Integrated Management and Services for Urban Development Records, Archives and Information: A Research Agenda

Michael Cook

Xiaomi An

Xiaomi An, Archives College, Renmin University of China, Beijing

Michael Cook, University of Liverpool Center for Archive Studies

Abstract

This paper introduces a research agenda on ‘integrated management and services for urban development records, archives and information’, a national research project supported by the National Natural Science Foundation of China. It discusses seven aspects of the agenda, they are the research background, research aims, research objectives and questions, focuses and hypothesis of the project, analytical framework and methodology of the project, research plans, and the expected outcomes for the study

Key words

Urban development records; urban development archives; urban development information; integrated management and services; information age and knowledge economy; research agenda.

1.0 Introduction

“Urban development archives (UDA) are records directly created in the conduct of activities of urban planning, construction and management, which have long term preservation value for the county and society, either in textual form, cartography, diagrams or audio-videos. They consist of all types of media in a variety of forms”.[1] (The Ministry of Construction 1997, article 2, 2001, 2ed, article 2).

The social functions of urban development records (UDR) and urban development archives (UDA) are widely accepted as providing[2] (An, 2002: 34-25):

1. a foundation for documenting the history of urban development (UD) professionals, for accumulating, storing and sharing knowledge, techniques and experience of UD activities;

2. a reflection of modernization, legalization, normalization, accountability, democracy, transparency and performance of urban planning and the management;

3. an important reference for urban construction, development control, the use and maintenance of the built environment, the reconstruction, redevelopment, conservation of the built environment, including planning for disaster, calamity, catastrophe (e.g. war, fire, earthquake, flood, etc. as well as for the reconstruction and rebuilding of a city);

4. legal evidence for disputes such as the ownership of land, real estate or intellectual property, covering rights of creators, creating agencies, as well as citizen’s legal rights and the public interest;

5. an important information resource for the construction of urban development information systems, informatisaton of urban development service, e- government and digitizing city;

6. important historical sources for academic research on movement patterns within urban development, the economic development, the cultural development of cities, environmental studies and urban history;

7. authentic recordings of the cultural heritage and historical appearance of the built environment of a city, a nation and the memory of the world throughout the ages

The management and services of UDR and UDA is of benefit to:

1. people and government;

2. UD disciplines and professions;

3. evidential, informational, economic, historical, cultural and social demands at present and for the future;

4. they affect both society and the economy. (An, 2002: 35)

A study of integrated management and services (IMS) for urban development records (UDR), archives (UDA) and information (UDI) in the information age and knowledge economy has important significance[3]. This paper introduces a research agenda for ‘Integrated Management and Integrated Services for Urban Development Records, Archives and Information’, a national research project supported by the National Natural Science Foundation of China, started from January 1, 2003 and continuing until December 2005[4]. The project is chaired by the Archives College at Renmin University of China. Zhejiang University, the Chinese Urban Development Archives and Information Professional Committee of the China Urban Science Society, the China Mayors’ Association, the Guangzhou Urban Development Archives Repository, the University of Liverpool Center for Archive Studies are the working partners. The research team consists of 14 formal members and over 10 MA students from the two universities as research assistants.

The project aims to continue further research based on Xiaomi An’s Ph.D. study in the management of urban development archives. The ideal for research in integrated management and service would be to base it on the findings and recommendations of Xiaomi An’s Ph.D. study at the University of Liverpool during 1999 to 2001 but with radical innovations. The following gaps are identified as to be filled in by this project[5].

1. It will address issues of IMS and integrated services of UDR, UDA, and UDI in addition to issues of their integrated management, where the earlier research was only concerned with the integrated management of UDR and UDA[6].

2. It will address applied theories, models and methods, techniques and standards for IMS of UDR, UDA and UDI, where the earlier research was only concerned with the significance of integration methodology for UDA and the conceptual framework[7].

3. It will focus on needs for IMS in digital and networking environments, information age and knowledge economy, where the earlier research was concerned with needs for IMS in the paper and electronic world of the recent past[8].

4. It will address a variety of needs for IMS at different levels and for different purposes throughout the records life-cycle (from creation to permanent preservation) and the life of the built environment (from planning, creation, use, maintenance, redevelopment, renovation, restoration, etc.) in the construction of cyber-city, such as the needs for IMS for managing UDA at archival repositories, needs for IMS of UDR, UDA, UDI at UD organizations and for UD projects, needs for IMS for consistent quality systems and assurance for accuracy, authenticity, reliability and integrity of UDR, UDA and UDI in digital and networking systems, (where the earlier research focused on non-current records destined for permanent preservation and only focused on the management of UDA in a paper world and in archival repositories[9].

5. It will focus on knowledge management continuum-based integrated theories and methods for the accumulation, information sharing and communication of evidence, information and memory along life of the built environment throughout the entire process of the records movement.

2.0 Research Aims

The project is trying to explore and establish theories, models and methods, techniques and standards for the IMS of UDR, UDA and UDI suited to the needs of the information age, the digital and networking world and the knowledge economy.

In the case of IMS, the goal is to justify and apply an integrated management and service framework for UDR, UDA and UDI by means of

· service control, providing client satisfaction,

· process control, providing cost-effectiveness and efficiency,

· product control, providing best value.

Service control implies approaches to sustainable service for client-satisfaction in the availability, accessibility, readability and timely access to UDR, UDA and UDI. (An, 2002: 4).

Process control refers to approaches to support effectiveness, economy and efficiency of UDR, UDA and UDI. (An, 2002:3)

Product control refers to approaches to ensure the accuracy, authenticity, reliability and integrity of UDR, UDA and UDI. (An, 2002:4)

3.0 Research Objectives and Questions

The project is trying to finds answers to the following questions:

1. Theories for IMS:

l What is the demand for UDR, UDA and UDI in the information age, digital and networking world and knowledge economy society? What is the impact of the above external factors on changes and innovation in management of UDR, UDA, and UDI? What are the relationships between UDR, UDA, and UDI in such a context? Why is IMS important and significant for UDR, UDA and UDI in the above context?

l What are the new ways of thinking available for IMS in the above context? What are their best practice mechanisms? What are the elements and variables of IMS? What are the social benefits, advantages and limitations of IMS?

l What are the relationships between integrated management and integrated services? What are the objectives and goals of IMS for service control? What are the relationships of IMS with e-business services e.g. e-UD projects, OA systems, e-government, the digitalized city; with digital and networked information systems e.g. ordinary digitized archives, library and museum services and UD information services?

2. Models and methods for IMS:

l What are the new models and methods for IMS? What are the universal principles for IMS best practice across disciplines, sectors and cultures?

l What are the functional requirements of IMS and integration? What are the internal components and external conditions for IMS?

l What are the indicators and criteria for evaluating IMS process control?

3. Techniques and standards for IMS:

l What are the techniques and standard elements for guaranteeing availability, accessibility, readability and timely access to UDR, UDA and UDI in digitalizing and networking systems?

l What are the techniques and elements of standards for guaranteeing accuracy, authenticity, reliability and completeness of UDR, UDA and UDI throughout the life of the built environment and along the life of a record in the electronic and digital world?

l What are the techniques and elements of standards for guaranteeing accumulation, sharing and communication of evidence, information, memory and knowledge in the information age and knowledge economy society?

4.0 Focuses and Hypothesis of the Project

The project is focused on its research problems and demands, and priority would be given to the following urgent needs which have been identified:

l The need for IMS digitizing planning and framework for UDA repositories in the construction of a digitized city and knowledge economy society;

l The need for IMS best practice guidelines for UD organizations in informational and knowledge economy society;

l The need for IMS best practice standards for built environment projects in the electronic and digital world;

l The need for IMS solutions for problems of accuracy, authenticity, reliability, and integrity of UDR, UDA, UDI in the digital and networking world.

The project offers the following hypothesis for IMS to meet the above research needs:

l The demand for and service of evidence, information, memory and knowledge for urban development activities and professionals, would be regarded as integrated and continuous, so as to connect past and present, and present to future for IMS in UDA repositories.

l The processes and work flows of business operations, record keeping and archiving and information systems throughout the life of the built environment and along the life of a record would be regarded as coherent and relevant to support total quality management (TQM), customer relationships (CRM), enterprise resource planning (ERP), enterprise innovation in compliance with ISO 9000 standards and ISO15489 records management standards for IMS in UD organizations.

l The accumulation, sharing, and communication of data and information would be regarded as a continuum regime to support knowledge service for sustainable and robust urban development and construction in the digital city for IMS in built environment projects.

l Quality systems and modes for quality assurance for the accuracy, authenticity, reliability and integrity of UDR, UDA and UDI would be regarded as consistent and robust throughout the life of the built environment and the life of a record in the digital and networking world.

5.0 Analytical framework & methodology of project

The project employs collaborative, multidisciplinary and cross-cultural methodologies to explore the current provision in IMS with perspectives on customer relationships management (CRM), total quality management (TQM), knowledge management (KM), to analyze, explore and synthesize theories, models and methods, techniques and standards for IMS in addition to perspectives for client-led marketing strategy, post-modern archival thinking, and a records continuum model (An, 2002:15-17). See also the research aims, objectives and hypothesis.

The project is divided into 9 sub-projects to allow members of the research team to implement the research plans, taking advantage of their expertise in different disciplines, fields and cultures. All the sub-projects are under the same research framework. See Figure 2 and Figure 3.

The project would employ descriptive and analytical research methods for IMS theories by a literature review; would employ exploratory and analytical research methods for IMS models and methods by investigation, surveys, case studies and experiments; would employ predictive and analytical research methods for IMS techniques and standards in a review and survey of actual or anticipated literature, with case studies and experiment. See Figure 4.

6.0 Research Plans

The research plan follows a research flow (see figure 1), a research framework (see figure 2), its sub-projects task forces (see figure 3), and its operational plan (see figure 4).

7.0 Expected Outcomes for the Study

The project would provide IMS theories, models, methods, techniques and standards for UDR, UDA and UDI in new digital environments, the information age and knowledge economy society. The output of the project would provide a digitising framework and guidelines for the accumulation, sharing and communication of evidence, information, memory and knowledge in UDAs; provide ISO15489- UDR applied standards for UD activities in new digital environments; provide IMS standards for UDR, UDA and UDI in built environment projects in the new age; provide IMS quality systems and assurance for the accuracy, authenticity, reliability and integrity of UDR, UDA and UDI in a digital and networking environment.

Figure 1- Research Flow

Urgent Research Needs

Research Objectives

Research

Hypothesis

Indicators for IMS best practice

Research

Purposes

Outcomes of IMS

IMS digitizing framework for UDA repository

• IMS theory

• Why do we need IMS?

• What are new ways of thinking for IMS?

Integrated service-control

to evidence, information, memory and knowledge

• Availability

• Accessibility

• Usability

• Timely access

public awareness of social demands for collaboration and coordination for comprehensive and

sustainable service

Client-satisfaction

IMS best practice guidelines for UD organization and projects

• IMS models and methods

• What are new models and methods for IMS?

• What are the universal principles and functional requirements for IMS towards best practice?

Integrated process-control

to business work flow, recordkeeping and archiving patterns, and information flow

• Economy

• Effectiveness

• Efficiency

Flexibility and

responsiveness

to professional accountability, unity

and commitment

Cost-effectiveness

IMS quality system and assurance for accuracy, authenticity, reliability, integrity of electronic and digital UDR, UDA and UDI

• IMS techniques and standards

• What are new techniques and standards for IMS towards best practice?

• How can IMS be realized?

Integrated product-control to quality system and assurance

• Accuracy

• Authenticity

• Reliability

• Integrity

Consistent and persistent quality assurance

throughout the life of the built environment and life of a record

Best value

Figure 2- Research Framework

Figure 3- Task Forces of Sub-Projects

Figure 4- Research Operational Plan

The Authors

Xiaomi An is an associate professor of Archives College at Renmin University of China where she has taught courses concerning science and technology records and archives management for more than fourteen years, specializing in architectural records and built environment records management. She earned her Ph.D. at University of Liverpool in 2001. She has published more than 80 academic papers and is editor-in-chief or author of seven books. In 2001, she lead the translation of the international records management standard ISO15489 into Mandarin Chinese. She is project director of the Integrated Management and Services of Urban Development Records, Archives and Information, a national project supported by the National Natural Science Foundation of China. Dr An may be contacted at: xiaomia@yahoo.com.

Michael Cook is a long time member of the University of Liverpool faculty and now Honorary Senior Fellow in its School of History. His career in archives spans almost 50 years, during which time he has been at the forefront of almost every field of development in archives and records management. Correspondence to: Michael Cook, 12 Grosvenor Avenue, West Kirby, Wirral CH48 7HA. Tel: +44 (0)151 625 6512; email: mgc00k@aol.com or mgcook@liv.ac.uk

Sub- Project	Title and Contents of Sub-project	Expected Output
1	Theories, Models and Methods for IMS in the digitizing and networking UD environment	Theoretical framework of IMS for UDR, UDA and UDI
2	Cross-disciplinary and international best practice and standards for IMS	Review and recommendations of IMS standards for UDR, UDA and UDI
3	IMS and the relationships with OA systems and e-government systems	Elements, requirements and standards of IMS in OA systems and e-government
4	IMS and the relationships with UD professional business and services systems	Elements, requirements and standards of IMS in UD professional business and services systems
5	IMS and the relationships with UD professional information resources systems	Elements, requirements and standards of IMS in UD professional information resources systems
6	IMS and the relationships with public archives systems	Elements, requirements and standards of IMS in public archives systems
7	IMS and the relationships with library, intelligence and museums systems	Elements, requirements and standards of IMS in library, intelligence and museums systems
8	Terms, standards, rules, regulations, policies and laws for IMS	Quality system and assurance of IMS for UDR, UDA and UDI
9	Description and metadata standards, IT tools and applied schemes for IMS	Metadata standards and KM schemes of IMS for UDR, UDA and UDI

Proposed timetable for Task Forces to be completed	Data generating & collecting method	Data source	Data analyzing method	Objectives
2003 Sub-project-1 Sub-project-2	Descriptive and analytical research	Literature review; International conference in China (October)	Critical analysis and deduction of theories, methodologies and standards for IMS by cross-disciplinary and cross-cultural analysis	ways of thinking for “why IMS”
2004 Sub-project 3 Sub-project 4 Sub-project-5 Sub-project 6 Sub-project 7	Exploratory and analytical research	Selected sites investigation; semi-structured interview; questionnaire survey; experiments; ICA congress in Austria	Examining and evaluating models and methods for IMS by representative and typical case studies & experiment.	Principles and requirements for “what IMS is”
2005 Sub-project 8 Sub-project-9	Predictive and analytical research	Literature review; surveys; case study; experiment	Synthesizing and inducing IMS theories, models, techniques and standards.	Techniques and standards for “how IMS can be realized”