歷史檔案是用文字記錄人、事、時、地、物發生過的種種，歷史是一個國家的根基、檔案則負責歷史的真實性，因此歷史檔案是人類社會重要的資產，但人們對於歷史檔案的認知較為陌生，同時歷史檔案的典藏單位是多元化的，在博物館的歷史檔案則統一被歸屬於史料文獻的典藏品而非檔案，因此在歷史檔案的瞭解與使用上較多都以專業研究人員為主。 本研究透過文獻分析瞭解何謂「歷史檔案」以及國內外博物館在歷史檔案的典藏與管理概況，並對五所典藏歷史檔案的博物館進行深度訪談，包括：國立故宮博物院、國立歷史博物館、國立臺灣博物館、國立臺灣歷史博物館以及高雄市立歷史博物館，冀求瞭解博物館對於歷史檔案的典藏與管理情況，綜合分析其結果，提出合適於歷史檔案的典藏與管理意見，以供未來國內歷史檔案之典藏機構參考。 歸納文獻分析與研究結果發現，博物館對於歷史檔案的認識較為不足，在使用歷史檔案時也多以展覽為主，除了博物館業務繁重之外，負責歷史檔案的管理人員較多都不具有檔案專業背景，同時因為博物館蒐藏方向多有重疊，因此歷史檔案被分散典藏在不同博物館中，也讓使用者在運用時有所阻礙。藉由釐清歷史檔案的定義，以及經由專業的檔案人員整理後，國內對於檔案的重視也會日益增加。 / Historical archives use words to record people, things, places, and objects that have been on earth. History is the foundation of a country, and archives represent the reality of history; therefore, historical archives are the important fortune of human beings. However, people are not familiar with historical archives, and the collection units of historical archives are various, for example, the historical archives in Museum are not organized under collection of archives but collection of literature. As a result, the comprehension and application of historical archives are mostly conducted by professional research workers. This research analyzes historical archives and the statement of worldwide museums in collection and management of historical archives. Also, this research conducts in-depth interview on five museums, inclusive of National Palace Museum, National Museum of History, National Taiwan Museum, National Museum of Taiwan History, and Kaohsiung Museum of History, to understand the collection and management statement of historical archives in museums nowadays. Nevertheless, this research sums up the analytic results and raises suggestions suitable for the collection and management of historical archives, in order to let domestic collection of historical archives institutes can take advantage of it. According to the literature analyses and research results, museums lack awareness of historical archives and the application of historical archives always focus on exhibitions. These cause museum not only a heavy duty but also most staffs in charge of historical archives are not equipped with specialized knowledge. Meanwhile, due to the duplicate collections of different museums, historical archives are scattered in distinct museums, which create barriers toward users. Therefore, hoping domestic awareness of archives will arise increasingly after the clarification of historical archives and the rearrangement conducted by experts.

Submitted by Valdinei Souza (neisouza@hotmail.com) on 2015-12-22T16:37:25Z No. of bitstreams: 1 dissertaçao maira souza 2015.pdf: 4878608 bytes, checksum: 33c298d58fa9e0e85694877960a722a3 (MD5) / Approved for entry into archive by Urania Araujo (urania@ufba.br) on 2016-01-12T20:05:28Z (GMT) No. of bitstreams: 1 dissertaçao maira souza 2015.pdf: 4878608 bytes, checksum: 33c298d58fa9e0e85694877960a722a3 (MD5) / Made available in DSpace on 2016-01-12T20:05:28Z (GMT). No. of bitstreams: 1 dissertaçao maira souza 2015.pdf: 4878608 bytes, checksum: 33c298d58fa9e0e85694877960a722a3 (MD5) / Pretendeu-se identificar a mediação da informação nas redes de arquivos históricos na internet, tendo em vista que as redes são criadas a partir de um ambiente humanizado e que sugere relações entre indivíduos e documento arquivístico. Ressalta-se a influência das tecnologias da informação e comunicação na redefinição dos arquivos permanentes tradicionais e virtuais, especialmente em possibilitar a recuperação, garantindo a integridade e segurança da informação para a construção do conhecimento e da memória social. Justifica-se o tema através do diálogo e do compartilhamento de informações e experiências que intensificam as relações pessoais. Sobretudo nos canais informacionais mediados por computadores, em que a comunicação e a produção de sentido contribuem para a construção das redes sociais e informacionais que promovem o acesso à informação. Em virtude do fenômeno informacional, os procedimentos metodológicos revelam uma pesquisa descritiva e documental, com abordagem qualitativa e método de investigação de múltiplos casos. Para o levantamento de dados, a pesquisa elegeu a técnica de observação direta para a análise das redes e de documentos arquivísticos. As redes de arquivos históricos exercem mediação e permitem o acesso remoto as descrições arquivísticas, instrumentos de pesquisa e documentos digitalizados. Os documentos respondem ao princípio da incerteza na busca pela informação, essenciais para a reinterpretação da memória. Para uma efetiva mediação, as ações devem reforçar o reconhecimento do arquivo permanente como espaço social, dotado de significação coletiva e individual. / ABSTRACT - It was intended to identify the mediation of information in networks of historical archives, considering that networks are created from a humane enviroment and suggesting relationships between individuals and document archival. Emphasizes the influence of information and communication technologies in the redefinition of traditional and virtual archives, especially by enabling information retrieval, ensuring the integrity and information security for the construction of knowledge and the social memory. Justified the issue through dialogue and the compartment of information and experiences intensify personal relationships, especially in informational media mediated by computers, wherein comunication and the production of meaning contribute to the building of social and informational networks, to promote access to information. In view of the informational phenomenon, methodological procedures revel a descriptive and documentary research, with qualitative approach emethod multiple case research. For data collection, research has chosen direct observation technique for the analysis of networks and documents. The networks of historical archives exert mediation and allow remote access to archival descriptions, research instruments and digital documents. The documents respond to the uncertainty principle in the search for information, essential for the reinterpretation of memory. For effective mediation, actions should reinforce the recognition of the permanent archives as social space, endowed with individual and collective significance.

檔案控制層次分為管理、全宗、系列、案卷、件等五個層次，是由美國國家檔案暨文件署之學者Oliver Wendell Holmes在1964年提出「檔案編排-五種不同的控制層次」一文的說法。 從2001年起，國內各典藏歷史檔案機構已就其重要的歷史檔案，引進採用最新發展之「檔案描述編碼格式」(Encoded Archival Description，簡稱EAD)及「國際檔案描述標準」(General International Standard Archival Description，簡稱ISAD(G))等標準，進行數位典藏計畫，使檔案控制層次在歷史檔案編排之應用，成為數位典藏計畫執行期間及本研究階段之重要研究課題。 本研究採用「個案研究法」與「深度訪談法」進行研究，對5所典藏歷史檔案機構進行個案研究，包括：國立故宮博物院、國史館、國史館台灣文獻館、中央研究院歷史語言研究所及近代史研究所，以了解檔案控制層次之應用成果；另深度訪談法則是對機構內檔案編排人員進行訪談，以搜集參與數位典藏計畫前後，檔案控制層次在歷史檔案編排之應用情形資訊，及檔案描述有關之控制層次內容。 根據本研究，有下列結論：一、各機構均會參酌最新理論與應用先例進行檔案編排；二、對於檔案控制層次除運用在實體歷史檔案編排外，並也已逐漸延伸到數位檔案影像編排上；三、後設資料需求規格書中之控制層次名稱更為明確；四、控制層次邏輯可以作為製成檢索工具基礎及應用在數位檔案之檔名命名上；五、層次關係以樹狀結構呈現；六、多數機構著重在較低層次的描述；七、彙整出各機構檔案編排之層次圖表。 最後對前述研究結論提出建議：一、未將檔案控制層次運用在歷史檔案編排者，應加以調整；二、控制層次之名稱與內涵應一致；三、運用檔案控制層次方法後，應加以彙集出版或作為網路上瀏覽檔案的輔助索引；四、建立描述計畫時，應著重在較高層次的描述；五、各機構應加強訂定檔案描述規則與多層次描述規範。 / The levels of control in archival arrangement can be classified by depositories, fonds, series, files and items ,etc. This concept had been proposed by Oliver Wendell Holmes in 1964, in his article: “Archival Arrangement -- Five Different Operations at Five Different Levels”. Since 2001, many public archive institutions which are major holders of historical materials in Taiwan, early or late participated in the “National Digital Archives Program” (NDAP). They have adopted “Encoded Archival Description” (EAD) and “General International Standard Archival Description” ( ISAD(G)) as the standards of archive digitization. Therefore, the levels of control applied in the arrangement of historical archives have become the main topics of NDAP and relative studies. This study has adopted the “case study method” and the “in-depth interview method.” We make case studies of five major historical archive institutions in Taiwan -- the National Palace Museum, the Historica Academia, the Taiwan Historica, the Institute of History and Philology and the Institute of Modern History, especially regarding the levels of control applied in the arrangement of historical archives before and after these institutions participated in NDAP. On the other hand, we interviewed the archivists of the above institutions, in order to understand their work of archival description based on the levels of control. We reached the following conclusions: 1. The above-mentioned institutions adopt the newly theory and practice in archival arrangement every now and again. 2. The levels of control not only have been applied in the arrangement of physical archives, but extended to digital archives. 3. The levels of control have become more definite in the specification of metadata requirement. 4. The logic of the levels of control can be utilized as the basis of finding aids and : the naming rule of digital files. 5. The hierarchical model of the levels of control has been presented in a kind of tree structure. 6. Most institutions focus their efforts on lower level descriptions. 7. For further research, we establish a summary table of the levels of control adopted by the above-mentioned institutions. Finally, we do have some suggestions: 1. For every historical archive holder, it is a wise choice to adopt the levels of control to arrange the historical materials 2. The naming on the levels of control and its contents must be consistent. 3. The levels of control applied in the arrangement of historical materials should be available on-site to user as auxiliary index. 4. We’d better concentrate more efforts on higher level description while planning for archival description. 5. Each public archive institution should make every effort to enhance the establishment of Chinese archival description rules and multiple description specifications.

政府機關、人民團體或個人處理業務或活動過程中所產生的記錄，稱之為檔案。檔案具有永久保存價值，是社會文化遺產的一部份。檔案對於研究歷史尤其重要，因此典藏各種主題檔案之歷史檔案館或典藏單位，必須制定館藏發展政策以區分館藏，建立各館之館藏特色。 基於上述，本研究之主要目的即為針對我國歷史檔案館館藏發展政策之擬定情形，以及歷史檔案館館藏發展政策所應涵蓋之內容作一探討；並進而從檔案人員之角度了解歷史檔案館制定館藏發展政策之現況與需求。 研究結果發現，目前國內歷史檔案館大多具備館藏發展之方向，其中已具備館內之工作手冊或規範書的檔案單位，包括：國史館、中研院近史所檔案館、宜蘭縣史館與吳三連台灣史料基金會，皆可提供歷史檔案館或民間史料典藏機構制定館藏發展政策之參考。 在研究結論中，研究者歸納出歷史檔案館制定館藏發展政策之必要性、歷史檔案館實施館藏發展政策之可行性，以及檔案專業人員制定與執行館藏發展政策之必要性等觀點。此外，在研究建議中，研究者並以國外歷史檔案館之館藏發展政策為藍本，及參酌國內歷史檔案館管理方式，研擬一份歷史檔案館館藏發展政策，以提供國內歷史檔案館相關單位未來制定館藏發展政策之參考。

本研究主要在瞭解國內歷史檔案館藏於Web 環境中建置的規劃過程與執行內涵，主要以國內現正進行國科會「數位典藏國家型科技計畫」且已規劃建置Web檔案檢索系統的中央研究院近代史研究所檔案館為研究對象，探討其Web檔案檢索系統之建置內涵。本研究雖係以近史所檔案館為例，但期望藉由對該館建置經驗之探討，提供國內各歷史檔案主管與典藏單位參考。研究目的包括：探討Web環境中歷史檔案館藏檢索系統建置工作的內涵、Web檔案檢索系統介面的功能與特性、使用者對檔案檢索系統的使用習慣、模式與需求情形，並針對檔案館工作人員、資訊技術人員之Web檔案檢索系統建置作業思維觀點予以並列比較，進而與使用者之檔案資訊檢索需求進行對照比較，作為國內歷史檔案館藏Web檢索系統設計與建置之參考。 　　本研究採用深度訪談法，首先以近史所檔案館「近代外交與經濟重要檔案數位典藏計畫」為主要研究範圍，對該館工作人員進行訪談，並以參與該館系統建置之中研院計算機中心的資訊技術人員為訪談對象，此外亦針對外交檔案的使用者進行訪談，以便對相關的研究問題進行探討；並採用比較法，針對檔案館工作人員、資訊技術人員於Web檔案檢索系統建構之思維進行對照比較，並依據使用者對Web檔案檢索系統之需求與建置觀點進行剖析。最後將檔案館工作人員、資訊技術人員對系統功能建置之觀點與使用者之觀點進行對照比較，以綜合觀點比較歸納出Web環境中檔案檢索系統的重要特性與功能。 　　研究結果，本研究分別從「系統建構」與「使用者需求」兩個面向提出研究結論。於系統建構面向得出結論為：（一）檔案描述著錄方面：訂定檔案著錄系統建置方針、協調統整既有作業情境與著錄系統間的作業流程、因應檔案描述著錄作業所面臨的問題；（二）檔案權威控制方面：檔案權威控制方案效能的比較、權威檔合作建置可行性與方案的抉擇評估；（三）檔案傳輸互通標準方面：重視國際相關標準的採用與整合檢索的重要性、研擬訂定核心欄位促成聯合目錄與整合檢索之實現；（四）Web檔案檢索系統使用者介面方面：訂定Web檔案檢索系統使用者介面設計原則、Web檔案檢索系統使用者介面的功能規劃、妥善進行Web檔案檢索系統的營運管理；（五）檔案資訊加值檢索之作法方面：配合國中、高中教科書內容增加主題檔案介紹，進行系統使用者Log檔統計分析並進行檔案使用者資訊檢索行為研究，結合學術領域研究人員人力投入以進行檔案深度描述，運用資訊技術以提昇加值檢索之效能與服務之強化；（六）Web環境中歷史檔案檢索系統發展趨勢方面：藉由觀摩國內外其他單位之規劃建置並掌握重點，由網頁得知他館的經驗分享進而交流合作，與資訊技術人員密切交流以有助於系統的規劃建置。於使用者需求面向則分別從「使用者對Web檔案檢索系統的觀點與使用經驗」及「使用者對Web檔案檢索系統資訊檢索需求內涵分析」兩方面做成結論。有關使用者對Web檔案檢索系統的觀點與使用經驗方面，分別就檔案使用者資訊素養、使用經驗、檔案查詢途徑與使用方式、檔案資訊檢索整體需求、檔案檢索查詢項目使用需求情形、檔案資訊檢索心得觀感、檢索時所遭遇的問題以及對Web檔案檢索系統之期許等提列結論。而有關使用者對Web檔案檢索系統資訊檢索需求內涵分析方面，則以整體架構需求面向、資訊內涵需求面向、資訊檢索功能面向、資訊輸出功能面向、資訊顯示功能面向、檢索點需求面向等提列結論。 　　根據研究結果，本研究分別從「系統建構」與「使用者需求」兩個面向提出建議。於系統建構面向之建議包括：（一）訂定數位典藏與資訊檢索系統建置的相關標準；（二）建立一專門彙整缺字處理方案的官方正式網站；（三）建立一個累積資訊技術發展成果的知識庫；（四）運用「全宗原則」、採行「控制層次」進行檔案描述著錄；（五）合作建置檔案權威資料庫；（六）遵循檔案傳輸互通標準以因應內部與對外整合檢索之需求；（七）進行Web檔案檢索系統使用者介面整體規劃；（八）進行檔案資訊加值檢索方案之規劃；（九）研擬訂定核心欄位，儘速促成聯合目錄與整合檢索之實現。於使用者需求面向之建議則包括：（一）建立整合性歷史檔案查詢網站；（二）運用資訊技術與人工智能分析以強化檔案資訊內涵分析；（三）提供個人化檔案資訊檢索服務；（四）研擬並發展加值檢索方案。 / This study aims at understanding the planning process and the implementation of web-based historical archive construction in Taiwan by investigating the National Digital Archives Program that is being run by the National Science Council (NSC) and the contents of construction of the achieves of Institute of Modern History, Academia Sinica, whose retrieval system was completed. Though the study was based on modern history archives, it is hoped that the study can be a reference of construction for competent units and owners of history archives. The objective of the study is to investigate the contents of construction of Chinese web-based retrieval systems for historical archives; their functions and characteristics; and the habits, behavioral patterns and needs of users. A contrastive study between thoughts and opinions of web-based retrieval system construction of archive crews and IT personnel and the needs of users has been conducted to provide a reference for planning and construction of web-based retrieval system for history archives in Taiwan. 　　In-depth interviews were conducted with librarians in charge of the Digital Archives of the Diplomatic and Economic Records in Modern History Project, and with IT personnel of the Computer Center of Academia Sinica engaging in the construction of the archival system. Moreover, users of diplomatic files were interviewed for related topics. A comparison of the thoughts and opinions on web-based retrieval system of archive crews and IT personnel has been conducted. Needs and views of users have been analyzed. Finally, a contrastive study between the views on system function construction of archive crews and IT personnel and the opinions of users has been conducted in order to find out the important characteristics and functions of we-based Chinese archive retrieval systems. 　　Based on the research findings, conclusions were made from the following two aspects: system construction and user needs. System constructions are: (1) file description and recording: establishing construction policies for file recording systems, coordinating and integrating the operation workflow of the existing operation environment and recording system, and responding to problems arising out of file description and recording; (2) file authority control: comparing the efficiency of file authority control solutions, and selecting and evaluating the feasibility and solution of collaborative construction of authoritative files; (3) file transfer protocol: focusing on the importance of international protocols and integrated retrieval, and drafting core columns to promote the realization of joint indexing and integrated retrieval; (4) web-based retrieval system user interface: drawing out principles of design for the user interface of web-based retrieval systems, planning functions for the user interface of web-based retrieval systems, and applying reliable operation management of web-based retrieval systems; (5) handling of value-added retrieval of file information: enriching topic file introduction in accordance with junior and senior high school textbooks, producing statistics on and analyzing system user log files and studying the information retrieval pattern of users, combining the manpower of researchers to produce depth description of files, and enhancing the efficiency and optimizing the service of value-added retrieval with information technology; and (6) the trend of Chinese web-based retrieval systems of historical archives: sharing the experience in planning and construction of other archives home and abroad and promoting exchange and cooperation with them over the web, and making close contacts with IT personnel to facilitate system planning and construction. Conclusions on user needs were made according to “the user’s views and experiences of uses of web-based file retrieval systems” and “analysis on the contents of user’s needs for web-based file retrieval system”. Regarding user’s views on and experiences of uses for web-based file retrieval systems, conclusions were reached according to the user’s information attainments, experience of system uses, paths and manners of file retrieval, overall requirements for file and information retrieval, use of options in file retrieval systems, comments on file and information retrieval, problems encountered in retrieving files and information, and expectations from web-based file retrieval systems. As to the analysis of the contents of user’s needs for web-based file retrieval system of users, conclusions have been drawn according to the needs for overall framework; information contents; information retrieval functions; information output functions; information display functions; and information retrieval. 　　Based on the research findings, suggestions have been made according to “system construction” and “user needs”. Suggestions about system construction include: (1) establishing standards for digital archives and information retrieval systems; (2) setting up an official website for processing characters that do not exist in regular font sets; (3) developing a knowledge base for accumulating IT development achievements; (4) describing and recording files with “level control” according to the “principle of respect des fonds”; (5) constructing a file authority database under collaboration; (6) following the file transfer protocols to meet the requirements of internal and external integrated retrievals; (7) making plans for the user interface of web-based file retrieval systems; (8) working out solutions for value-added file and information retrieval; and (9) drawing out central columns and promoting the realization of joint indexing and retrieval. Suggestions about user needs include: (1) establishing an integrated historical archive inquiry website; (2) applying IT and AI to strengthen file and information content analysis; (3) providing personalized file and information retrieval services; and (4) drawing out and developing value-added retrieval solutions.

Depuis quelques décennies, l'intérêt pour l’étude de la fonction d’évaluation s’est diversifié pour approfondir les principes théoriques (Jenkinson, 1922; Schellenberg, 1956; Samuels, 1992; Cook, 1992b; Eastwood, 1992b; Duranti, 1994; Couture, 1999), les stratégies (Booms, 1972; Samuels, 1986; Cook, 1992b; Eastwood, 1992b; Couture, 1999) et les dispositifs de leur processus d’application (Ham, 1984; Boles & Young, 1991; Cook, 2001a, 2001b). Mais, toutes ces contributions n'ont pas encore étudié la nature des résultats de l'évaluation que sont les archives définitives. Du point de vue patrimonial, l’absence d’études sur la définition et la mesure des qualités des archives définitives ne permet pas de vérifier si ces archives constituent un patrimoine documentaire significatif. Sur le plan administratif, l’état actuel de la pratique de l'évaluation n'a pas encore investi dans l'examen méticuleux de la nature de ses résultats. Au plan économique, le manque de méthodes et d'outils pour la mesure des qualités des archives ne permet pas de juger si ces archives valent l’investissement matériel, technique, financier et humain que leur conservation implique. Du point de vue professionnel, l’absence de méthodes et d’instruments d’évaluation des qualités des archives ne permet pas aux professionnels d’appuyer leur décision en matière d’évaluation des archives. Afin de remédier à cette situation, notre recherche vise à définir et à mesurer les qualités des archives définitives issues de l’évaluation. Pour ce faire, nous privilégions une méthodologie quantitative de nature descriptive, appropriée lorsqu’il s’agit d’étudier un sujet peu abordé (Fortin, 2006) tel que l'opérationnalisation des qualités des archives définitives. La stratégie de la recherche a comporté deux phases. La phase conceptuelle a permis d’identifier et de définir quatre qualités soit l’« Unicité », la « Preuve crédible », l’« Exploitabilité » et la « Représentativité ». La phase empirique consistait à vérifier la mesurabilité, à titre d’exemple, des variables découlant de deux des quatre dimensions de qualité dans le contexte des archives définitives, soit la « Preuve crédible » et l’« Exploitabilité ». Le mode de collecte des données réside dans l’application d’une grille de mesure conçue spécialement aux fins de cette étude. La réalisation de la collecte de données qui s’est déroulée à Bibliothèque et Archives nationales du Québec a permis l’opérationnalisation de 10 indicateurs spécifiques sur 13 appartenant à deux dimensions de qualité : la « Preuve crédible » et l’« Exploitabilité » des archives définitives. Ainsi, trois indicateurs spécifiques sur l’ensemble de 13 sont restés sans mesures à cause d’une certaine faiblesse liée à leur mesure que nous avons pu identifier et vérifier lors des pré-tests de la recherche. Ces trois indicateurs spécifiques sont le « Créateur » dans le cadre de la dimension de la « Preuve crédible », ainsi que la « Compréhensibilité » et la « Repérabilité » dans le cadre de la dimension de l’« Exploitabilité ». Les mesures obtenues pour les 10 indicateurs ont mené à l’identification des avantages et des points à améliorer concernant différentes variables liées au créateur, au service de conservation ou encore à l’état et à la nature du support. Cibler l’amélioration d’un produit ou d’un service représente, comme démontré dans la revue de la littérature, le but ultime d’une étude sur les dimensions de qualité. Trois types de contributions découlent de cette recherche. Au plan théorique, cette recherche offre un cadre conceptuel qui permet de définir le concept de qualité des archives définitives dans une perspective d’évaluation archivistique. Au plan méthodologique, elle propose une méthode de mesure des qualités applicables aux archives définitives ainsi que les instruments et le guide qui expliquent sa réalisation. Au plan professionnel, d'une part, elle permet d’évaluer les résultats de l’exercice de l’évaluation archivistique; d'autre part, elle offre aux professionnels non seulement une grille de mesure des qualités des archives définitives déjà testée, mais aussi le guide de son application. / Some decades ago, interest in studying the archival appraisal function was diversified to deepen theoretical principles (Jenkinson, 1922; Schellenberg, 1956; Samuels, 1992; Cook, 1992b; Eastwood, 1992b; Duranti, 1994; Couture, 1999), strategies (Booms, 1972; Samuels, 1986; Cook, 1992b; Eastwood, 1992b; Couture, 1999) and their implementation process - techniques, instruments and criteria - (Ham, 1984; Boles & Young, 1991; Cook, 2001a, 2001b). However, all these contributions have not yet studied the nature of appraisal results that compose historical archives. The following four elements explain the nature of this problem. First, from the perspective of documentary heritage, the lack of studies on the definition and measurement of the quality of historical archives prevents verification as whether archive materials are significant. Second, at the administrative level, the current practice of appraisal does not yet invest in a meticulous examination of the nature of its results. Third, in economic terms, the lack of methods and tools used to measure the quality of archives, affects whether these records are judged to be worth the material, technical, financial and human investment that their preservation requires. Finally, from a professional standpoint, the absence of methods and instruments to assess the quality of archives prevents professionals from supporting their decisions on archival appraisal. To remedy this situation, our research seeks to define and measure the quality of archives resulting from their appraisal. For the implementation of the research, we use a quantitative descriptive methodology, and apply it to an unexplored topic (Fortin, 2006) as the operationalization of archival quality. Two phases constitute the strategy of research. A conceptual phase, in which four quality dimensions of historical archives have been identified and defined. Then an empirical phase aimed to verify the measurability of variables derived from two quality dimensions in the context of historical archives. The data collection was based on the application of a historical archives measurement grid. The completion of data collection which took place at the Bibliothèque Archives nationales du Québec and their processing has enabled the operationalization of 10 specific indicators out of 13 belonging to two dimensions of quality: "Credible evidence" and "Exploitability" of archives. This means that three specific indicators out of 13 were without measures because of some weakness related to their measurement that we have identified and verified during pre-testing research. These three specific indicators are the "Creator" in the context of the size of the "Credible evidence" and "Comprehensibility" and "Findability" in the dimension of "Exploitability". The measurements were conducted to identify weaknesses and improve several variables related to the creator, the conservation office or the state and the nature of the support. Targeting the improvement of a product or service is, as demonstrated in the literature review, the ultimate goal of a study on the dimensions of quality. Our research promises three significant benefits. In theory, it develops a conceptual framework that offers the definition of the dimensions of the concept of historical archival quality derived from the appraisal process. At the methodological level, it offers a method for measuring the quality of historical archives already tested in the context of a government agency. At the professional level, firstly, it allows the assessment of the results of the exercise of archival appraisal; furthermore, it provides professionals with not only a measurement grid for measuring historical archival qualities already tested, but also the guide that facilitates its application.

Pendant plusieurs siècles, le Yémen n’a pas porté d’intérêt institutionnel à ses archives, étant isolé du monde extérieur à cause de l’occupation ottomane au nord du pays et de l’occupation britannique au sud. Depuis la révolution de 1962, le besoin de disposer d’archives bien organisées et accessibles est apparu et la création du Centre National des Archives en 1991 a permis d’améliorer considérablement la situation. L’objectif de cette thèse est d’étudier l’intérêt que l’État yéménite a porté au patrimoine archivistique. Elle rappelle l’histoire et le développement de l’archivage dans les ministères et les institutions gouvernementales yéménites depuis la révolution de 1962 jusqu’à aujourd’hui. Elle présente la création des Archives nationales, avec l’aide de partenaires internationaux notamment l’UNESCO et l’ICA, la direction des archives de France et les Archives nationales de Tunisie. Elle explore aussi la façon dont les nouvelles technologies appliquées aux archives permettent aux chercheurs et aux citoyens d’y accéder. Elle présente l’organisation des archives courantes et intermédiaires dans les institutions qui s’est imposée comme un concept et une pratique depuis la création du Centre National des Archives. C’est autour de ses activités et de ses applications qu’ont été élaborées l’observation, l’enquête, la réflexion et certaines propositions. Les problématiques de la thèse s’articulent autour de cinq points : - L’histoire et l’organisation administrative du Yémen- La tradition archivistique au Yémen avant la réunification de 1990- Les origines et le développement du Centre national des archives (CNA)- Les missions, le fonctionnement et l’évaluation du CNA (de 1994 à aujourd’hui)- La fonction archives chez les producteurs (institutions gouvernementales)Les événements survenus au Yémen depuis 2011 ont malheureusement remis en cause toutes ces avancées. Ils ont tari les principales sources de financement de l’État et détruit une partie des fonds et des bâtiments, entraînant une paralysie complète du CNA. / For centuries, Yemeni institutions have not shown particular interest in their archives. The country was isolated from the outside world by British colonization in the South and the Ottoman occupation in the North. After the 1962 revolution, however, the need for organized and accessible archives has developed. This led to the creation in 1991 of the National Archives Centre (CNA). The Centre has improved the situation.This thesis aims at studying the interest shown by the Yemeni State in archival heritage. It starts with the history and the development of archives management in the ministries and governmental institutions of Yemen from the 1962 revolution to the current situation.It sheds light on the creation of the National Archives in Yemen and its international partnership with such institutions as UNESCO, ICA, French Directorate of Archives and Tunisian National Archives. It investigates the way new technologies are implemented in order to enable researchers and citizens to access to archives in a country such as Yemen. Moreover, it sheds light on the records management inside the Yemeni institutions. This practical has been commonly implemented since the creation of the National Archives Centre. This Centre has been the focus of this research. Suggestions are given for the development of its activities.Therefore, this thesis main topics are:- the history and administrative organization of Yemen ;- the archival practice and legacy in Yemen until the country’s reunification in 1990 ;- the origins and subsequent development of the National Archives Centre (CNA) ;- the CNA’s goals, functioning and assessment of its activities from 1994 up to nowadays ;- the archival functions in the producing governmental institutions.Events unfolding in Yemen since 2011 have challenged all these advances. The war did not only exhaust State’s funding. Warlike operations have also destroyed holdings and buildings, bringing the CNA to complete paralysis. This dissertation is concluded by an assessment of the archives current situation in Yemen. / ملخصلعدة قرون، لم يكن لدى اليمن أي مؤسسة أرشيفية، لأنها معزولة عن العالم الخارجي بسبب الاحتلال في شمال البلاد والاحتلال البريطاني في الجنوب. منذ ثورة 1962 ظهرت الحاجة إلى أرشيفات منظمة تنظيماً جيداً وسهل الوصول إليها، وقد أدى إنشاء المركز الوطني للوثائق (المركز الوطني للأرشيف) عام 1991 إلى تحسين الوضع إلى حد كبير.الهدف من هذه الرسالة هو دراسة اهتمام الدولة اليمنية للتراث الوثائقي والأرشيفي، وتشير الرسالة إلى تاريخ وتطور التوثيق والارشفة في الوزارات والمؤسسات الحكومية اليمنية منذ الثورة من عام 1962 وحتى اليوم. وكذلك تقدم إنشاء المركز الوطني للوثائق بمساعدة الشركاء الدوليين بما في ذلك اليونسكو والمجلس الدولي للأرشيف، إدارة الارشيف الفرنسي والأرشيف الوطني التونسي. وتدرس مدى تطبيق التكنولوجيا الجديدة على الارشيفات التي تمكن الباحثين والموطنين من الوصول إليها. وتعرض تنظيم الارشيف الجاري والوسيط في الوزارات والمؤسسات الحكومية التي ظهرت كمفهوم وممارسة منذ إنشاء المركز الوطني للوثائق. وحول نشاطاتها وتطبيقاتها التي وضعت للمراقبة والمسوحات الوثائقية والرؤية وبعض المقترحات لتنظيم الارشيف الجاري والوسيط. وتستند مشاكل ألأطروحة حول خمس نقاط : - التاريخ التنظيمي للإدارة ونشأت الارشيف في اليمن.- التقاليد الأرشيفية في اليمن قبل الوحدة عام 1990.- تأسيس وتطوير المركز الوطني للوثائق (cna).- مهام ونشاطات وتقييم المركز الوطني للوثائق (من 1994 إلى اليوم).- وظيفة الأرشيف لدى المنتجين للوثائق (المؤسسات الحكومية).وللأسف بأن الاحداث التي وقعت في اليمن منذ عام 2011 غيرت كل هذه التطورات في مجال الارشيف. لهذا جفت وقلت المصادر التمويل الحكومية وكذلك تدمير جزء من مبنى المركز وجزء من الرصيد الوثائقي فروع المركز بعدن وحضرموت وبعض ارشيفات الجهات والوزارات الحكومية، مما أدى الى شلل كامل للمركز الوطني للوثائق.الكلمات المفتاحية اليمن – الأرشيف – محفوظات – إدارة السجلات - تثمين - تشريعات الارشيف – تشريع المحفوظات - لوائح الارشيف - الارشيف العسكري – الأرشيف الجاري – الأرشيف الوسيط – الأرشيف التاريخي - المحفوظات الجارية - المحفوظات الوسيطة - المحفوظات التاريخية - - المركز الوطني للوثائق.

Depuis quelques décennies, l'intérêt pour l’étude de la fonction d’évaluation s’est diversifié pour approfondir les principes théoriques (Jenkinson, 1922; Schellenberg, 1956; Samuels, 1992; Cook, 1992b; Eastwood, 1992b; Duranti, 1994; Couture, 1999), les stratégies (Booms, 1972; Samuels, 1986; Cook, 1992b; Eastwood, 1992b; Couture, 1999) et les dispositifs de leur processus d’application (Ham, 1984; Boles & Young, 1991; Cook, 2001a, 2001b). Mais, toutes ces contributions n'ont pas encore étudié la nature des résultats de l'évaluation que sont les archives définitives. Du point de vue patrimonial, l’absence d’études sur la définition et la mesure des qualités des archives définitives ne permet pas de vérifier si ces archives constituent un patrimoine documentaire significatif. Sur le plan administratif, l’état actuel de la pratique de l'évaluation n'a pas encore investi dans l'examen méticuleux de la nature de ses résultats. Au plan économique, le manque de méthodes et d'outils pour la mesure des qualités des archives ne permet pas de juger si ces archives valent l’investissement matériel, technique, financier et humain que leur conservation implique. Du point de vue professionnel, l’absence de méthodes et d’instruments d’évaluation des qualités des archives ne permet pas aux professionnels d’appuyer leur décision en matière d’évaluation des archives. Afin de remédier à cette situation, notre recherche vise à définir et à mesurer les qualités des archives définitives issues de l’évaluation. Pour ce faire, nous privilégions une méthodologie quantitative de nature descriptive, appropriée lorsqu’il s’agit d’étudier un sujet peu abordé (Fortin, 2006) tel que l'opérationnalisation des qualités des archives définitives. La stratégie de la recherche a comporté deux phases. La phase conceptuelle a permis d’identifier et de définir quatre qualités soit l’« Unicité », la « Preuve crédible », l’« Exploitabilité » et la « Représentativité ». La phase empirique consistait à vérifier la mesurabilité, à titre d’exemple, des variables découlant de deux des quatre dimensions de qualité dans le contexte des archives définitives, soit la « Preuve crédible » et l’« Exploitabilité ». Le mode de collecte des données réside dans l’application d’une grille de mesure conçue spécialement aux fins de cette étude. La réalisation de la collecte de données qui s’est déroulée à Bibliothèque et Archives nationales du Québec a permis l’opérationnalisation de 10 indicateurs spécifiques sur 13 appartenant à deux dimensions de qualité : la « Preuve crédible » et l’« Exploitabilité » des archives définitives. Ainsi, trois indicateurs spécifiques sur l’ensemble de 13 sont restés sans mesures à cause d’une certaine faiblesse liée à leur mesure que nous avons pu identifier et vérifier lors des pré-tests de la recherche. Ces trois indicateurs spécifiques sont le « Créateur » dans le cadre de la dimension de la « Preuve crédible », ainsi que la « Compréhensibilité » et la « Repérabilité » dans le cadre de la dimension de l’« Exploitabilité ». Les mesures obtenues pour les 10 indicateurs ont mené à l’identification des avantages et des points à améliorer concernant différentes variables liées au créateur, au service de conservation ou encore à l’état et à la nature du support. Cibler l’amélioration d’un produit ou d’un service représente, comme démontré dans la revue de la littérature, le but ultime d’une étude sur les dimensions de qualité. Trois types de contributions découlent de cette recherche. Au plan théorique, cette recherche offre un cadre conceptuel qui permet de définir le concept de qualité des archives définitives dans une perspective d’évaluation archivistique. Au plan méthodologique, elle propose une méthode de mesure des qualités applicables aux archives définitives ainsi que les instruments et le guide qui expliquent sa réalisation. Au plan professionnel, d'une part, elle permet d’évaluer les résultats de l’exercice de l’évaluation archivistique; d'autre part, elle offre aux professionnels non seulement une grille de mesure des qualités des archives définitives déjà testée, mais aussi le guide de son application. / Some decades ago, interest in studying the archival appraisal function was diversified to deepen theoretical principles (Jenkinson, 1922; Schellenberg, 1956; Samuels, 1992; Cook, 1992b; Eastwood, 1992b; Duranti, 1994; Couture, 1999), strategies (Booms, 1972; Samuels, 1986; Cook, 1992b; Eastwood, 1992b; Couture, 1999) and their implementation process - techniques, instruments and criteria - (Ham, 1984; Boles & Young, 1991; Cook, 2001a, 2001b). However, all these contributions have not yet studied the nature of appraisal results that compose historical archives. The following four elements explain the nature of this problem. First, from the perspective of documentary heritage, the lack of studies on the definition and measurement of the quality of historical archives prevents verification as whether archive materials are significant. Second, at the administrative level, the current practice of appraisal does not yet invest in a meticulous examination of the nature of its results. Third, in economic terms, the lack of methods and tools used to measure the quality of archives, affects whether these records are judged to be worth the material, technical, financial and human investment that their preservation requires. Finally, from a professional standpoint, the absence of methods and instruments to assess the quality of archives prevents professionals from supporting their decisions on archival appraisal. To remedy this situation, our research seeks to define and measure the quality of archives resulting from their appraisal. For the implementation of the research, we use a quantitative descriptive methodology, and apply it to an unexplored topic (Fortin, 2006) as the operationalization of archival quality. Two phases constitute the strategy of research. A conceptual phase, in which four quality dimensions of historical archives have been identified and defined. Then an empirical phase aimed to verify the measurability of variables derived from two quality dimensions in the context of historical archives. The data collection was based on the application of a historical archives measurement grid. The completion of data collection which took place at the Bibliothèque Archives nationales du Québec and their processing has enabled the operationalization of 10 specific indicators out of 13 belonging to two dimensions of quality: "Credible evidence" and "Exploitability" of archives. This means that three specific indicators out of 13 were without measures because of some weakness related to their measurement that we have identified and verified during pre-testing research. These three specific indicators are the "Creator" in the context of the size of the "Credible evidence" and "Comprehensibility" and "Findability" in the dimension of "Exploitability". The measurements were conducted to identify weaknesses and improve several variables related to the creator, the conservation office or the state and the nature of the support. Targeting the improvement of a product or service is, as demonstrated in the literature review, the ultimate goal of a study on the dimensions of quality. Our research promises three significant benefits. In theory, it develops a conceptual framework that offers the definition of the dimensions of the concept of historical archival quality derived from the appraisal process. At the methodological level, it offers a method for measuring the quality of historical archives already tested in the context of a government agency. At the professional level, firstly, it allows the assessment of the results of the exercise of archival appraisal; furthermore, it provides professionals with not only a measurement grid for measuring historical archival qualities already tested, but also the guide that facilitates its application.

檔案館是指一個機構或行政單位負責檔案資料的辦識、鑑定、登錄、保存、編排、描述與提供參考服務。國家檔案館亦可被稱為國家公共檔案館或公共檔案館。它是檔案館的其中一種。由國家各級政府設立並領導，負責接收和管理一定範圍的具有社會和歷史價值的各種檔案，並提供社會利用的重要文化事業機構。 檔案是傳承歷史及人類知識的最佳媒介，檔案管理人員則是手握傳承鑰匙的主要角色，而檔案管理機關則是重要歷史見證者及紀錄者。在臺灣及澳門最高檔案管理機關，對於了解該地區在檔案事業管理及發展上是十分值得研究的對象。檔案行政構在兩地有所不同，筆者對此作比較時會偏向法規、功能以及兩地檔案機關在位階的定位。 透過比較對上述兩地政府機關的體系進行比較研究，比較分析兩地在檔案法、檔案管理行政體制(以檔案管理局與澳門歷史檔案館為研究對象)以及檔案機關之功能任務的異同。冀能了解兩地的檔案管理事業發有何異同之處。 / Archives can be referred to an institution or administrative unit which is responsible for archival identification, appraisal, log in, preservation, arrangement, description and reference service. The National Archives can be also known as the National Public Archives or Public Archives. It is a type of the archives, which is established by the national governments, responsible for various archives with social and historical values, and distributed to fulfil the usage of social and cultural organizations. Archives is the best medium of human knowledge and historical heritage, records management staff are holding the key to a major role in transmission, and archival management institution is an important witness of history and archives holder. By studying about the highest management authority of Archives in Taiwan and Macau, it can help to understand the differences between the region and the development of the Archive Management. Archives administrative structures differ in these two places, this study is focusing on comparing the archival laws, functions and .organization structures of the two places mentioned above. A comparative study of these two archival institutions through the comparison, analyzing the two places in the differences of Archives Act, the administrative management system (National Archives Administration National Development Council and Historical Archives of Macao) and the functional tasks of them can help to deepen understanding the similarities and differences between both parties.

SUMMARY: The aim of the thesis is to define a development and contemporary status of the Central Military Archives as a information system. It describes the entire information cycle of a document from its origin through the deposition at the department of conservation, in the administrative and final archive at last. It shows Central Military Archives and its importance as a significant entity in the field of digitization. Finally the thesis analyses the issues of implementation of the system of electronic record services. [Author's abstract]