Records Management in Post-Soviet Russia.

Editor's Note: Readers of this journal may recall two articles on records management in the Soviet Union that appeared in 1993. This article continues where its predecessors left off -- with a discussion of records management in post-Soviet Russia.

To address this subject with firsthand knowledge, it was necessary to collaborate with someone who plays a key role in developing records management principles and practices throughout Russia. Dr. Michail V. Larin, director since 1993 of VNIIDAD, the All-Russian Scientific Research Institute for Documentation and Archival Matter, is such a person. VNIIDAD is the central records management office of Rosarchiv, the Federal Archival Service of the Russian government. Concerning VNIIDAD's work, Dr. Larin wrote: "Our institute continues its activity in spite of all the difficulties our country is suffering now ..."

In the interview format that follows, Dr. Larin describes the current situation in his own words. Readers should note that some editorial liberties have been taken to make the sentences more comprehensible to North American readers. I have, I trust, been faithful to Dr. Larin's meaning.

Dr. Larin's contributions were excellent; this article could not have been written without them, and I wish to express here my sincere appreciation to him.

Q Generally, what has happened to records management in Russia during the years since the dissolution of the Soviet Union?

After the USSR's collapse and the creation of new state structures, the organizational level of records management deteriorated due to loss of some rules and traditions. At present there is a lack of practical normative and legal regulations in records management in Russia. In governmental bodies, the records management problems are rather urgent. The training and postgraduate education of records managers has declined, and appropriate training manuals are not available. Scientific research on documentation science is at a standstill. The vocational and scientific institutions with qualified specialists in records management are currently in a state of dissociation.

The several records management systems elaborated by VNIIDAD during the Soviet era (including EGSD -- the General State System of Documentation, and the General State System for Records Management) are not used at this time. Our society has changed its attitude towards records as the basis for any administrative action. This situation is the result of several factors: renovation of government ministries' staffs, elimination of long-standing bureaucratic traditions, and loss of traditional methods of records handling. There is a transformation in the value of records and their role in management due to the application of new technology, new market-oriented economic systems, and the instability associated with them.

Despite these changes in Russian society, VNIIDAD contends that effective organization of records management systems can be an important foundation of Russian government operation, as well as a substantial element of its stability. Moreover, VNIIDAD estimates that records and information use constitutes 60 percent to 90 percent of total administrative activity among Russian organizations. This underscores records management's importance in bringing greater efficiencies and stability to organizations in Russia.

In this new environment, Russia's records management systems are adopting new and different goals so that they may operate at a new level. Among the most important changes are:

1. Managers now aim to build more effective organizations based on market systems and profit opportunities, using the new marketing and advertising systems being introduced into Russian enterprises. Competition has stimulated the need for new information systems that can help organizations respond better to market pressures, particularly in the banking and financial sectors of the Russian economy. Thus, records management problems are receiving more attention and the demand for records specialists is increasing.

2. Computers, electronic networks, and communications systems are being introduced rapidly into state organizations. As a result, there are progressive changes in using technologies and records management in administrative bodies.

3. There is growing interest in, and attention to, records management problems at the presidential and governmental levels, and VNIIDAD's challenge is to respond in all its tasks.

Q Is the term "records management" generally understood by persons in Russian government ministries and business organizations?

The term "records management" is not widely used, but the word "recordkeeping" (deloproizvodstvo -- defined as "activities including documentation and organization of records maintenance in the course of administrative actions"), is quite popular in government and commercial organizations. In recent years, deloproizvodstvo's modified meaning -- "documentation and provision of administration" -- covers information, legal, technical and economic aspects of recordkeeping and is closer to the term "records management" as it is understood in the U.S. and other countries.

Q Is the EGSD -- the Edinaia gosudarstveniia systema deloproizvodostva, the "Unified State System of Records Management" -- still a law in Russia?

In September 1973, the State Committee for Science and Technology of the USSR Council of Ministers approved the General State System of Documentation (EGSD). These rules were practical recommendations to Soviet government agencies and ministries to manage the life cycle of records from their creation or receipt to their transfer to the archives. Although EGSD was never actually a law in the former Soviet Union, it was widely used, playing major roles in records management's progressive development and records procedures optimization all over the country. Today, EGSD is not widely used due to its orientation toward traditional recordkeeping systems and manual records maintenance.

In 1988, records management specialists at VNIIDAD developed the General State System of Records Management (EGS-DOU), which included the main rules of EGSD. The USSR did not legally approve EGS-DOU, however, and VNIIDAD officials wish to revise it for current implementation.

Meanwhile, records management is not directly ruled by any law in Russia. On the other hand, the Russian government has adopted several acts directed at solving records management problems. For example, Section 21.11 of the Russian laws (1996), governs recordkeeping practices for Accounting Records; The "main rules of legislation of the Russian Federation for the Archival Fond of Russia," contained in section 15.04, (1996), govern records of permanent archival value; and section 20.02 (1995), governs recordkeeping practices related to data security and protection.

Q Is VNIIDAD still a part of Glavarkhiv, the former Soviet State (Rosarchiv) Archival System?

Established in 1966 as the "All-Union Scientific Research Institute for Documentation and Archival Matter," VNIIDAD operated within Glavarchiv, the Soviet government's main archival administration. With the Soviet Union's dissolution, VNIIDAD became part of the Federal Archival Service. VNIIDAD operates as a scientific-research agency under the administrative authority of Rosarchiv, which appoints and discharges the Director and his deputies, and approves working plans and statements. VNIIDAD is, however, an independent organization with legal rights. Its primary purpose is the development of the theory and practice of records management systems, recordkeeping, and archival affairs among organizations throughout Russia. At present, VNIIDAD's staff numbers about 150 persons.

Q Describe VNIIDAD's mission and organizational structure.

VNIIDAD's main tasks are to: The Division of Documentation Science and Records Management, one of seven divisions and several specialized offices, is the primary records management arm of VNIIDAD. At present, its staff of 20 specialists work on such primary projects as:

* Preparing a dictionary of terminology in records management and archival affairs

* Developing a standard "Unified System of Documentation," consisting of procedures and instructions for recordkeeping systems design

* Conducting theoretical and applied research in documentation and archival science, including records management (The institute designs and develops records management systems and archival technologies, studies the legal aspects of records maintenance in the Archival Fond of the Russian Federation and in other organizations and enterprises throughout Russia.)

* Conducting studies on the nature of records creation and the formation and maintenance of record-keeping systems

* Developing methods for the advancement of records systems and the technical aspects of records handling among organizations with various types of ownership

* Elaborate legal regulations for records management in Russia

* Preparing records management policies and procedures 

* Researching recordkeeping and records management history

* Creating a new version of the "State Records Management System" for government ministries in the State administration

Q What new initiatives in records management are currently underway in Russia?

VNIIDAD is currently sponsoring a new all-Russian records management system, referred to as the OSUD. This system is to provide effective exchange of information within and between state agencies of the Russian government. To do this requires uniformity of records and records management methods in agencies. We must also introduce a modern technology network throughout the Russian government. This system should foster the retrieval and delivery of information in relevant form for managers and specialists throughout the government. In addition, OSUD must meet the following requirements:

* Standardized of technology, facilities and procedures for all records from their preparation in active systems to their transfer and storage within the archives

* Unified aspects of records creation

* Compatible manual and automated records processing operations.

* Adaptable to structural and functional changes in state administration.

* Provide users with the information they require in the necessary volume and quality with low cost.

* Appropriate information security and records oversight 

The OSUD must consider the rules and requirements of Russia concerning recordkeeping. However, the development and implementation of OSUD cannot, by itself, secure the creation of a state records management system. Thus, VNIIDAD proposes that a central administrative body, such as Rosarchiv, assume responsibility for governmentwide coordination and control of the state records management system, with the assistance of other appropriate government authorities. These would include Roskominform, Goskomstat, Gosstandart, and others. VNIIDAD also proposes an Inter-departmental Council on Records Management, coordinated by Rosarchiv with representatives from these and other arms of the Russian government. This council would be responsible for:

* Developing general requirements for records management, with the goal of developing unique state information infrastructure and integrate it into related global infrastructures

* Establishing common scientific and technical strategies in records management in Russia

* Developing a comprehensive program of scientific research in records management

* Developing and modernizing normative rules and standards in records management

* Organizing educational programs for training of records management specialists

* Licensing and certification of software designed to automate records management processes

Q Are records management programs in Russia operated as a part of "archival" programs; that is, programs for the preservation of historically valuable records?

There is a strict difference between records management and archives in Russia, now as before. Records management deals with active documentation. The archives are divided into different types: inactive files are stored inside the agency for a prescribed retention period. Then valuable records are transferred to the state archives for permanent preservation. The application of GSDOU provides the guaranteed storage of historically valuable archival records.

In our practice, records managers and archivists both deal with the life cycle of records. Records managers are mainly responsible for operative records maintenance, and archivists work with records after their transfer to the archives.

Q What title do persons have who perform records management work in Russia?

The names of official posts in records management are not strictly unified in Russia. However, some common titles for positions having responsibility for records management, including business manager, chief of office (state organizations), chief of common service department, office manager, chief of archives.

Q Is there a professional association or society that represents records management interests in Russia?

The Russian Society of Historians and Archivists represents the professional interests of records management practitioners. The Society's section on documentation science and record-keeping represents records management interests. I am its chairman. Our main task is to hold scientific seminars and annual conferences of records managers; three such meetings are held at this time.

Q Are courses of study in records management taught in educational institutions in Russia?

Three major academic institutions in Russia offer educational courses of study in records management: The Russian State University for Humanities and the State University of Ekaterinburg offer courses for archivists as well as records managers; the State Academy of Management offers courses for records managers only.

Apart from these universities, other institutions provide training for specialists in records management, including many secondary educational colleges and centers (including non-governmental). However, only educational institutions with state licenses may grant official certificates. VNIIDAD also provides training for records management specialists employed by the Russian government and is licensed to grant certificates.

Q Are there any consulting companies in Russia which provide advice or other technical assistance to organizations concerning how to establish records management programs?

Both VNIIDAD and regional archival bodies provide consultative assistance in records management.

Q Where do organizations in Russia store their inactive records? Have any commercial records storage companies been started in Russia?

Ministries of the Russian government preserve their inactive records in their own archives. If the records are considered as part of the Archival Fond of the Russian Federation, they are transferred to the state archives for storage. Records that are not considered part of this fond remain in relevant departmental archives under the federal archival service of Russia. To date, no business archives have been established in Russia.

Q Are there any commercial companies in Russia that specialize in selling computer software specifically designed to automate records management functions?

A total of 35 firms exhibited a wide variety of hardware and software products -- all related to computerized recordkeeping -- at the latest DOCFLOW conference in Moscow. In addition, a number of U.S.-based companies (i.e., IBM, Eastman Kodak, Microsoft, Lotus Development, Novell) operate branch offices in Russia. These companies, too, have adapted their hardware and software products for various aspects of computerized record-keeping in the Russian market.

Q Do organizations in Russia use what we in the United States refer to as "records retention schedules" as the means for authorizing the disposal of records?

In Russia, "general state lists" or "departmental lists" of government ministry records are used to effect the systematic disposal of records. The Federal Archive Service reviews these lists.

Q To what extent does the Russian government impose laws and regulations requiring the retention of certain records for specified periods of time?

Retention requirements for most records in Russia are not established by law or regulation, but in the general state or departmental lists referred to above. The Federal Archival Service has functional responsibility over permanent records.

Q To what extent have organizations in Russia begun to use electronic document imaging technology for records management applications?

Various forms of electronic recordkeeping technologies are widely used. The problem is that practice is ahead of science. In current circumstances, those of us in professional records management are not ready to give comprehensive answers to electronic records management problems.

Q What do you consider to be the greatest needs for improving the status and quality of records management in Russia?

The greatest needs in Russia at this time are (1) the formation of normative and methodical bases for records management in the new economic and political environment, and (2) the application of modern, automated information processing, integrated with international systems and technologies.

BIBLIOGRAPHY 

Larin, Michail V. "The Conception of the Records Management System in State Administration in Russia."

Stephens, David O. "Records Management in the Soviet Union: Part I -- The Management of Active Records." Records Management Quarterly. January 1993.

Stephens, David O. "Records Management in the Soviet Union: Part II -- The Management of Inactive Records." Records Management Quarterly. April 1993.

David O. Stephens, CRM, CMC, is Vice President of the Records Management Consulting Division at Zasio Enterprises Inc. He has been a consultant in the field of records management for more than 18 years. He is an accomplished author of books and articles about records management in the United States and abroad.