档案后保管理论的演进与核心思想
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摘要
自档案后保管理论提出30余年来,其内涵逐渐丰富深刻,对于数字时代档案馆职能转换和扩展有重要影响。本文在界定档案后保管概念和梳理电子文件保管地点之争的基础上,分析了后保管理论的发展脉络和核心思想,主要表现为四个方面的超越,即超越实体保管,关注背景和联系;超越保管地点,聚焦保管需求和能力;超越闭门保管,扩展档案管理功能;超越阶段性保管,在合作中走向连续,包括保管活动的连续性和合作机制等。
It has been more than 30 years since the post-custodial theory of archives was proposed.The theory has rich and profound connotation and has a great impact on the function transformation of archives in the digital era.This article defines the concept of archival post-custodial.Meanwhile,based on the analysis of the argument on the custodial places,it summarizes the core concepts of post-custodial theory of archives into "four beyond",beyond the physical custody and concerns about context and relationship,beyond the custodial place and focus on the requirements and ability,beyond the closed custody and expand to the functions of archives management and beyond custody in different stage and emphasizes continuum through cooperation including custodial continuum and cooperative mechanism.
It has been more than 30 years since the post-custodial theory of archives was proposed.The theory has rich and profound connotation and has a great impact on the function transformation of archives in the digital era.This article defines the concept of archival post-custodial.Meanwhile,based on the analysis of the argument on the custodial places,it summarizes the core concepts of post-custodial theory of archives into "four beyond",beyond the physical custody and concerns about context and relationship,beyond the custodial place and focus on the requirements and ability,beyond the closed custody and expand to the functions of archives management and beyond custody in different stage and emphasizes continuum through cooperation including custodial continuum and cooperative mechanism.
引文
[1]KETELAAR E.Archival theory and the Dutch manual[J].Archivaria,1996(41):31-37.
[2]澳大利亚《档案法》(1983年)第64条第一款规定(摘译):在遵循联邦其他法律和联邦机构权利的基础上,经国家档案馆馆长同意,档案馆可以将本应移交到档案馆的符合某些要求的文件,委托其所属机构或负责人按照相关要求保管。法律原文可参见:Archives Act 1983[EB/OL].[2019-01-24]https://www.legislation.gov.au/Details/C2016C00772.
[3]F·杰拉尔德·汉姆.后保管时代的档案战略[J].刘越男,编译.档案,2000(6):26-29.
[4]MACNEIL H,DURANTI L.The protection of the integrity of electronic records:an overview of the University of British Columbia Master of Archival Science research project project[J].Archivaria,1996(42):46-67.
[5]EASTWOOD T.Should Creating Agencies Keep Electronic Records Indefinitely?[J].Archives and Manuscripts,1996(24):256.
[6]THIBODEAU K.To Be Or Not To Be:Archive Methods for Electronic Records[R]//BEARMAN D.Archival Management of Electronic Records,Archives and Museum Informatic Technical Report#13,Pittsburgh,Archives&Museum Informatics,1991:6.
[7]HIGGS E.Information Superhighways or Quiet Country Lanes?Accessing Electronic Archives in the United Kingdom[M]//ERLANDSSON A.Electronic records management:a literature review.Paris:Ica,1996:81.
[8][38][41]DURANTI L,FRANKS P C.Encyclopedia of archival science[M].Lanham:Rowman&Littlefield,2015:275,278,277.
[9]1994年,澳大利亚伊迪丝·考恩大学的图书馆学和信息科学学院,为开设电子文件管理课程启动相关研究。该课程设置了17个模块,其中第七模块为“文件管理的功能需求”,模块八和模块九介绍组织如何满足上述需求,将匹兹堡大学项目成果中抽象的概念实用化了,使之更容易被学生和文档工作者所理解,被视为匹兹堡大学研究项目的延续。
[10]戴维·比尔曼.虚拟档案[R]//第十三届国际档案大会文件报告集.北京:中国档案出版社,1997:120.
[11]BEARMAN D.An Indefensible Bastion:Archives as a Repository in the Electronic Age[R]//BEARMAN D.Archival Management of Electronic Records,Archives and Museum Informatics Technical Report#13.Pittsburgh,Archives&Museum Informatics,1991:20.
[12]BEARMAN D.Electronic evidence:strategies for managing records in contemporary organizations[M].Pittsburgh:Archives and Museum Informatics,1994:28-30,86-87.
[13]O'Shea G.The issue of custody or post-custody of electronic archives[M]//ERLANDSSON A.Electronic records management:a literature review.Paris:Ica,1996:77-87.
[14]COOK T.Electronic records,paper minds:the revolution in information management and archives in the postcustodial and post-modernist era[J].Archives and Manuscripts:Journal of the Australian Society of Archivists,1994,22(2):300-328.
[15]章燕华,徐海静.超越模式之争:国外电子文件管理模式反思及启示[J].北京档案,2007(4):26-28.
[16]我国学者此前曾将series system翻译为“系列制度”“系列体系”等,根据上海大学连志英教授对斯科特原文的研读,以及向澳大利亚莫纳什大学Gillian Oliver教授的请教,本文将其翻译为“系列方法”。
[17]SCOTT P J.The Record Group Concept:A Case for Abandonment[J].The American Archivist,1966,29(4):493-504.
[18][32][34][40]特里·库克.1898年荷兰手册出版以来档案理论与实践的相互影响[R]//第十三届国际档案大会文件报告集.北京:中国档案出版社,1997:173,158,163,163.
[19]Managing Electronic Records:A Shared Responsibilit(revised 1997)[EB/OL].[2019-01-26]http://www.aa.gov.au/AA_WWW/AA_Issues/ManagingER.html.
[20]REED B.Appraisal and disposal[M]//Australian Society of Archivists.Keeping archives.2nd ed.Port Melbourne,Vic:Thorpe in association with the Australian Society of Archivists Inc,1993:195.
[21]UPWARD F,MCKEMMISH S.Somewhere beyond custody[J].Archives and Manuscripts:Journal of the Australian Society of Archivists,1994,22(2):136-149.
[22]An Approach to the Preservation of Digital Records[EB/OL].[2019-01-27]http://www.imaginar.org/taller/dppd/DPPD/40%20pp%20Approach.pdf.
[23][27]原文为发言稿,不可考,转引自:ERLANDSSON A.Electronic records management:a literature review[M].Paris:Ica,1996:85,86.
[24]CAARA Policy 15-Models for the distributed custody and management of government archival records[EB/OL].[2019-01-27]https://www.caara.org.au/index.php/policy-statements/models-for-the-distributed-custody-and-managementof-government-archival-records/.
[25]Distributed custody policy[EB/OL].[2019-01-27]http://www.naa.gov.au/about-us/organisation/accountability/operations-and-preservation/distributed-custody.aspx.
[26]COOK T.Leaving archival electronic records in institutions:Policy and monitoring arrangements at the National Archives of Canada[J].Archives and Museum Informatics,1995,9(2):141-9.
[28]露西安娜·杜兰蒂.如何长期保证电子文件的真实性[J].李音,王红敏,编译.中国档案,2000(3):46-48.
[29]CUNNINGHAM A.Journey to the end of the night:custody and the dawning of a new era on the archival threshold[J].Archives and Manuscripts,1996,24(2):312-321.
[30]DURANTI L,FRANKS P C.Encyclopedia of archival science[M].Lanham:Rowman&Littlefield,2015:278.
[31]COOK T.The Concept of the Archival Fonds:Theory,Description,and Provenance in the Post-Custodial Era[M]//EASTWOOD.The Archival Fonds:From Theory to Practice.Toronto:Bureau of Canadian Archivists,1992:63.
[33]连志英.一种新范式:文件连续体理论的发展及应用[J].档案学研究,2018(1):14-21.
[35]PEARCE-MOSES R.A glossary of archival and records terminology[M].Chicago:Society of American Archivists.2005:302.
[36]HEDSTROM M.Archives:To be or not to be:A commentary[J].Archives and Museum Informatics,1991,(13):25-30.
[37]UPWARD F.Modelling the continuum as paradigm shift in recordkeeping and archiving processes,and beyond a personal reflection[J].Records Management Journal,2000,10(3):115-139.
[39]特里·库克.电子文件与纸质文件观念、后保管及后现代主义社会里信息与档案管理面临的一场革命[J].刘越男,译.山西档案,1997(2):7-13.
[42]UPWARD F.Structuring the Records Continuum-Part One:Postcustodial principles and properties[EB/OL].[2019-01-27]http://staging-infotech.monash.edu.au/research/groups/rcrg/publications/recordscontinuum-fupp1.html.
[43]Recordkeeping Standards[EB/OL].2004.03.[2019-01-27]http://www.sims.monash.edu.au/subjects/ims5010/topics/ims5010t2-2004_files/rk-standards-as-iso2.pdf.
[44]UPWARD F,REED B,OLIVER G,EVANS J.Recordkeeping informatics:re-figuring a discipline in crisis with a single minded approach[J].Records Management Journal,2013;23(1):37-50.
[45]汉斯·霍夫曼.“变划船人为掌舵者”[N].郑艳方,杨太阳,编译.中国档案报,2016-12-15(003).
[46]参见:周文泓,张宁.全球数字连续性的行动全景与启示---基于英国、新西兰、澳大利亚与美国国家政策的探讨[J].情报理论与实践,2017(3):138-142;加小双.新西兰数字连续性行动计划的分析与启示[J].图书情报工作,2016(1):45-51.
[47]参见:BECERRA-LICHA S.Participatory and Post-Custodial Archives as Community Practice[J].EDUCAUSE Review,2017,52(6):90;HENNINGHAN N,EVANS J,MORGAN H.The Australian Women's Archives Project:Creating and Co-curating Community Feminist Archives in a Post-custodial Age[J].Australian Feminist Studies,2017,32(91-92):91;JORENTE M J V.Archives information publishing new design in post-custodial regime:The National Archives Experience Digital Vaults[J].Information Services&Use,2011,31(3-4):147.
[2]澳大利亚《档案法》(1983年)第64条第一款规定(摘译):在遵循联邦其他法律和联邦机构权利的基础上,经国家档案馆馆长同意,档案馆可以将本应移交到档案馆的符合某些要求的文件,委托其所属机构或负责人按照相关要求保管。法律原文可参见:Archives Act 1983[EB/OL].[2019-01-24]https://www.legislation.gov.au/Details/C2016C00772.
[3]F·杰拉尔德·汉姆.后保管时代的档案战略[J].刘越男,编译.档案,2000(6):26-29.
[4]MACNEIL H,DURANTI L.The protection of the integrity of electronic records:an overview of the University of British Columbia Master of Archival Science research project project[J].Archivaria,1996(42):46-67.
[5]EASTWOOD T.Should Creating Agencies Keep Electronic Records Indefinitely?[J].Archives and Manuscripts,1996(24):256.
[6]THIBODEAU K.To Be Or Not To Be:Archive Methods for Electronic Records[R]//BEARMAN D.Archival Management of Electronic Records,Archives and Museum Informatic Technical Report#13,Pittsburgh,Archives&Museum Informatics,1991:6.
[7]HIGGS E.Information Superhighways or Quiet Country Lanes?Accessing Electronic Archives in the United Kingdom[M]//ERLANDSSON A.Electronic records management:a literature review.Paris:Ica,1996:81.
[8][38][41]DURANTI L,FRANKS P C.Encyclopedia of archival science[M].Lanham:Rowman&Littlefield,2015:275,278,277.
[9]1994年,澳大利亚伊迪丝·考恩大学的图书馆学和信息科学学院,为开设电子文件管理课程启动相关研究。该课程设置了17个模块,其中第七模块为“文件管理的功能需求”,模块八和模块九介绍组织如何满足上述需求,将匹兹堡大学项目成果中抽象的概念实用化了,使之更容易被学生和文档工作者所理解,被视为匹兹堡大学研究项目的延续。
[10]戴维·比尔曼.虚拟档案[R]//第十三届国际档案大会文件报告集.北京:中国档案出版社,1997:120.
[11]BEARMAN D.An Indefensible Bastion:Archives as a Repository in the Electronic Age[R]//BEARMAN D.Archival Management of Electronic Records,Archives and Museum Informatics Technical Report#13.Pittsburgh,Archives&Museum Informatics,1991:20.
[12]BEARMAN D.Electronic evidence:strategies for managing records in contemporary organizations[M].Pittsburgh:Archives and Museum Informatics,1994:28-30,86-87.
[13]O'Shea G.The issue of custody or post-custody of electronic archives[M]//ERLANDSSON A.Electronic records management:a literature review.Paris:Ica,1996:77-87.
[14]COOK T.Electronic records,paper minds:the revolution in information management and archives in the postcustodial and post-modernist era[J].Archives and Manuscripts:Journal of the Australian Society of Archivists,1994,22(2):300-328.
[15]章燕华,徐海静.超越模式之争:国外电子文件管理模式反思及启示[J].北京档案,2007(4):26-28.
[16]我国学者此前曾将series system翻译为“系列制度”“系列体系”等,根据上海大学连志英教授对斯科特原文的研读,以及向澳大利亚莫纳什大学Gillian Oliver教授的请教,本文将其翻译为“系列方法”。
[17]SCOTT P J.The Record Group Concept:A Case for Abandonment[J].The American Archivist,1966,29(4):493-504.
[18][32][34][40]特里·库克.1898年荷兰手册出版以来档案理论与实践的相互影响[R]//第十三届国际档案大会文件报告集.北京:中国档案出版社,1997:173,158,163,163.
[19]Managing Electronic Records:A Shared Responsibilit(revised 1997)[EB/OL].[2019-01-26]http://www.aa.gov.au/AA_WWW/AA_Issues/ManagingER.html.
[20]REED B.Appraisal and disposal[M]//Australian Society of Archivists.Keeping archives.2nd ed.Port Melbourne,Vic:Thorpe in association with the Australian Society of Archivists Inc,1993:195.
[21]UPWARD F,MCKEMMISH S.Somewhere beyond custody[J].Archives and Manuscripts:Journal of the Australian Society of Archivists,1994,22(2):136-149.
[22]An Approach to the Preservation of Digital Records[EB/OL].[2019-01-27]http://www.imaginar.org/taller/dppd/DPPD/40%20pp%20Approach.pdf.
[23][27]原文为发言稿,不可考,转引自:ERLANDSSON A.Electronic records management:a literature review[M].Paris:Ica,1996:85,86.
[24]CAARA Policy 15-Models for the distributed custody and management of government archival records[EB/OL].[2019-01-27]https://www.caara.org.au/index.php/policy-statements/models-for-the-distributed-custody-and-managementof-government-archival-records/.
[25]Distributed custody policy[EB/OL].[2019-01-27]http://www.naa.gov.au/about-us/organisation/accountability/operations-and-preservation/distributed-custody.aspx.
[26]COOK T.Leaving archival electronic records in institutions:Policy and monitoring arrangements at the National Archives of Canada[J].Archives and Museum Informatics,1995,9(2):141-9.
[28]露西安娜·杜兰蒂.如何长期保证电子文件的真实性[J].李音,王红敏,编译.中国档案,2000(3):46-48.
[29]CUNNINGHAM A.Journey to the end of the night:custody and the dawning of a new era on the archival threshold[J].Archives and Manuscripts,1996,24(2):312-321.
[30]DURANTI L,FRANKS P C.Encyclopedia of archival science[M].Lanham:Rowman&Littlefield,2015:278.
[31]COOK T.The Concept of the Archival Fonds:Theory,Description,and Provenance in the Post-Custodial Era[M]//EASTWOOD.The Archival Fonds:From Theory to Practice.Toronto:Bureau of Canadian Archivists,1992:63.
[33]连志英.一种新范式:文件连续体理论的发展及应用[J].档案学研究,2018(1):14-21.
[35]PEARCE-MOSES R.A glossary of archival and records terminology[M].Chicago:Society of American Archivists.2005:302.
[36]HEDSTROM M.Archives:To be or not to be:A commentary[J].Archives and Museum Informatics,1991,(13):25-30.
[37]UPWARD F.Modelling the continuum as paradigm shift in recordkeeping and archiving processes,and beyond a personal reflection[J].Records Management Journal,2000,10(3):115-139.
[39]特里·库克.电子文件与纸质文件观念、后保管及后现代主义社会里信息与档案管理面临的一场革命[J].刘越男,译.山西档案,1997(2):7-13.
[42]UPWARD F.Structuring the Records Continuum-Part One:Postcustodial principles and properties[EB/OL].[2019-01-27]http://staging-infotech.monash.edu.au/research/groups/rcrg/publications/recordscontinuum-fupp1.html.
[43]Recordkeeping Standards[EB/OL].2004.03.[2019-01-27]http://www.sims.monash.edu.au/subjects/ims5010/topics/ims5010t2-2004_files/rk-standards-as-iso2.pdf.
[44]UPWARD F,REED B,OLIVER G,EVANS J.Recordkeeping informatics:re-figuring a discipline in crisis with a single minded approach[J].Records Management Journal,2013;23(1):37-50.
[45]汉斯·霍夫曼.“变划船人为掌舵者”[N].郑艳方,杨太阳,编译.中国档案报,2016-12-15(003).
[46]参见:周文泓,张宁.全球数字连续性的行动全景与启示---基于英国、新西兰、澳大利亚与美国国家政策的探讨[J].情报理论与实践,2017(3):138-142;加小双.新西兰数字连续性行动计划的分析与启示[J].图书情报工作,2016(1):45-51.
[47]参见:BECERRA-LICHA S.Participatory and Post-Custodial Archives as Community Practice[J].EDUCAUSE Review,2017,52(6):90;HENNINGHAN N,EVANS J,MORGAN H.The Australian Women's Archives Project:Creating and Co-curating Community Feminist Archives in a Post-custodial Age[J].Australian Feminist Studies,2017,32(91-92):91;JORENTE M J V.Archives information publishing new design in post-custodial regime:The National Archives Experience Digital Vaults[J].Information Services&Use,2011,31(3-4):147.