document collections with those of other town councils of similar categories and the classification proposal contained in the Regulations For the Classification of Municipal Documentation, published by the Government of Catalonia in The classification scheme is divided into 12 document sections: 1. General administration 2. Treasury 3. Public procurement 4. Social Welfare 5. Health 6. Public works and town planning 7. Public safety 8. Military services 9. Population 10. Elections 11. Education 12. Culture The document description method The drawing up of the description method of any integrated document management system must be approached taking into account the specific description requirements of the institution,

10 which are defined based on the archiving system anticipated, the characteristics of the document collections, the types of documents and the level of description desired or that it is necessary to obtain. In addition, the ISAD(G) standard, as an international proposal for the standardisation of archival description, must be taken into consideration. The definition and systematisation of the description method have been one of the main challenges to be faced in the configuration of the integrated document management system. There were three main difficulties that had to be overcome, which were: The existence of different traditions and formats of description that were in use and that were both manual and computerised, in the different centres that currently make up the Municipal Archive of Barcelona (the Historical Archive of the City, the Municipal Administrative Archive, the District Municipal Archives) for the different series, document types or media (LLOP files for works licence records, BIMA files for photographs, VICA files for visual and cartographic documents, etc.) which in turn must be added to those that had already been developed within the framework of the first phase of implementation of the AIDA system (file for semiactive and contemporary historical documentation and file for current records). The description and recovery requirements for different information that sometimes did not coincide between current records and historical archives. The basic adaptation of the description method international exchange of information. of the ISAD(G) standard to en able the To overcome these difficulties, which at certain points seemed insurmountable, an extremely laborious working system was established that consisted of: 1) The comparative analysis of the different forms of description that existed, identifying the meaning or the content of each of the fields and establishing the possible parallels or coincidences between each of them. 2) Setting up a broad working group in which archivists from different sectors of the Municipal Archive who used the different forms of description, participated. The aim of this working group was the creation of a single descriptive format resulting from the combination of all those that existed, based on the unification of fields with identical content, the grouping of fields with similar characteristics and the systematisation of information based on the creation of areas. 3) Setting up a narrower working group to draw up the user manual for the description method and to establish the basic criteria and requirements for its use and computerised management. One of the essential tasks carried out by this group was the definition of which descriptive fields would be common and obligatory for all levels of description and for every specific document type or format (minimum file) and which would be considered as optional descriptive fields and would therefore be free to use or not for the different centres of the SMA. The work produced by this group underwent a final revision by the broad working group and after its definitive approval, it was published. The descriptive method is intended as the instrument that allows the content and characteristics of all the documents that form part of municipal documentary heritage to be described and to achieve this, a single and homogenous descriptive structure has been drawn up that is valid for: - All document collections (municipals, patrimonial, personals, etc.). - All types of documents (texts, photographic, audiovisual, cartographic, iconographic, etc.). - Any level of description (from the collections to the individual document unit). The description method of the Municipal Archive of Barcelona can be characterised as a homogeneous, standardised, universal, multi-level description system. The structure of the description method is organised into 4 areas, 23 fields and 84 sub-fields. Following on from this standard structure, 8 formats of specific description have been defined, according to the level of description and the different types of archive documents, so that it is possible to approach

11 document description at any level and for any document type. The eight resulting descriptive formats are as follows: Format 0. Document collections. Used for the identification and description of the different document collections integrated into the bodies and the centres of the municipal archive system and linked to the details of the collection organisation scheme. Format 1. Document groupings. Used for the identification and the description of any group of documentation greater than the composite document unit. According to the levels of classification and description set, this format enables the following document groupings to be described: section, subsection, series, sub-series and document group. This format enables general information to be obtained on the characteristics and the scope of the documentation classified in the related classification schemes. Format 2. Compound document units. Used for the description of documents grouped together as a result of one administrative procedure or an archival classification and ordering process. The following are considered to be compound document units: the record, the archival unit and the photographic report. Format 3. Photographic documents. Used for the description of photographs, whether they form part of a photographic report or not. The photographs described can be both negatives and positives. Format 4. Audiovisual documents. Used for the description of audiovisual documents, both those that consist exclusively of moving images and those that also include associated sound: video recordings, cinema films, DVD recordings, etc. Format 5. Sound documents. Used for the description of sound recordings, such as words, songs, music, sounds, bioacoustics, etc. In the category of sound documents, the difference is established between sound documents and oral documents. Sound documents are considered to be any type of sound recording with the exception of those originating from oral history or tradition. Recordings of works that transmit facts and dates recorded by the memory of individuals, in close relationship with their individual life history, are considered to be oral documents. Format 6. Visual documents. Used for the description of graphic documentation with mathematic or artistic drawings, including cartographic documents (maps and plans) and iconographic documents (posters, drawings and prints). Format 7. Text documents. Used for the description of simple documents that transmit information through written text (handwritten, typed or printed). In terms of the obligatory nature of the different fields of the Description Method, three levels have been established: Obligatory fields: those fields that are obligatory in every format. These are considered essential fields for description at any level and for any document type. Required fields: these are fields that are obligatory for a specific format. For example, the record number sub-field is obligatory only for format 2. Present fields: these are those fields that form part of a specific format, but the use of which is optional in the description process. For example, the state of conservation field is present for formats 2, 4, 5 and 6. The description method has a series of associated tables that contain values that can be used in different fields and sub-fields throughout the description process. These tables are designed as auxiliary and support instruments for the description process and at the same time as another element of standardisation. Two types of table are created: validated (those in which the use of the values is obligatory) and auxiliary (those in which the values are purely for reference and for which other values can be used). For example, the Levels of Description and the Entry Form are validated tables, while the Format and Language tables are auxiliary. When referring to the structure and the characteristics of the Description Method, two specific and important questions that are to be taken into account must be clarified: the link with ISAD(G) standard and the processing of electronic documents.

12 1) With regard to the first question, the only possible way has been used to establish this link without having to give up the entire descriptive work that has taken place over time and that consists of considering the 6 essential elements of description encompassed by the ISAD(G) as obligatory elements in the description method: reference codes, title, creator, dates, level of description and extent of the unit of description. 2) In terms of the treatment of electronic or computerised documents, the description method does not take into account the creation of a specific format of description for these documents, as it is considered that any archived document can be described using one of the formats defines, regardless of its medium or the form that has been generated. The different formats therefore include elements of description that enable the specific characteristics of a document that has been generated electronically or in computerised format to be indicated. To end this section focused on the description method, it should be mentioned that the characteristics, operation and development of the description method have been included in the Manual del Mètode de Descripció [Manual of the Description Method], published in Catalan and Spanish, which includes: - The standard structure of description. - The structure of the 8 formats of description defined. - The characteristics of each element of description with an indication of: Code: numerical reference that identifies each area, field and sub-field of the description method. The area code consists of one digit, the field code of two and the subfield of three. Name: the individual name by which the area, the field and the sub-field are known and identified. Definition: indication of the scope and the characteristics of the information that is to be included. Script format: indication of the way in which the information in the description field or sub-field must be provided, both grammatically and in terms of content. Compatibility: indication of the link of the descriptive field or subfield with international standards. Searchable field: indication that the field or sub-field is considered a point for access to and recovery of the information and therefore that the information contained in it is indexed. Obligatory, required or present field: as outlined above, this indicates which formats of the reference field or sub-field are obligatory, required or present. Link to a table: indicates that the information contained in the description field subfield of should be obtained in an associated table containing the reference values. - The associated support tables. Appraisal methodology and the retention schedule Setting the methodology to follow in the appraisal of document series produced by Barcelona City Council is based on the approval of the Regulatory Standards of the Organisation and Operation of the Municipal Archives System of the City Council, which resulted from the Mayoral Decree of 10th December Section III of these Standards concerns the creation, the functions and the composition of the Selection and Elimination Commission (CTE) of Barcelona City Council, which has the basic task of analysing all types of documents generated by the municipal administration of Barcelona and establishing which should be retained and which can be destroyed. This is currently being transformed into the Commission of Assessment and Access to Archives (CAAD). From now on, the operation of the Commission and the process of assessment imply the creation of a methodology concerning both the identification and the analysis of document types and series, along with the management and control of the results of this process. In relation to the first aspect, two basic instruments are being created:

13 The document study and appraisal file. The Manual for processing the appraisal and selection proposals for municipal documentation. And, in relation to the second aspect, another two instruments of control are being created: The Conservation and Access Standard. The Conservation and Access Calendar. The document study and appraisal file (see Annex) The file that is currently used is the result of the constant adaptation and improvement process of the document study and appraisal form used since This is divided into two main sections: the first contains information relevant to the identification and the characteristics of the documentation, while the second includes the result of the document appraisal carried out by the CTE. The Manual for processing the appraisal and selection proposals for documentation This is a document for the internal use of the CTE, drawn up to regulate the administrative procedure to be followed throughout the document appraisal process. The manual regulates both the procedure initiated automatically by the Qualifying Commission and the procedure initiated at the request of another party. In both cases, there can be three variations of this procedure: 1. Permanent retention 2. Elimination 3. Second elimination To provide examples of the characteristics and operation of the Manual, we will focus on the three basic, habitual procedures: permanent retention without incident, elimination without incident and second elimination without incident. 1. Procedure resulting in permanent retention: 1.1. Begins at the request of the heads or directors of the branch or area of the municipal administration or of the technical supervisors of the centres that make up the Municipal Archive of Barcelona The decision is made concerning whether the document series is subject to a first appraisal or whether it has already been appraised If it is the first appraisal, the corresponding archivist formalises the descriptive file for the documentation and its delivery to the Chief Archivist The Chief Archivist decides whether the description of the document series is correct. If it is, the descriptive file is then sent to the Commission members. If the description is not correct, the file is returned to the archivist for its modification or extension The Commission appraises the documentation and may request the technical or administrative help of the head of the unit responsible for the management of the documents subject to appraisal, with the aim of collecting the maximum possible amount of information The Commission communicates its decision of permanent retention of the document series to the corresponding archivist and to the head of the creator unit. 2. Procedure resulting in elimination: 2.1. Begins at the request of the heads or directors of the branch or area of the municipal administration or of the technical supervisors of the centres that make up the Municipal Archive of Barcelona The decision is made concerning whether the document series is subject to a first appraisal or whether it has already been appraised.

14 2.3. If it is the first appraisal, the corresponding archivist formalises the descriptive file for the documentation and its delivery to the Chief Archivist If the description is correct, the Chief Archivist sends the descriptive file to the Commission members The Commission appraises the documentation and may request the technical or administrative help of the head of the unit responsible for the management of the documents subject to appraisal, with the aim of collecting the maximum possible amount of information The Commission communicates to the corresponding archivist and to the head of the creator unit that it has decided on the elimination of the document series and the application of the corresponding sample The Commission puts its decision to the National Commission on Access, Assessment and Selection of Archives of the Government of Catalonia If the latter ratifies the decision of the municipal commission, the corresponding archivist and/or unit head is notified, and carries out the procedures necessary prior to the material elimination of the documentation At the time of elimination, an Elimination Act will be filled in and a copy sent to the Commission. 3. Second elimination procedure 3.1. Begins at the request of the heads or directors of the branch or area of the municipal administration or of the technical supervisors of the centres that make up the Municipal Archive of Barcelona, with the appropriate authorisation from the Commission requested in writing The Chief Archivist decides whether the request for second elimination is correct If this is so, the Chief Archivist sends the descriptive file to the Commission members The Commission appraises the documentation and may request the technical or administrative help of the head of the unit responsible for the management of the documents subject to appraisal, with the aim of collecting the maximum possible amount of information The Commission notifies the corresponding archivist and to the head of the creator unit that it has decided on the elimination of the document series and the application of the corresponding sample The archivist and/or the unit head carries out the procedures necessary prior to the material elimination of the documentation At the time of elimination, an Elimination Act will be filled in and a copy will be sent to the Commission. The Retention and Access Standard The Retention and Access Standard is one of the instruments for the management and control of the document appraisal process used at Barcelona City Council. The drawing up of this Standard is included in the Manual for processing the appraisal and selection proposals for municipal documentation, in force since December This standard is a technical instrument for the exclusive use of City Council archivists and the members of the CTE, which compiles essential information on each document series appraised. This instrument is intended as a summary of the most essential information contained in the document study and appraisal file. The fields included in the Retention and Access Standard are: 1. Code of the Retention and Access Standard: alphanumerical code that identifies and individualises the conservation and access standard for each document series. 2. Series name. 3. Main record: indication of the name of the organ or department of the municipal administration responsible for the production of the main records related to the document series to which the Standard refers. 4. Documents that make up the series: list of the basic documents that, in accordance with the procedure, should form part of the records or the archival units of the series. 5. CTE record: number of the appraisal record of the document series to which the Standard refers.

15 6. Act: date on which the CTE issues its appraisal decision for the document series. 7. Decision: indication of the type of record (principal or secondary), of the document production medium, of the retention period and the type of sample established, if appropriate. 8. National Commission on Access, Assessment and Selection of Archives: this field, divided into three sub-fields (decision, code in the document appraisal tables and number of the Official Journal of the Government of Catalonia in which they are published) indicates the decision made by the Commission of the Government of Catalonia with regard to the document series to which the Standard refers. 9. Observations: enables the inclusion of comments of interest that are not included in the fields mentioned above. 10. Date of last update: this is the last field of the Retention and Access Standard and indicates the date on which the last modification of the information collected was made. The Retention and Access Schedule This is the second of the management and control instruments for the document appraisal process, the aim of which is to inform the municipal management organisations and the managers of current records of the periods of retention of the documentation they produce, and the criteria for access. The Retention and Access Schedule is based on the Retention and Access Standards, that is, for the incorporation of a document series to the retention schedule, it is first necessary to have drawn up its Retention Standard. The Retention and Access Schedule is an instrument in list form that incorporates the following information fields: 1. Code of the standard: classification code of the document series according to the uniform document classification scheme. 2. Code of the Standard: alphanumerical code that identifies the Retention and Access Standard for the document series. 3. Description: name of the document series in question. 4. Administrative unit: identification of the branch or the department of the municipal administration that is the creator of the documentation of the document series. 5. Principal or secondary/support record: indication of the existence of principal and secondary records, along with the document format in which they were produced (paper, microfilm, magnetic disk or optical disk 6. Retention period: specification of the retention period decided for each document series referenced in the schedule. 7. Observations: enables the inclusion of remarks that are not included in the fields above The development and implementation of the system The development of the integrated document management system has taken shape in very varied forms, but we can highlight four of these: a) The implementation process of the uniform classification scheme for current records. b) The application of IT in the processing of records. c) Building an IT application for integrated document management. d) The approval of the Instruction concerning the Integrated Document and Archive Administration system (AIDA). a) The implementation process of the uniform classification scheme for current records To begin this process, two pilot centres were chosen, an autonomous municipal body and a body of the central administration, which corresponded respectively to the Municipal Institute of Education and the Mayor's Office. These pilot projects began in October 1993 and ended in November This period of time was fundamental for detecting possible malfunctions, as it was

16 a question of organising an autonomous body with specific administrative functions and an administrative unit that, in addition to having the records of any administrative branch, also contained a significant volume of documents of a political and technical nature. From this implementation the need emerged, among other things, to continue working on document description at internal user level, with a series of items that are simple, but at the same time compatible with the document description of the rest of the AIDA system. Functions were also detected that were not originally included in the classification scheme, which helped in the completion of its descriptive entries. Following the initial test, the document sections drawn up were put in place and, following this, their progressive implementation in the other administrative branches began. For some time now it has been the office itself that has contacted the Directorate of the Municipal Archive to request the implementation of the AIDA system. This gratifying fact is due, among other things, to the publicity generated by the Directorate of the Municipal Archive through the internal communication channels established in Barcelona City Council (La municipal magazine, meetings with managers, etc.), but above all to the fact that implementation was begun in units with a certain degree of potential in terms of organic structure, bearing in mind the risk that this implied from the start. Implementation in the different offices took place on two levels. The first consisted of an administrative action based on the following methodology: 1. Drawing up a report by an archival technician. The report indicated the type of action to be taken and the time that this would require, together with the human and economic resources required. 2. Presentation of the report to the Chief Archivist of Barcelona City Council. 3. Processing the report in the administrative branch that has requested the intervention. 4. Meeting between the manager of the branch and the Chief Archivist. 5. Initial implementation agreement. The second level begins when the initial implementation is agreed by both bodies. This second phase proceeds as follows: 1. Interviews with all users who possess or manage documentation. 2. Training period, in which the operation of the classification scheme is explained. 3. Drawing up of the classification scheme according to the user. 4. Joint practice (user and archivist) with recent documentation. 5. Sporadic monitoring of the implementation by the archivist who initiated it and who at the same time becomes the interlocutor between the current record and the corresponding municipal archive. b) IT applications for processing records One of the main challenges posed by the initial process of developing and drawing up the IT resources related to the document management system was determining whether it was necessary to create the module for current records, or to limit its application to semi-active and inactive documents. To decide on which route to take, the IT policy and planning of Barcelona City Council had to be taken into account. In this respect, the corporation has invested a great deal of effort in computerising its administrative processes since the beginning of the 1980s. With the passage of time, the City Council, through the unit responsible for computing matters, has designed a whole series of applications that, in addition to carrying out the basic description of the action, enables the monitoring of a specific area to be controlled. Taking this type of organisation into account, it was decided that it was more appropriate for the records module to be integrated into the group of IT applications that the City Council used. As these applications can be compatible with the AIDA system, it was decided to consider a standard descriptive file that contained the minimum and obligatory fields for the technical treatment of the documentation. This standard file was gradually incorporated into the IT applications created prior to the AIDA system and into those that were newly in use. Three pilot schemes stand out as examples of the use not only of the standard file, but also of the computerised treatment of records:

17 firstly, the treatment of economic records using the IT application SIGEF (System of Economic and Financial Information and Management); secondly, the GALIOT program for unregulated documentation and thirdly, the processing of electronic documents. The first application, SIGEF, consists of the management of economic records generated by both the centralised and decentralised administration. This application, which has been in operation since the 1980s, has been progressively modified in order to adapt it not only to new public procurement regulations, but also to improvements in administrative organisation. In this respect, in 1997 a new modification took place and the opportunity was taken to incorporate the basic elements of description of the AIDA system. This experience was straightforward and met with no problems, because the descriptive fields established for the standard file were for the most part included in the program, with the exception of the classification code. The standardisation of both administrative and archiving terms was also carried out. In contrast, for the processing of unregulated documentation, an application was designed that included not only the descriptive method of the AIDA system but also the monitoring and control of the processes. This application, named GALIOT, was produced based on the archive of the Mayor s Office and was supposedly capable of dealing with all of the problems characteristic of unregulated documents. At present, the first tests are being carried out, processing documentation of this type. This application will serve as a basis for the other administrative units that have similar documentation and procedures. Finally, the project that was undertaken in collaboration with the office of the Universal Forum of Cultures Barcelona 2004 should be mentioned. In this office, the technical processing of electronic and digitalised documents was undertaken through the design of a directory tree reflecting the structure of the classification scheme that enabled each document to be positioned in the corresponding entry in the classification scheme. Each directory and subdirectory corresponded to a small folder or record that could contain more that one document. In addition, when the user saved a document, either because they received it or because they generated it, they were obliged to give it the established document description data because, if not, they would lose it. The process of saving documents was also related and linked to the archival process. All of this processing of current records becomes part of the AIDA system within a given time frame. For this reason, and so that the AIDA system could include the fields of description necessary for the management of the information and the technical processing of the documentation into the corresponding historical archives, it was agreed that a transfer module would be built that would allow the migration of data to the AIDA system. Nevertheless, it should be remembered that the first migration tests have yet to be carried out. c) Building an IT application for integrated document management Alongside the actions outlined above and as a further element of the project of implementing the AIDA system, from 1995 onwards work has been carried out on developing the first version of a computer programme that will enable the management and processing of contemporary documents, that is, those deposited in the central archives, the district municipal archives and the documentation from the 19 th and 20 th centuries deposited in the Municipal Administrative Archives. This IT application, initially intended for the management of semi-active and contemporary historical documentation, has been modified and broadened throughout these years, in order to introduce modifications and update certain modules. Since the end of 2002, a new phase of development of the IT system has begun, in order to complete the modules and the utilities that enable the global and integrated processing of all municipal documentation to be managed. This second phase has been based on a different approach to the previous phase: while initially the system was developed by the City Council itself with the intention of building a made-to-measure IT application, on this occasion a public call for

18 projects was launched, so that an external company would continue the development process, to ensure greater speed and updating of the system. d) The approval of the Instruction concerning the Integrated Document and Archive Administration system (AIDA) The definitive configuration of the AIDA system was set in 1998 by the approval of the Instruction concerning the Integrated Document and Archive Administration system by Barcelona City Council. This Instruction is intended as a compilation of all the regulations for the processing and management of municipal documentation that had been drawn up since 1990 and had involved the legal and regulatory materialisation of the basic instruments of the system. Noteworthy aspects included in this Instruction are as follows: - The consideration of the integrated document management system as a substantial part of the set of policies and procedures of the general administrative management model of the City Council. - The consideration of the Directorate of the Municipal Archive as the body responsible for defining the techniques and methodologies for the processing of documentation throughout its life cycle. - The creation of the figure of peripatetic archivist, under the umbrella of the Office of the Chief Archivist, who is responsible for implementing the AIDA system in the auxiliary bodies at all levels of municipal administration. - The integration of the current records of the Municipal Archive System and the definition of the basic criteria for their organisation: compiling records, classification, elimination, transfers, incorporation of new technologies and validation of electronic, computerised and telematic documents. - The creation of working groups that guarantee the maintenance of homogeneity in the technical processing of documents and the development of new archival methods and techniques. - The consideration of the collection organisation scheme, the classification schemes, the document description method and the retention and access schedule as unique instruments for all document management within Barcelona City Council. 3. Phase three: Future outlook Twelve years after the Archival Organisation Project was approved, it is clear that a major transformation has taken place in the municipal archiving sector, to the extent that we can talk about a situation of normality for the different areas for which improvements were planned in The extraordinary transformation of basic infrastructures, the consolidation of an increasingly professionalized and balanced workforce, the boost resulting from the progressive implementation of the AIDA system within the framework of an intense and participatory debate and the encouragement of specific projects mean that the future looks bright. At this point, in order to give a new boost to municipal archiving, the Office of the Chief Archivist of Barcelona City Council has moved on to updating its objectives and priorities and has planned new projects for the future, which have been systematised, defined and justified in a new document known as the Strategic Archives Plan The Strategic Archives Plan lays out the basic lines of work and sets the focal points for future action in the sphere of municipal archiving in Barcelona. The 10 basic strategic lines laid down by the plan are: 1. For a new organisational dimension The development undergone by the Municipal Archive System since the Archival Organisation Project was passed (1988) and the growing intervention in document management made clear the need for the adaptation of the organisation of a group of centres and bodies characterised by the notable plurality of their functions.

19 Creating a new structure for the centres and services of the Municipal Archive in order to adapt the archival system to current reality. Producing a study that specifies the dimension and the functions of the staff working in the different sectors of the Municipal Archive. Systematising and integrating all the regulations affecting the Municipal Archive System into a single instrument. 2. For archives that are involved in the management of documents and information The formulation of and boost for an Integrated Document and Archive Administration system (AIDA) in order to guarantee the correct organisation of documents throughout their life cycle means intensifying their development through actions intended to: Encourage the development of the AIDA system throughout the municipal administration. Spread an archival culture that enables a more agile and efficient administration to be constructed. Fix the document appraisal process and disseminate the retention schedule. Provide courses in document and archive organisation for the administrative staff of the different sectors of activity, institutes and districts. Ensure the continuous training of archiving professionals and guarantee that their knowledge is updated. 3. For the efficient use of technology The significant influence of information and communication technologies on the sphere of archives and document management must be met with improved practices of use and the optimising of IT operations along the lines of: Promoting the use of information and communication technologies in document management, in synthesis with policies originating with the European Union. Developing AIDA software so that it can provide the integrated management of the full document life cycle. Promoting the digitising of documents and instruments that enable the on-line recovery of the most relevant and most often consulted collections. Attaining the operating capacity to manage the services offered on-line. Promoting the use and appropriate organisation of electronic documents with a view to progressing towards the paperless office. Configuring the centres that make up the Municipal Archives as platforms for acce ss to information for citizens and the municipal administration using the Internet and the Intranet. Leading the process of connecting the databases of the most important Spanish municipal archives. Developing the virtual newspaper library as a form of guaranteeing access to the Barcelonese press and of slowing the annual growth in terms of the volume of periodical publications in paper format. Periodically renewing the image, the navigation and the usability of the website. 4. For quick and transparent access to information The desire to guarantee transparency and accessibility of information on the part of public administrations has become an indication of the level of democratisation of public management attained. In line with this desire for democratisation, further progress is intended that will: Facilitate the fulfilment of the principles of publicity, administrative transparency and citizen participation.

20 Promote infrastructure, technological and regulatory improvements to enable citizens to exercise their right of access to information more easily. Convert the website of the Municipal Archive into a large virtual archive and encourage nonphysical access to municipal document collections through multimedia publications and the digitising of documents. Establish the level and the terms of access to the document series. Ensure that the consultation and communication of documents, physical and non-physical, is under the appropriate conditions. Facilitate access to documentary heritage for all users of the Municipal Archive by producing descriptive instruments that are adapted to their needs and that benefit their evaluation, preservation and use. Guarantee long opening hours and efficient services to meet the needs of a greater variety of users. Formulate a coherent policy for attracting private collections in order to guarantee the availability of a document collection that is varied in content and origin and that is of interest in terms of the city's history. 5. For a permanent commitment to innovation and quality The improved quality of services offered to citizens and the Administration and the desire to integrate into the innovation policies coming from Barcelona City Council itself must result in actions aimed at: Maintaining and updating the services that the Municipal Archive provides for the city, which are grouped into three major blocks: access or consultation services, document reproduction services and cultural dissemination services. Establishing a quality standard that can be measured and evaluated for each of the services, with a commitment to fulfil this standard contained in the annual report of the Municipal Archive. Publicising and spreading the Municipal Archive s commitment among citizens, through its charter of service. Having a procedure in place for dealing with complaints and suggestions from users derived from this commitment. Training all archive staff in line with this model. Drawing up citizen surveys to find out the level of knowledge and satisfaction concerning the services received. 6. For the preservation of thousand-year-old heritage One of the most essential functions of an archive is the need to guarantee the preservation of the historical memory of the city contained in those documents retained there for the future. The central and nuclear character of this function requires: Encouragement of programmes to create security formats for those collections of documents considered to be essential, either because of their great value in historical and heritage terms or because they contain information of a strategic nature and significant corporate value. Establishment of a prevention policy through the installation of the appropriate security systems, biological tests to allow specific disinfection actions to be taken on documents with active infections, the revision of the return of documents on loan and the systematic and regular control of the document series. Planning the duplication of original documents through their transfer to microfilm (for their conservation) and their digitisation (for their dissemination and to improve accessibility). Strengthening the restoration of deteriorated documents of great historical and documentary value with the aim of recovering their physical and functional state. Drawing up a disaster plan for potential emergency situations, including both preventative measures and recovery procedures.