Trudy Huskamp Peterson

Certified Archivist

ICA HRWG/SAHR News commentary topics, December 2009-April 2023

2009-12 to 2012-07           Universal Declaration of Human Rights

2012-08 to 2013-06           Principles of Access

 

2013-07           Biometric databases

2013-08           Records of identity

2013-09           Use of records in international trials, Pablo de Grieff’s UN report on truth commissions

2013-10            International Crimes Tribunal, Bangladesh

2013-11            Prosecution and destruction of archives

2013-12            Year in review

 

2014-01            Photos from Syria morgue (“Caesar photos”)

2014-02            Ukraine and duplication of records preventing total information destruction

2014-03            Records and Germany’s prosecution of Ivan Demjanjuk

2014-04            Armenia/Turkey/records of diplomacy

2014-05            Right to be forgotten

2014-06            Redacting and data mining for mosaics

2014-07            Ecuador human medical samples

2014-08            Records kept by anti-state groups

2014-09            Videos as evidence

2014-10            Interviews and their use in prosecution

2014-11            End of 5 years recap

2014-12            Year in review

 

2015-01            Records of temporary bodies

2014-02            Architecture of prisons and Vietnam

2015-03            Satellite images

2015-04            Statistics

2015-05            Report on “Basic Principles on the Role of Archivists and Records Managers in Support of Human Rights”

2015-06            Documenting marriage

2015-07            Tracking Indian statue theft

2015-08            Refugees and documents

2015-09            ICA meeting report

2015-10            Business archives/ICA plans

2015-11            Climate change

2015-12            Year in review

 

2016-01            Corruption

2016-02            True information, true copies

2016-03            “Basic Principles” status

2016-04            Microfilm conversion to digital

2016-05            Court records in Argentina, Bangladesh, African chambers

2016-06            European Union privacy rules (written by Giulia Barrera)

2016-07            Opening of World War II diaries, displaced items

2016-08            ICA Congress events, “Basic Principles”

2016-09            Meeting on archives at risk

2016-10            Voting records

2016-11            Missing persons

2016-12            Year in review

 

2017-01            Archives and accusations

2017-02            Dare to know what is in archives

2017-03            DNA as information carrier

2017-04            Archives under threat in Argentina, Bolivia, Hungary, Japan and Russia

2017-05            Facebook deletion policy

2017-06            Identity politics and archival action

2017-07            Forum shopping and court records

2017-08            Human rights documentation disappearing on social media

2017-09            Fake news

2017-10            Open government records through 1945

2017-11            Climate change

2017-12            2017 in review

 

2018-01            DNA and identity

2018-02            Artificial intelligence and big data

2018-03            Border conflicts

2018-04            IS files taken by the New York Times

2018-05            Faith, conflict and archives

2018-06            Special courts and archives

2018-07            ICC’s Bemba acquittal and Guatemala’s Molina Theisssen trial consequences

2018-08            DNA samples as archives

2018-09            Geography and risk to archives

2018-10            70 years of the Universal Declaration of Human Rights and business archives

2018-11            Neglect of records violates human rights

2018-12            2018 in review

 

2019-01            Records and the search for the disappeared

2019-02            Repatriating ISIS-affiliated persons

2019-03            Map the location of historical archives and current records in face of climate change

2019-04            Crimes that go unpunished

2019-05            Artificial intelligence

2019-06            Disbelief and records

2019-07            Operation Condor trial in Rome

2019-08            Documents needed after natural disasters

2019-09            Documents of identity

2019-10            Photographs of the dead

2019-11            Ten years of the News

2019-12            2019 in review

 

2020-01            Archives and archivists in danger

2020-02            Guatemala archives in danger

2020-03            COVID-19 and archives

2020-04            Prison records of releases during COVID-19 crisis

2020-05            Archives in the age of COVID-19 and public protest

2020-06            Power to commemorate, power to restrict social media

2020-07            Equality, equity, and equal access to archives

2020-08            Uncertain statistics

2020-09            Treaties and agreements with non-state bodies

2020-10            Memorialization: dividing and healing

2020-11            Archives affected by climate change—an ICA demonstration project

2020-12            2020 in review

 

2021-01            The assassination of Lokman Slim

2021-02            Archives in danger

2021-03            CORRUPTION!

2021-04            Talking about archives law

2021-05            Apologies required

2021-06            Where are the records of informed consent?

2021-07            The “at least” problem

2021-08            The digital records paradox

2021-09`           White flags of COVID-19

2021-10            Meta?

2021-11            Preserving archives, protecting peace

2021-12            Archives: a potent bulwark against human rights violations

 

2022-01            That flying horse, the Pegasus software

2022-02            Archives against denialism

2022-03            Ukraine’s archives in war

2022-04            Destruction, damage and documentation in the Ukraine war

2022-05            Government archives: alike and unlike

2022-06            Out of Business, the temporary international courts

2022-07            Organized threats to nongovernmental organizations

2022-08            The August lull

2022-09            The bottom of a deep well, speech by Judge Rosario Salvatore Aitala

2022-10            Fuel and climate change

2022-11            The hole that is Al-Hol

2022-12            2022 in review

 

2023-01            Solely the nature of the crime

2023-02            Citizenship is complicated

2023-03            Bias in, bias out

2023-04            Thanks and farewell

The Universal Declaration of Human Rights: The Supporting Archives

Foreword

As the 70th anniversary of the adoption of the Universal Declaration of Human Rights approached, I began to revise brief commentaries I had written in the early 2010s on the Articles that make up that essential document. This publication is the result of the reviewing and updating the original essays.

Originally a commentary on one Article of the Declaration was published each month in the Human Rights Working Group News of the International Council on Archives, beginning in December 2009, until all 30 Articles had been discussed. Each essay described the background of the Article, provided examples of contemporary issues related to it, and suggested archival materials that would have information on the topic. Articles that relate to a similar topic, such as the three that deal with judicial processes, by necessity meant suggesting the same archival sources. Because of the time lapse between the monthly publications, that repetition did not matter; however, as a single publication it is evident. I considered eliminating the repetition, but that would have left some of the Articles denuded of the references. Since I hope that readers who are interested in the topic of a particular Article will use the commentary as a suggestion for sources but may not look at either the entire text or that of related Articles, I ultimately decided to leave the repetition in the commentaries.

In a brief commentary is impossible to provide examples for all the issues an Article raises, both the stated issues and those that may be called “penumbras” or shadows that surround the statement. Environmental issues, gender issues, privacy issues of genetic testing results, impacts of artificial intelligence: all of these are implied by the texts of the Articles but could not have been foreseen by even the brilliant drafters of the 1948 Declaration. Readers are encouraged to think of other examples for the use of the Articles as they read the brief discussions I have included.

Trudy Huskamp Peterson
Certified Archivist

The full document can be reviewed or downloaded as a pdf.

Principles of Access to Archives: A Commentary

8 June 2024

Foreword

Originally a commentary on one principle of the Principles of Access to Archives was published each month in the Human Rights Working Group News of the International Council on Archives, beginning in September 2012 and ending in June 2013. Each month’s essay provided examples of contemporary issues related to the Principle under consideration and suggested archival responsibilities related to it. They have been only lightly edited for this publication.  

In a brief commentary is impossible to provide examples for all the issues a Principle raises, both the stated issues and those that may be called “penumbras” or shadows that surround the statement. Environmental issues, gender issues, privacy issues of genetic testing results, impacts of artificial intelligence: all of these are implied by the texts of the Principles. Readers are encouraged to think of other examples for the use of the Principles as they read the brief discussions included.

Trudy Huskamp Peterson
Certified Archivist
Chairperson, Working Group on Access to Archives

Introduction

As researchers tell it, when they ask archivists for access to sensitive material, they usually get one of four responses:  “Those sorts of records were never created.”  “Those records were destroyed.”  “We don’t have those records.”  “You can’t see those records.”  For persons denied access to records important to them, for whatever reason, access is unfinished business.

The International Council on Archives, in a step that should put the review of access policy on the table at every archives, adopted the Principles of Access to Archives at its August 2012 annual general meeting.  The Principles, ten in number with accompanying explanatory text, address access issues in both public and private archives, in archives of businesses and faith-based organizations, in educational institutions and in archives holding private papers.  Both the Principles and the accompanying text are authoritative. The Principles are accompanied by an introduction that discusses the purpose and scope of the Principles and the shared responsibilities for implementing them.  The Introduction summarizes the ethos of the Principles in the opening paragraph:

“Archives are preserved for use by present and future generations. An access service links archives to the public; it provides information for users about the institution and its holdings; it influences whether the public will trust the custodians of archives institution and the service they provide.  Archivists support a culture of openness, but accept restrictions as required by laws and other authorities, ethics, or donor requirements.  When restrictions are unavoidable, they must be clear and limited in scope and duration.  Archivists encourage responsible parties to formulate clear mandates and consistent rules for access, but in the absence of unambiguous guidelines, archivists determine appropriate access by considering professional ethics, equity and fairness, and legal requirements.  Archivists ensure that restrictions are fairly and reasonably applied, prevent unauthorized access to properly restricted archives, and provide the widest possible use of archives by monitoring restrictions and promptly removing those no longer warranted.  Archivists adhere to the Principles of Access to Archives in formulating and implementing access policies.”

The Principles as adopted are found here:  https://www.ica.org/resource/principles-of-access-to-archives/

Access to particular bodies of records and for particular users will always be problematic.  Managing access is never easy, but with the Principles researchers and archivists have a document to use to have a meaningful conversation about the availability of records for consultation as a result both of legal authorization and the existence of finding aids.

A coalition of freedom of information organizations, known as the FOI Advocates Network, had promoted 28 September as International Right to Know Day. Responding to that interest, the UNESCO General Conference voted on 17 November 2015 to designate 28 September as International Day for the Universal Access to Information and invited “all Member States, United Nations system organizations, and other international and regional organizations, as well as civil society, including non-governmental organizations and individuals, to celebrate that Day in a manner which each considers most appropriate and without financial implications for the regular budget of UNESCO.”  https://unesdoc.unesco.org/ark:/48223/pf0000235297  September 28 would be an excellent day for archivists to discuss the Principles with the research public.

 

Principles of Access to Archives, Principle 1 

The public has the right of access to archives of public bodies.  Both public and private entities should open their archives to the greatest extent possible.

Access to the archives of government is essential for an informed society. Democracy, accountability, good governance and civic engagement require a legal guarantee that individuals will have access to the archives of public bodies established by national, self-governing territories and local governments, intergovernmental institutions, and any organization and any legal or natural person performing public functions and operating with public funds. All archives of public bodies are open to the public unless they fall under an exception grounded in law.

Institutions, whether public or private, holding private archives do not have a legal obligation to open the private archives to external users unless specific legislation or regulation imposes this responsibility on them. However, many private archives hold institutional records and personal papers that have significant value for understanding social, economic, religious, community and personal history as well as for generating ideas and supporting development.  Archivists working in private institutions and managing the institution’s archives encourage their institution to provide public access to its archives, especially if the holdings will help protect rights or will benefit public interests. Archivists stress that opening institutional archives helps maintain institutional transparency and credibility, improves public understanding of the institution’s unique history and its contributions to society, helps the institution fulfill its social responsibility to share information for the public good, and enhances the institution’s image. 

The first Principle is the overarching statement of the importance of access to archives.  It is the frame for the rest of the Principles.

Archivists and researchers alike agree that government records are essential for understanding the past.  Here is just one example:  Between 1946 and 1958 the people of the Marshall Islands endured sixty-seven experimental nuclear tests detonated by the United States, which was the administrator of the Trust Territory of Micronesia, which included the Islands.  The residents of four atolls were exposed to fallout contamination that compromised the health of individuals, made their lands uninhabitable and destroyed their marine and faunal resources.  In 1986 the Islands gained sovereignty as the Republic of the Marshall Islands (RMI) when the U.S. and the RMI governments entered into a Compact of Free Association, under which the U.S. accepted responsibility for the damage caused by the tests and established a compensation fund to be administered by a Tribunal set up by the RMI government.  In order to fairly distribute the proceeds of the fund, the RMI government and its Nuclear Claims Tribunal had to know precisely what happened before, during and after the tests; in other words, they needed access to U.S. archives.  U.S. authorities began identifying and declassifying relevant U.S. government records, and although thousands of pages of documents were delivered to the RMI, some documents were declassified only in part and some were totally withheld.  The Tribunal, pressed to begin making compensation payments, went ahead based on incomplete information.  But the RMI government refuses to close the question of what really happened in the islands until all the records are open; they insist that there can be “No Closure without Full Disclosure.”

Government records are not enough, however, for us to gain a full understanding of the events of the past.  As the Society for the History of American Foreign Relations wrote when commenting on a draft of the Principles of Access, “In a world of NGOs, extra-national governance, non-governmental actors funded by (indirectly) states, and various forms of non-governmental/state agreements and activities that affect societies, the fullest possible archival record must be maintained even if privacy, property rights, and/or national security delay access.” A few examples will show the need for access to archives in the private sector.   

*The Canadian Truth and Reconciliation Commission researched “the history, purpose, operation and supervision of the Indian Residential School system, the effect and consequences of IRS (including systemic harms, intergenerational consequences and the impact on human dignity) and the ongoing legacy of the residential schools.” An estimated 100,000  First Nations children were taken from their families and forced to attend 130 residential schools over more than a century, starting in the 1880s and ending in 1996.  The majority of the schools were operated by Roman Catholic entities, about a quarter of the schools run by the Anglican Church, and the remainder by Presbyterians and the United Church.  Records of all these churches were vital resources for the work of the Commission.

*In 2012 the French national railroad, Société nationale des chemins de fer français, digitized and put on its public website all its records of the World War II period, answering a demand from war victims that it account for its role in deportations to Nazi concentration camps.

*In Argentina, Memoria Abierta, founded in 1999 by a coalition of NGOs, collects, preserves and makes available the materials the NGOs amassed over the years to document the human rights abuses perpetrated during the “dirty war” of 1976-1983. 

As the Universal Declaration on Archives so eloquently says, archives are a “vital necessity . . for supporting business efficiency, accountability and transparency, for protecting citizens’ rights, for establishing individual and collective memory, for understanding the past, and for documenting the present to guide future actions.”  Access turns necessity into reality.

Principles of Access to Archives, Principle 2

Institutions holding archives make known the existence of the archives, including the existence of closed materials, and disclose the existence of restrictions that affect access to the archives.

Users must be able to locate the archival institution that holds material of interest to them. Archivists provide without charge basic information about their institution and the archives it holds.  They inform the public of the general rules for use of the holdings in accordance with the institution’s legal mandates, policies and regulations. They ensure that descriptions of the holdings of their archives are current, accurate and comply with international descriptive standards in order to facilitate access.  Archivists share draft descriptions of archives with users if final versions are lacking, where this will not compromise the security of the archives or any necessary restrictions on access. 

Institutions that give the public access to any part of their archives publish an access policy.  Archivists begin with a presumption of openness; they ensure that any access restrictions are written clearly to enable the public to understand them and to enhance consistency in their application. 

Users have the right to know whether or not a specific series, file, item or portion of an item exists, even though it is withheld from use, or if it has been destroyed.  Archivists reveal the fact that closed records exist through accurate description and insertion of withdrawal sheets or electronic markers.  Archivists provide as much information as possible about restricted material, including the reason for the restriction and the date the materials will be reviewed or become available for access, so long as the description does not disclose the information that is the reason for the restriction or violate a binding law or regulation. 

This Principle is the first of seven Principles that focus on the relationship between the archives and the user.  Four separate ideas are combined in the Principle:  archives provide information about the institution (its hours, its location, its rules), information about the records held by the institution (both open and closed to research use), information about the restrictions that generally apply to the holdings of the archives, and information about specific closures within bodies of records that are available for research use.  The reasons for providing this information range from the practical (researchers should not be forced to spend time trying to locate records that are in an archives although closed to public use) to the ethical (users should be aware that the records that have been provided to them have had parts withdrawn and should develop their conclusions and interpretations with the full knowledge that they have not seen everything). 

Here are two examples of the problem of lack of information about archives. 

Guatemala established a truth commission in 1997 at the end of its civil war.  As it began its investigations, the commission asked to see the police records.  The police denied that they had any archives, saying it had destroyed all its records in the wake of the 1996 peace accords, so the truth commission wrote its report without access to police records.  It was not until 2005, half a dozen years after the report was published, that the staff of Guatemala’s human rights ombudsman accidentally stumbled upon the police archives.  The records—hundreds of thousands of documents—are now being arranged and described and used to prosecute and convict policemen and other government officials for crimes committed during the long Guatemalan civil war in the last half of the 20th century. (For a review of the police records case, see the swisspeace publication “Archivo historico de la Policia Nacional de Guatemala 2005-2017” https://www.swisspeace.ch/articles/archivo-historico-de-la-policia-nacional-de-guatemala-2005-2017.) 

The Guatemala case was a blanket denial that records existed, but denial is a problem at the file and item level, too.  If a document is removed from a file without inserting a withdrawal marker in its place or if part of an electronic document is deleted without replacing the deletion with an equal amount of space markers, the researcher has the false belief that he has seen everything when he has not.  Electronic deletion became an issue in the U.S. when the National Security Council (NSC) redacted a portion of an electronic document, inserted no replacement markings, and released it.  A researcher eventually discovered the omission, and the NSC, embarrassed, had to insert space markers where the information was deleted and re-release the item.

In sum, this Principle says that archivists are honest with their researchers about the institution, the records it holds, and the rules by which it operates.  Researchers seek no less.

Principles of Access to Archives, Principle 3

Institutions holding archives adopt a pro-active approach to access.

Archivists have a professional responsibility to promote access to archives.  They communicate information about archives through various means such as Internet and web-based publications, printed materials, public programs, commercial media and educational and outreach activities.  They are continually alert to changing technologies of communication and use those that are available and practical to promote the knowledge of archives.  Archivists cooperate with other archives and institutions in preparing location registers, guides, archival portals and gateways to assist users in locating records.  They proactively provide access to the parts of their holdings that are of wide interest to the public through print publication, digitization, postings on the institution’s website, or by cooperation with external publication projects.  Archivists consider user needs when determining how the archives are published.

In the 1989 movie “Field of Dreams,” a farmer walking in his cornfield hears a voice saying, “If you build it, he will come.”  He interprets this to mean he should build a baseball field, and by the end of the movie hundreds of people are coming to see a baseball game.  Some of us in archives believe that, too:  that by building our holdings, researchers will naturally come to us for evidence and information because archives are so self-evidently useful, so obviously a reliable source, managed by virtuous archivists in a trustworthy institution.  And yet that’s not how archives look to many non-archivists:  housed in forbidding monumental buildings or hidden in basements, with finding aids with little information or insider jargon, unclear or complicated criteria for using the archives, and expensive charges for making copies.  Bringing these two images into harmony is more than mere public relations:  it is ensuring that people who need the information in archives know they can have access to it, an especially important clarification when the information is needed to defend human rights or to assert that rights have been violated. 

Here are two contrasting examples of a pro-active approach.

The “Hillsborough event” was a riot at a Sheffield, England, football stadium in 1989 in which 96 people died.  In 2010 the government of the United Kingdom created the Hillsborough Independent Panel to look at the circumstances and aftermath of the disaster, and in 2012 the Panel released its report, publishing online descriptions and digital images of records held by 85 organizations (both public and private sector) and individuals that related to the disaster.  The Panel had expected the organizations holding the records to arrange and describe them before giving them to the Panel, but in most cases this did not happen.  Ultimately “a team of archivists working with the Panel” arranged the materials and described them using the basic elements of the International Standard for Archival Description (General). This collection, description and online publication is an excellent example of the pro-active approach to providing access to relevant records to the interested public. https://www.data.gov.uk/dataset/bcdf1d10-4585-44f2-9e81-b5c528642886/hillsborough-disclosure-document-index

In a case demonstrating the problems caused by the lack of a pro-active approach, Romania, like many countries in Eastern Europe, is struggling with the issue of restitution to former owners of properties confiscated by its Communist government after World War II.  In the summer of 2012, Balkan Insight reported that only about 11 percent of property claims in Romania were resolved and “some properties have been illegally given to people who forged ownership documents or inheritance papers” because “the files of the real owners of properties dispossessed by the Communists lie abandoned in the archives of the Property Restitution Agency.”  Without an effort to arrange and describe and effectively make the records available, people are denied the opportunity to advance a claim for restitution.

As Principle 3 makes clear, archivists must consider the user when deciding on the type of public outreach to undertake.  The U.K. solution works well with a population that has easy access to the Internet; it would work less well in reaching out to the people who live in three-fourths of the countries in the world, where in 2012 on average only 25% of the population have Internet access (by 2023 the International Telecommunications Union estimated that 67% of the world’s population had internet access, but that still left 2.6 billion people offline https://www.itu.int/en/ITU-D/Statistics/Pages/stat/default.aspx#gsc.tab=0 ).  One approach does not fit all, but there is always an approach that can and should be made.

Principles of Access to Archives, Principle 4

Institutions holding archives ensure that restrictions on access are clear and of stated duration, are based on pertinent legislation, acknowledge the right of privacy and respect the rights of owners of private materials.

Archivists provide the widest possible access to archives, but they recognize and accept the need for some restrictions.  Restrictions are imposed by legislation or by institutional policy, either of the archival institution or its parent body, or by a donor.  Archivists ensure that the access policies and rules for their institution are published so that the restrictions and the reasons for them are clear to members of the public.

Archivists seek to limit the scope of restrictions to those imposed by law or to identified instances where a specific harm to a legitimate private or public interest temporarily outweighs the benefit of disclosure at the time.  Restrictions are imposed for a limited period, either for a specified period of years or until a specified condition, such as the death of a person, has occurred.

General restrictions apply to all the archival holdings; as appropriate to the nature of the institution, they cover the protection of privacy, safety, investigatory or law enforcement information, commercial secrets, and national security. The scope and duration of the general restrictions must be clear.

Specific restrictions apply only to designated bodies of institutional records and personal papers; they apply for a limited duration.  A clear statement of the specific restriction is included in the public archival description of the designated materials. 

Access to donated records and personal papers is limited by the conditions established in the instrument of transfer such as a deed of gift, a will, or an exchange of letters. Archivists negotiate and accept donor restrictions on access that are clear, of limited duration and can be administered on equitable terms.

Archivists are committed to the principle that everything in their holdings will eventually be available for reference use, but archivists equally understand the need to strike a balance between the public’s right to know and the need for confidentiality.  The result of this balancing may be to close some research materials to public access for some period of time.  Provenance is the key to determining access:  whether these are the records of the institution of which the archives is a part, with a further distinction between public and private institutions; donated records of another institution; or donated personal materials.  Five access concept categories are common to all these sources:  privacy, business information, personnel data, investigative information, and statutory restrictions, which in the case of government records may include national security information.

No restriction endures forever. Restrictions either are in force for a specific period or until an event happens or until the passage is time is such that no harm will come from the disclosure.  Here is a contemporary example of the problem of indefinite restrictions. The truth commission of El Salvador, which published its report in 1993, transferred its records to the United Nations in New York where they are in the custody of the Secretary-General but held by the UN Archives and Records Management Section. The records are closed to use, with no procedure for making them available to anyone and no time limit on the restriction.  Now that the El Salvador government is required by the Inter-American Court to account for its activities in the El Mozote massacre (https://www.corteidh.or.cr/docs/comunicados/CP_10_12.pdf ), these closed records are an extremely important source for further action.  But how will they be made available?

Clarifying definitions is important, too; concepts such as privacy are culture-specific, and their application needs to be clearly articulated to researchers.  A Russian researcher and an archivist who provided records to him were arrested in 2009 for violating “personal and family secrets” when researching the deportation and fate of 5000 ethnic Germans who were sent to the gulags between 1945 and 1956.  The case turned on what the terms “personal secret” and “family secret” mean. (https://concernedhistorians.org/content_files/file/le/334.pdf) Memorial, a human rights organization in Russia, reported that its researchers found access further restricted in the wake of the case, which is on appeal to the European Court of Human Rights.

Restricting records is making judgments.  It is a matter of knowing the applicable law (and its interpretation) and institutional policy, the transfer agreement and donor agreement, looking carefully at the materials, doing research to find out how much is already in the public domain about the subject of the items, understanding the context, and finally deciding.  It is a fundamental professional task.

 

Principles of Access to Archives, Principle 5

Archives are made available on equal and fair terms. 

Archivists provide users with just, fair and timely access to archives without discrimination.  Many different categories of persons use archives and access rules may differentiate between categories of users (for example, the general public, adoptees seeking information on birth parents, medical researchers seeking statistical information from hospital records, victims of human rights violations), but the rules apply equally to all persons within each category without discrimination.  When a closed item is reviewed and access to it is granted to a member of the general public, the item is available to all other members of the public under the same terms and conditions.

Access determinations are made as rapidly as possible following receipt of the access request. 

Records of public bodies that have been disclosed to the public before transfer to the archival institution, except those made public through illegal or unauthorized means, remain accessible after they are transferred regardless of their content, form or age.   If only part of the information in an item has been published or is readily available to the public, access to the released information remains open after transfer; the unreleased information is subject to the normal access policy and procedures.  Archivists encourage legislative and regulatory actions that open records responsibly and do not support attempts to close information previously made public, either by reclassifying or ordering destruction of materials.

Private institutions holding archives provide equal access to users; however, existing donor agreements, institutional security needs, and related constraints may require archivists to make distinctions between researchers.  The criteria used by the private institutions for determining selective access are stated in its public access policy, and archivists encourage their institutions to reduce these exceptions to the greatest extent possible.

Principle 5 couples “equal access” and “fair access.”  The linkage is significant.  Equal access does not mean that everyone gets to see the same things but rather that (1) categories of users are established that are fair and (2) within those categories each person is given access that is equal in kind but not necessarily in content.  For example, if a government permits an adopted person to see the records of his or her adoption, then all other adopted children should have the same right of access to the files of their adoptions, but the government might fairly decide that members of the general public do not have access to the adoption records if the persons involved are still alive.  Or, as another example, if a member of the general public is given access to the records of arrests made by local police, all other members of the public should be given access, too.

The Principle also addresses the contentious issues of closing records that have once been open to public research use.  It strongly discourages such practices, while recognizing that records disclosed through leaks or error may not be considered official releases by the creating body and therefore the records are not open in the archives.  This is clearly a troublesome situation, and archivists seek to resolve anomalous situations like this as quickly as possible.

Principle 5, like all the Principles, applies equally to the records of private organizations and individuals.  In some of these cases, donor agreements come into play.  For example, a family may engage an official biographer to write about a parent and they want that biographer to have access to all the files, even if some may be withheld from the general research public in accordance with the deed of gift.  This is unequal access, but as long as the fact that the biographer can use the papers is public and there is a fair time limit for this privileged access,  archival institutions may justify accepting the restriction.  However, policies that specify that the records will only be available to “bona fide” researchers without clearly stating what qualifies a researcher as “bona fide” are unfair and are often subject to unequal interpretations. 

Researchers should not have to “romance the archivist” to gain access, as one researcher did in an archives in Mali.  http://www.thesmartset.com/article/article08220801.aspx.  That is precisely what this Principle opposes.  All records cannot be opened to all researchers at all times, but researchers should be confident that access to archives is granted on a fair and equitable basis.

 

Principles of Access to Archives, Principle 6

Institutions holding archives ensure that victims of serious crimes under international law have access to archives that provide evidence needed to assert their human rights and to document violations of them, even if those archives are closed to the general public.

The Updated Set of Principles for the Protection and Promotion of Human Rights through Action to Combat Impunity (2005) of the United Nations High Commission on Human Rights declares that victims of serious crimes under international law have a right to know the truth about the violations.  The Principles emphasize the vital role that access to archives plays in learning the truth, holding persons accountable for human right violations, claiming compensation, and defending against charges of human rights violations.  The Principles state that each person is entitled to know whether his or her name appears in State archives and, if it does, to challenge the validity of the information by submitting to the archival institution a statement that will be made available by the archivists whenever the file containing the name is requested for research use.   

Archival institutions obtain and hold the evidence needed to protect human rights and to contest the violation of human rights where serious crimes under international law have been committed.  Persons seeking access to archives for human rights purposes are given access to the relevant archives, even if those archives are closed to the general public.  The right of access for human rights purposes applies to public archives and, to the extent possible, to private archives.

The Updated Set of Principles for the Protection and Promotion of Human Rights through Action to Combat Impunity states plainly that the State must undertake specific measures to protect the right to know, one of which is that the State “must ensure the preservation of, and access to, archives concerning violations of human rights and humanitarian law.”  (https://undocs.org/Home/Mobile?FinalSymbol=E%2FCN.4%2F2005%2F102%2FAdd.1&Language=E&DeviceType=Desktop&LangRequested=False ) This clearly links the right to information to archives and human rights.

The right to know what the State has done is fundamental, but this right is not without costs.  The most famous case of the right to know and the despair of knowing is that of Vera Wollenberger, an East German woman who asked to see the file kept on her by the Stasi, the secret police of the former German Democratic Republic.  She found out that her husband had been informing on her. http://www.nytimes.com/1992/04/12/magazine/east-germans-face-their-accusers.html 

Whether the State is obligated to preserve non-governmental records to secure these rights is a question that has not yet been adjudicated, but the sense of responsibility outlined in the Updated Set of Principles suggests that if the State knows that records in non-governmental hands shed light on human rights abuses, it has the duty to preserve them, also.

The South African History Archive (SAHA) published PAIA Unpacked, a guide for lawyers and paralegals using the national Promotion of Access to information Act.  The Act provides a right to access information from the records of private bodies (defined in the Act), which “must grant a requester access to a record if: the record is required for the exercise of any rights; the requester has complied with the procedural requirements in the Act; and access is not refused under one of the grounds for refusal.” (https://foip.saha.org.za/static/paia-unpacked-a-resource-for-lawyers-and-paralegals ) While the right to records of a private body is more limited than the right to records of a public body, the link of access to the “exercise of any rights” is squarely within the intent of both the UN Principles and Principle 6.

The need for access is crucial for both individuals and societies. Persons who gain access to records relating to violations of their rights or those of their loved ones may find it a troubling experience, and archivists who provide reference service on these materials might find it useful to have some basic training in handling situations where emotional support is needed.  Hard as it is for individuals to look clearly at the troubled past, the cost to society of NOT looking at the collective past is even greater.  As the UN Principles say, individuals have a right to know, but there is a corollary “duty to remember, which the State must assume, in order to guard against the perversions of history that go under the names of revisionism or negationism; the knowledge of the oppression it has lived through is part of a people’s national heritage and as such must be preserved.”  Archivists are duty-bearers to assure these rights.

 

Principles of Access to Archives, Principle 7

Users have the right to appeal a denial of access.

Each archival institution has a clear policy and procedure for appeals of initial denials of access.  When a request for access to archives is denied, the reasons for the denial are stated clearly in writing and conveyed to the applicant as soon as possible. Users denied access are informed of their right to appeal the denial of access and the procedures and time limits, if any, for doing so. 

For public archives, several levels of appeal may exist, such as a first internal review and a second appeal to an independent and impartial authority established by law. For non-public archives, the appeal process may be internal, but it should follow the same general approach.  Archivists who participate in the initial denial provide the reviewing authority with information relevant to the case but do not take part in the decision-making on the appeal.

An appeal makes sure that an arbitrary decision can be challenged and potentially reversed.  A senior official reviewing an initial denial may be more willing to see the public benefits of releasing information than is the initial reviewer who often believes that he has no flexibility in following the restriction guidelines. And an appeal is an opportunity to do more extensive research about the contents of the document:  is the person whose privacy might be invaded already dead, has information on the event already been officially released.

 In a United States case, a son discovered that the U.S. Central Intelligence Agency and the Federal Bureau of Investigation had spied on his father. The son was able to get the FBI documents, but access was denied by the CIA. He is appealed the CIA withholding to an inter-agency body that includes the National Archives, hoping that he would finally get the documents on his father. The appeal gave him a second chance, and one outside the total control of the creating agency. (He did get redacted versions of CIA documents: https://www.archives.gov/declassification/iscap/releases.)

In many countries the government’s freedom of information law guarantees that the requester will get a chance to plead his case for access if he is turned down when he makes his first request for access. The United Kingdom has a freedom of information act that includes the right to appeal.  The U.K. FOIA statistics for 2011 showed that of the 37 appeals from denials by “monitored bodies” that were decided in 2011, the information commissioner upheld 24 denials in full, overturned 5 in full, and overturned 8 in part.  In other words, in 35% of the cases, an appeal resulted in the release of more information. That is an appeal worth making. (By 2020 of the 315 appeals that had “known outcomes,” the original decision upheld in full in 222, 39 were upheld in part and 54 were overturned. https://www.gov.uk/government/statistics/freedom-of-information-statistics-annual-2021/freedom-of-information-statistics-annual-2021-bulletin )

 

Principles of Access to Archives, Principle 8

Institutions holding archives ensure that operational constraints do not prevent access to archives.

The equal right to access archival records is not simply equal treatment but also includes the equal right to benefit from the archives.

Archivists understand the needs of both existing and potential researchers and use this understanding to develop polices and services that meet those needs and minimize operational constraints on access.  In particular, they assist those who are disabled, illiterate or disadvantaged and would otherwise have significant difficulties in using archives.

Governmental archival institutions do not charge an admission fee to persons who want to do research in the archives. When private archival institutions charge admission fees, they should consider the applicant’s ability to pay and the fee charged must not be a bar to use of the archives.

Users, whether visiting the archival institution or living at a distance from it, can obtain copies of archives in the variety of formats that are within the technical capacity of the archival institution.  Institutions may make reasonable charges for copying service on demand. 

Partial release of archives is a means to provide access when the entire file or item cannot be released.  If an archival item contains sensitive information in a few sentences or a limited number of pages, that information is removed and the remainder of the item released for public access.  To the greatest extent practicable, archivists do not refuse to redact archives because of the labor required to make redactions; however, if redaction makes the requested item or file misleading or unintelligible, archivists do not redact and the material remains closed.

This Principle addresses several issues, two of which are fees for service and partial release or redaction when entire items or files cannot be released.  Here are three examples of situations covered by Principle 8:

Researchers who are unable to learn whether the records are available may waste time and money.  In an open letter published in November 2005, three researchers wrote about their problems with archives in Romania.  One, a Ph.D. candidate at the Sorbonne, reported that he applied for permission to use the Securitate archives (the Securitate was Romania’s communist-era secret police), paying more than $500 for a permit that he was issued in July 2004.  When he went to the archives, however, he learned that finding aids were not available and that he needed to “wait some time to allow [the archives] to carry on the necessary investigations.”  There followed a year and a half of “complete silence” (Francois Bocholier, Stefano Bottoni and Dennis Deletant to “Dear Colleagues and Friends,” 2005-11-25, copy in author’s possession).

Fees for using archival materials can be a serious hindrance to some researchers.  /for example, documentary filmmakers complain about the cost of obtaining footage about the Holocaust held by Hungary’s National Digital Archive and Film Institute, which charges 4,000 euros per minute for worldwide rights to use footage of Jews in Budapest being marched to trains that would take them to Auschwitz. A staff member of the Institute explained the fee by saying that although the archives is partly state funded, “We also have to make money in order to survive.” https://www.haaretz.com/jewish/2013-04-07/ty-article/.premium/want-holocaust-footage-pay-through-nose/0000017f-dbaa-d3ff-a7ff-fbaa03ec0000  With the deaths of most people who can tell the personal story of the Nazi atrocities, the films are increasingly important sources for education about the events, and the costs charged to use the film must not be a bar to their use.

Redaction and release of partial items is an important means of providing enhanced access when an entire item or file cannot be made public, but it must be done carefully and consistently.  The National Security Archive, a non-governmental organization in the United States that files many Freedom of Information Act requests, once released copies of four different redactions of the same document over a twelve-year period.  Every copy was different, but when all versions are put together the entire document has been released.  This inconsistency brings disrepute on the practice of redaction which can be an important tool for providing access while protecting information that must be withheld for a time.  http://www.gwu.edu/~nsarchiv/NSAEBB/NSAEBB420/ 

As the Hungarian archivist pointed out, archives need to stretch their funds and personnel to cover the operations of the archives.  But archivists must be sure that the operational constraints they live with and impose on the research public are fair, consistent, and do not prevent access to archives.

 

Principles of Access to Archives, Principle 9

Archivists have access to all closed archives and perform necessary archival work on them.

Archivists have access to all closed archives in their custody in order to analyze, preserve, arrange and describe them so that their existence and the reasons for their restriction are known. This archival work helps prevent the archives from being destroyed or forgotten advertently or inadvertently and helps assure the integrity of the archives.  Preservation and description of closed archives promotes public confidence in the archival institution and in the archives profession, for it enables archivists to assist the public in tracing the existence and general nature of closed records and learning when and how they will be available for access.  If the closed archives have national security classifications or other restrictions that require special clearances, archivists comply with the requisite clearance procedures to gain access. 

The archives of the United Nations holds the records of the truth commissions in El Salvador and Guatemala.  Under the terms of the deposits, the records are closed to public access.  However, the UN interprets this as a ban on any kind of work in the records: preservation, arrangement and description.  Consequently, the records, which include fragile electronic and audiovisual records, are deteriorating.  

In too many countries the national archives is in theory responsible for the records of the government but does not have access—even for preservation purposes—to inspect storage conditions or even ascertain the volume and condition of some records including those of the current and past heads of state.  These are impossible situations.  Archivists must be trusted to ensure that records are preserved and described, whether or not the records must be restricted from public access.

 

Principles of Access to Archives, Principle 10 

Archivists participate in the decision-making process on access.

Archivists help their institutions establish access policies and procedures and review archives for possible release under existing access guidelines.  Archivists work with lawyers and other partners in deciding on the basic framework and interpretation of restrictions, which the archivists then implement.  Archivists know the archives, the access restrictions, the needs and requirements of the stakeholders and what information is already in the public domain on the subject to which the records relate; archivists apply that knowledge when making access decisions.  Archivists help the institution achieve informed decisions and consistent, reasonable outcomes. 

Archivists monitor restrictions, reviewing materials and removing restrictions that are no longer applicable. 

Between 1946 and 1948 the U.S. Public Health Service, several Guatemala government ministries, and the Pan American Sanitary Bureau (which became the Pan American Health Organization) cooperated in a study of sexually transmitted diseases.  The experiment, carried out in Guatemala principally by a U.S. Health Service doctor with the assistance of a Guatemala official, tried to infect soldiers and prisoners with syphilis and gonorrhea, both directly and by permitting infected prostitutes to have sex with them.  In addition, inmates in Guatemala’s only mental asylum were involved in infectious tests.  When the lead researcher left the government, he took the records of the experiment (both paper records and still photographs) with him as his personal property instead of leaving them with the Service which would eventually have turned them over to the U.S. National Archives.  In 1990 the researcher donated the records to a quasi-private university in the U.S. State of Pennsylvania, but he controlled access to them until he died.  After that the dean of the university’s graduate school of public health controlled access.  When a history professor asked to use the records, the dean authorized complete access, apparently without reviewing the records.  Consequently, the researcher saw all the reports, names and photographs of the persons who were the subjects of the experiment, some of whom are still alive—a significant invasion of their privacy. At every stage of this records story, archivists were excluded from participation in access decisions, which were first made by the lead researcher, then by a university official and finally left to the discretion of the history professor.

The point of Principle 10 is the archival role in the process of access:  participation in writing guidelines, cooperation in initial decisions, and continual review and release.  Like archival preservation, access is a program to be managed, not a problem to be solved.

Archival commentaries July – December 2013

July: Biometric databases as archives

From Israel to the Congo, biometric databases were in the news in July.  Israel launched a biometric database as a two-year pilot project, reported ifex.org.  The government’s idea is to link the identity cards carried by Israelis citizens to a database carrying fingerprints and data on “facial contours” to make “identity cards less susceptible to forgery and misuse by criminals or terrorists.”  Human rights groups have challenged the pilot in the Israeli Supreme Court on grounds both of privacy and of the security of the data (in 2006 information from Israel’s Census Authority on 9 million citizens was leaked over the internet). http://www.ifex.org/israel/2013/07/24/biometric_database/  

In the Democratic Republic of Congo, the United Nations’ International Organization on Migration also has a pilot project on biometrics. According to information the IOM provided to Inner City Press, “Lacking a national registry of population, and specifically vulnerable populations, IOM and other humanitarian organizations have had to use manual registration process relying on, typically, worn and outdated voter registration cards issued by the Government of DRC to identify and track beneficiaries of aid.  The proposed biometric registration system is based on previous IOM implementation including, but not limited to, Sudan . . The process consists of finger print devices and servers to store and cross-check the information.”  IOM said it “will adhere to strict information management principles while also engaging in information sharing with humanitarian organizations in need to such information, including the World Food Programme who was a principal partner of us in the digital registration in Sudan.” http://innercitypress.blogspot.com/2013/07/biometrics-in-drc-explained-by-iom-as.html

Elsewhere, the troubled nation of Guinea-Bissau is considering a biometric census, after its National Assembly passed a law allowing biometric voter registration.  In July the Special Representative of the UN Secretary-General for Guinea-Bissau called it a “time-consuming and costly” choice and urged the country to use manual registration for the upcoming election. http://www.securitycouncilreport.org/atf/cf/%7B65BFCF9B-6D27-4E9C-8CD3-CF6E4FF96FF9%7D/s_2013_26.pdf; http://uniogbis.unmissions.org/Default.aspx?ctl=Details&tabid=9874&mid=12838&ItemID=20420.  Nigeria in June established a biometric data base for all arrested illegal immigrants, Punch reported, and is considering a mass biometric census.  http://www.punchng.com/feature/lagos-pulse/immigration-sets-up-biometric-database-for-deported-immigrants/  And India is creating the world’s largest biometric database, registering biological information on its 1.2 billion people.  (For a glimpse of the global spread of biometric databases, see the annual report of the Electronic Frontier Foundation, a U.S. NGO, at https://www.eff.org/deeplinks/2012/12/biometric-id-systems-grew-internationally-2012-and-so-did-concerns-about-privacy.)

What data goes into a biometric database?  It varies by country and by project, but it may include fingerprints and palm prints, scans of the eye’s iris and retina, photographs that show facial contours, samples of handwriting, recordings of speech, and DNA codes.  In other words, the data that serves to distinguish one person from another. 

Governments and universities and businesses are all deeply involved in research into biometrics.  The U.S. government-supported Biometric Consortium lists projects from, for example, Italy’s University of Bologna and China’s Center for Biometrics and Security Research at the Chinese Academy of Sciences. http://www.biometrics.org/html/research.html  The work is so widespread that the International Standards Organization has a special committee, JTC 1/SC 37, to work on biometrics topics.

Much of the debate about the use of biometrics has focused on privacy and security:  Should the government or business have this information on me?  How will the holder of the information keep it secure?  Little has been written about the archival implications of this highly personal data in institutional databases, but given the rapid spread of these programs all over the world, it is essential that archivists focus on it now. 

Twenty years ago some archivists argued that databases were not records, while others regularly appraised databases for retention or disposal.  Moreover, archivists often appraised the paper records that preceded an automated database (for example, the fingerprint files of the police); sometimes the automation of the records led archivists to reappraise them and retain some that, because of volume, had been nearly unmanageable in paper formats. 

The debate over whether databases are records is now antique.  Databases are simply the way organizations operate today, and archivists must incorporate them into the archival program.  Some of the biometric databases being created will have a short life, like the aid recipient databases created by the United Nations (one must hope).  Others, such as identity databases, are likely to stay in the custody of the creating agency for long periods of time.  But in either case, and in whatever institution the databases are created and maintained, archivists need to ensure that they know what data is collected, how it is managed, and whether it should be preserved after its primary use ends.  It is a solemn responsibility with serious implications for the rights of us all.

 

August: Archives and records of identity

August in the northern hemisphere is the heart of summer.  Activity slows down, and cities empty of all except tourists.  Schools are on vacation, and families spend time together.  News is usually slow.

Not this August.  Major organizations, from the Indonesian Commission on Human Rights to Twitter, published reports.  Courts handed down decisions, like the court in Turkey that sentenced 254 people at once in the biggest case in the country’s history.  The revelations of spying by U.S. agencies continued to roll out, affecting countries around the world. 

A cluster of events in August involved records that concern identity:  who is a citizen, who has a specific ethnicity, what is my sexual orientation.  The most explosive story was from Russia, where a vigilante group is publishing videos of its attempts to “cure” by despicable means people they believe are homosexual.  Here the videos are the record of the “identity.”  Next door, in the country of Georgia, prospective brides seek to confirm their identity as virgins by getting “virginity certificates” from the government. 

Moving from sex to ethnicity, a newspaper in Turkey learned that the government’s Population Directorate maintains a registry of minorities that identifies each family’s ethnicity as determined in 1923:  1 for Greek, 2 for Armenian, 3 for Jews, 4 for Syriacs and 5 for “other.”  Exactly how the ethnicity was designated in the first place is not clear, but it has eerie echoes of other historical brandings.  Also related to ethnicity but happier, the census in Bolivia showed many fewer people self-identifying with a specific ethnicity; in fact, the majority of the population registered as “mixed” ethnicity. 

And then there are the records of citizenship.  Cote d’Ivoire passed two new laws easing access to citizenship, one of the issues at the center of its political crisis since 2002.  One law will allow foreigners to acquire citizenship upon marriage to a citizen and the other offers citizenship to foreign-born persons who were living in Cote d’Ivoire before it became independent in 1960 and to foreign nationals born in Cote d’Ivoire between 1961 and 1973 and their children.  Finally, there is the identity that is linked to the right to vote; Guinea-Bissau decided to issue its citizens new voter registration cards that will be “extremely difficult to forge or replicate” to reduce the possibility of electoral fraud. 

All in all, August was a busy month, demonstrating once again the centrality of archives—paper, electronic, or audiovisual--in the world in which we live.

 

September: Preserving records of international justice

September 2013 was a big month for international justice:  Charles Taylor, the former president of Liberia, was confirmed guilty of war crimes during the war in Sierra Leone, 1991-2002, by the appeals panel of the Special Court for Sierra Leone; General Carlos Alberto Paz Figueroa was convicted in Peru for the forcible disappearance in 1990 of a professor; and in Guatemala the former national police chief Hector Bol de la Cruz was convicted of the forcible disappearance in 1984 of a student and labor leader.  Taylor was sentenced to 50 years in prison, Paz Figueroa to 15 years, and Bol de la Cruz to 40 years. 

Archives are important in these cases, both the archives used in the trial by the prosecution and the defense attorneys and the archives created by the court during the case.  Kate Doyle, who testified in the Bol de la Cruz trial, wrote, “The documents [of the National Police of Guatemala] were the most important evidence the prosecutors had."  By contrast, in Peru’s case against Paz Figueroa the court relied heavily on oral testimony because, according to Jo-Marie Burt, who has written extensively on human rights prosecutions in Peru and elsewhere in the region, “in general the military routinely denies that any documents from the civil war period exist, even when prosecutors have obtained certain documents . . and when defendants bring documents to court to support their claims of innocence.”  This makes the oral testimony entered in the trial record exceptionally important for future cases.  And the trial record of the Taylor case is massive, providing an historical record both for Liberia, where he was president, and for Sierra Leone, where he fomented inhuman crimes. 

An event that got much less press than these sensational cases was the report to the September session of the United Nations’ Human Rights Council by Pablo de Grieff, the United Nations Special Rapporteur on the promotion of truth, justice, reparation and guarantees of non-recurrence.  In his report, which focuses on truth commissions, de Grieff wrote that successful truth commissions “have provided recognition to victims as rights holders, fostered civic trust, and contributed to strengthening the rule of law.”  Significantly for archivists, he pointed out the importance of archives for use by truth commissions and the archives of the truth commissions themselves.  He encouraged “states to opt for archiving modalities that maximize access to all stakeholders, in compliance with the rights to privacy and personal security, convinced that the establishment of truth commission and national archives contribute in a substantial manner to realizing the right to truth and may further criminal prosecutions, reparation, and institutional and personnel reforms.  Technological advances in archiving that allow for selected blocking of parts of documents should be utilized, and good practices gathered by expert bodies should be applied.  The Special Rapporteur calls for the development of international standards on archiving and strongly supports such an initiative.”

The Special Rapporteur’s mandate extends beyond truth commissions, and de Grief emphasized that “truth cannot be a substitute for justice, reparation or guarantees of non-recurrence, singly or collectively” and that there are “abiding national and international obligations concerning each measure, compelling practical moral and political reasons for implementing them, as well as convincing empirical evidence that they work best, as justice measures, when designed and implemented in a comprehensive fashion rather than in isolation from one another.” 

And that leads us back to the trials, international ones like the Taylor trial at the Special Court and national ones like those in Peru and Guatemala.  While the records of defense attorneys often are private materials, the records of prosecutors and courts are government records.  These are records of the highest importance, for the country and for international justice. Their preservation is a key national archival responsibility, one that is particularly challenging when parts of a case are conducted in closed session and when the records of the prosecutor include many pieces of evidence that lead to persons not indicted or charges not brought.  Just as September was a good month for addressing gross violations of human rights and serious violations of international humanitarian law in three courts, we need to make sure that the following months see the prompt, professional archival management of these records—not only those of the Special Court for Sierra Leone and the justice systems in Peru and Guatemala but also those of courts and cases like them throughout the world.

For articles about the Bol de la Cruz and Paz Figueroa cases, see http://www.gwu.edu/~nsarchiv/NSAEBB/NSAEBB440/ and http://rightsperu.net/index.php?option=com_content&view=category&layout=blog&id=37&Itemid=62; for the report of the Special Rapporteur, see A/HRC/24/42 http://www.ohchr.org/EN/HRBodies/HRC/RegularSessions/Session24/Pages/ListReports.aspx.

 

October: Preserving the Records of the International Crimes Tribunal, Bangladesh

In the back of the ballroom at the former British ambassador’s residence, an old man dressed in white slouched behind a low railing.  At the front of the room, his black robe flapping listlessly, the man’s attorney argued to a panel of three judges, citing the Universal Declaration of Human Rights, precedents from the International Criminal Tribunal for the former Yugoslavia, and the principle that a person cannot be charged with a criminal offence for an action that was not a crime when you committed it (nullum crimen sine lege).  Only a few visitors watched the proceedings from seats between the defendant in the back and the lawyers at the front.  October 10, 2013, was an ordinary day in the extraordinary International Crimes Tribunal in Bangladesh.

The Tribunal was established in 2009 to investigate and prosecute persons who committed crimes against humanity, including genocide, during Bangladesh’s war of independence in 1971.  Previously a part of Pakistan following the end of British colonial rule in the subcontinent, the uneasy relationship between West Pakistan and East Pakistan, as Bangladesh was known then, led almost inevitably to an independence movement.  The Pakistani Army tried to put down the revolt; at the end the Army withdrew to West Pakistan, taking with it many of the perpetrators who are outside the reach of today’s Tribunal.  The prosecutors instead are focused on persons who collaborated with the Army in opposition to independence.  The trials, the procedures, and the verdicts have all been controversial, both inside Bangladesh and in the international human rights community.  Still, they continue.

Given the high importance of the trials within Bangladesh and the emotionally charged context in which they operate, it is essential to preserve scrupulously the records of the Tribunal.  These include not just the records of the proceedings, which are relatively simple to protect and preserve, but also the records of the prosecutors, the registrar, and the judges in chambers.  These are all records of the State, and the State has the responsibility to protect them and make them available for study, while preserving the rights of those whose lives are reflected in them.  The records of the defense counsels--private records--should also be preserved, but here the State’s role is less direct.  The State should ensure that the defense counsel are aware of their obligation to preserve the records of their participation in the trials and find a secure archives in which the records can be appropriately preserved.

A new book on the 1971 war in Bangladesh, Gary J. Bass’s The Blood Telegram:  Nixon, Kissinger, and a Forgotten Genocide, opens with a quotation from Czech novelist Milan Kundera’s 1978 novel, The Book of Laughter and Forgetting:  “[T]he bloody massacre in Bangladesh caused Allende to be forgotten, the din of war in the Sinai Desert drowned out the groans of Bangladesh, . . . and so on, and on and on, until everyone has completely forgotten everything.”  It is essential that the records of these trials, like the records of the crimes that were committed, are not forgotten, not drowned out, but instead are preserved and protected in competent archival hands.

 

November: Destruction of Archives in Fear of Prosecution?

Does fear of prosecution lead to the destruction of archives?  Intuition, of course, says yes, but news from several countries in November provided contradictory answers.  

The most optimistic news came from Argentina, when an air force general told the defense minister who told the press that 1500 files from the period of the military junta (1976-1983) were stored in the basement of the Condor Building, which is the headquarters of the air force.  (The building’s name eerily recalls “Operation Condor,” the secret alliance between Chile, Uruguay, Paraguay, Bolivia, Brazil and Argentina from 1975 to 1983 in which the security services of the members joined forces to track down and often assassinate people the governments considered “subversives.”)  The defense minister explicitly recognized that the archives could have value for prosecutions, saying, “The courts will decide if this documentation that we have found contains, aside from historical value, a judicial value for the various cases that are taking place in distinct Argentine jurisdictions.”  And the director of Memoria Abierta, an important Argentine human rights organization, told the Buenos Aires Herald, “Until now, archives were not provided voluntarily . . . they spent decades in demolished basements, without anyone knowing . . . this demonstrates a change of spirit.” 

Much more somber news came from El Salvador.  In 1992, combatants in El Salvador signed Peace Accords ending twelve years of civil war.  The next year the government passed the General Amnesty Law, protecting military commanders from being prosecuted for crimes committed during the war.  Beginning during the civil war Tutela Legal, the legal and human rights office of the Catholic Church in El Salvador, set about documenting human rights abuses, including massacres, killings and war crimes, amassing by 2013 an archives of 50,000 cases.  Pro-Busqueda was founded in 1994 as a nongovernmental organization devoted to locating children who disappeared during the war, amassing 1200 cases with DNA test results, adoption records and related documents; the “vast majority” of the cases of disappearance implicate state actors.  Eventually Pro-Busqueda and Tutela Legal bought cases of human rights violations to the Inter-American Court of Human Rights, which in 2012 in the Pro-Busqueda case said the amnesty law violated an international treaty.  On September 20 of this year the Constitutional Chamber of the Supreme Court of El Salvador agreed to hear arguments about the constitutionality of the amnesty law.  What happened next?  On September 30 the archbishop of San Salvador abruptly closed Tutela Legal.  On November 14 armed men broke into the offices of Pro-Busqueda, stole computers and burned the archives. 

The final example comes from the United Kingdom, where newly released records from the former Colonial Office show in heart-breaking detail the massive destruction of records as the United Kingdom was withdrawing from the soon-to-be-independent colonies.  According to The Guardian, in 1961 the colonial secretary instructed the colonial administrations that the new governments “should not be handed any material that ‘might embarrass Her Majesty’s government,’ that could ‘embarrass members of the police, military forces, public servants or others eg police informers,’ that might betray intelligence sources, or that might ‘be used unethically by ministers in the successor government.’”  The records include “destruction certificates” that prove the colonial officials obeyed to the directive.  Fortunately, some colonies did not destroy massive quantities of records, with the Kenya office declaring, “It is better for too much, rather than too little, to be sent home—the wholesale destruction, as in Malaya, should not be repeated.”

What are we to make of this?  That individuals taking responsibility make a difference:  they confirm the existence of records, do not follow orders to destroy records, demand that records related to human rights be preserved for use.  As Principle 14 of the United Nations’ Updated Set of Principles against Impunity says, “The right to know implies that archives should be preserved.  Technical measures and penalties shall be applied to prevent any removal, destruction, concealment or falsification of archives, especially for the purpose of ensuring the impunity of perpetrators of violations of human rights and/or humanitarian law.” 

And now can anyone tell us of the fate of archives within Syria?

 

December: 2013 in Review

A look back on a variety of stories of the past year:

January:  The Philippine Congress passed legislation awarding compensation to thousands of victims of human rights abuses under Ferdinand Marcos’ 20-year rule; claimants are required to provide documentary proof of their injuries.

February.  Ireland released a report concluding that records show “significant state involvement” in the incarceration between 1922 and 1996 of women and girls in workhouses operated by the Catholic Church known as “Magdalen laundries.” 

March.  UNICEF released a report estimating that 700 Palestinian children aged 12 to 17 are arrested, interrogated and detained each year in the occupied West Bank by military, police and security agents.  

April.  The Diversityworks Trust of New Zealand is developing an online national archives of film and video material relating to the New Zealand deaf community.  

May.  Stasi records reveal that pharmaceutical companies from West Germany and other Western countries tested new drugs on unsuspecting East Germans. 

June.  Edward Snowden revealed the massive data collection activities of the U.S. National Security Agency.

July.  Hissenne Habre, the former dictator of Chad, was arrested and brought before the special court set up in Senegal to try him; he will face evidence from his own records that were found by Human Rights Watch in 1990 after Habre was deposed. 

August.  Long-lost medical records of the world’s first recognized radiation sickness patient were recovered 68 years after the victim died within weeks of being exposed to the atomic bomb in Hiroshima; the records apparently had been taken home by an employee of the hospital where she was treated.

September.  Details of nearly 5000 persons killed by the Afghan Communist government in 1978 and 1979 were released on the web site of the Netherlands national prosecutor’s office; the information came from a deceased United Nations Special Rapporteur for Afghanistan. 

September-October-November.  On September 30 the Archbishop of San Salvador abruptly closed the office of Tutela Legal, its legal office that had very significant documentation on human rights abuses in the country.  Protests followed in October.  Then in November armed men broke into the office of Pro-Busqueda, a nongovernmental organization that works to locate children missing from El Salvador’s 1980s civil war; they set fire to the archives, destroying about 80% of them, and stole the computers. 

November.  Switzerland passed a law allowing it to provide “safe haven” for endangered cultural materials, including archives, from other countries.

December.  The United Nations High Commissioner for Human Rights announced that there is massive evidence of human rights violations by all parties including the government of Syria.

These are only a sample of the archives and human rights stories, positive and negative, from 2013.  Every part of the world provided news items, and all types of institutions—government, business, religious bodies, educational institutions, civic organizations—were involved.

Thank you to all who provided news and suggestions this past year.  Thank you, too, to the compilers of news stories and bloggers; this monthly summary would not be possible without you.  And finally a big thank you to all the journalists who provide the reporting that allows us to know and to react to the events in our imperfect world.

Archival commentaries 2014

January: Photographs of the dead

Point.  Tap.  Tap again to send.  Photography has come a long way from the days of glass plates and darkrooms smelling of developer chemicals.  This month photographs are central to a quite astonishing number of events.  Add to this the videos uploaded to YouTube that seem to document human rights abuses, and we encountered a relentless flood of images. 

Certainly the biggest photo-related story in January was the report from a panel of experts who examined a sample of some 55,000 images of the dead in Syria (see Syria item below).  The report not only provides the legal perspective on the possible use of these images but also provides a good primer on the forensic examination of electronic photographic images to see whether they have been altered (the experts concluded that they had not).  Photographs of dead bodies featured in a number of other reports.  British Pathe released footage and still images its photographers took of executions during conflicts across the world.  Photos of U.S. Marines in Fallujah, Iraq, apparently burning bodies led to the opening of an official investigation.  And an Afghan government commission investigating deaths from an airstrike on 15 January handed out a dossier that included a photograph, purportedly of the funeral for civilians killed in that attack but actually taken at a funeral in 2009 and distributed at that time by the media. 

Photographs of dead bodies were not the only stories in January.  The family of a young boy executed in the U.S. State of South Carolina 70 years ago used photographs as part of the argument to reopen the case against him.  The usual U.S. practice of making public the photographs of those arrested (“mug shots”) was called into question by legislators in the U.S. State of Georgia who argued that the arrest images should be restricted until a person is proven guilty, a position that is hotly contested by the Georgia Press Association.  And a technology story reported that researchers have discovered that by using high-resolution photos of victims of crime they can look at the reflections in the subject’s eyes and see the images of perpetrators and bystanders.

An essay published in the New York Times, written by a professor at New York University, raises important questions about photographs taken by perpetrators.  She calls the Syrian photographs “bewildering” and asks, “Wouldn’t such a government want to hide its crimes rather than record them?” http://www.nytimes.com/2014/01/28/opinion/advertisements-for-death.html?_r=0  But archivists know that governments and non-governmental groups and individuals regularly document their violent activities, including arrests, deaths, and harm to people.  What archivists have to do is make sure that these images—gruesome as they always are, voluminous as they often are—are preserved and protected.  In the short term these images are legal evidence; in the long term they are evidence of how we treat each other and the continuous struggle for the right to be human.  When such images should be made available and to whom is a separate question, but it cannot even be raised unless archives preserve the images in the first place.

February: Why do repressive entities keep extensive records?

The scene was new but utterly familiar:  rebels, curious citizens, and journalists showing cameras partially burned documents, pulling papers from the water of a reservoir, posting items online. It was Ukraine in February 2014 at the residence of former president Viktor Yanukovych, but it could have been Egypt or Libya, Lithuania or Chad.  Rebellions prompt destruction and preservation of records.

One constant question is why repressive bodies, particularly secret police who keep such extensive records, don’t destroy them when faced with a revolutionary situation.  Security services keep the records they need to carry out their work, and the volume is enormous.  Then, faced with riots in the streets, they can and often do destroy a small body of very sensitive records, but they simply cannot destroy everything.  That was particularly true when records were mostly paper, but it is also true in the electronic world where wiping computers clean and making the data unrecoverable requires technical skills.  Add to that the likelihood that today there are copies of documents on personal computer drives and even personal electronic devices, and total destruction is nearly impossible. 

Even if special bodies of records are destroyed, the great duplication of copies, both electronic and paper, means that the destruction of one record usually does not destroy all the information it contained.  In the item reported below on the British government giving advice to the government of India (see India/United Kingdom) the U.K. Cabinet Secretary said that although some military files were destroyed, “copies of at least some documents on destroyed files were also in other departmental files.”  In Guatemala, the police in Quiche seem to have destroyed the records in that departmental headquarters, but the reports from Quiche to national police headquarters remained in the files in Guatemala City.

Add to the issues of speed and duplication the conviction of the security services that they are permanent and their records are inviolate, and you have another reason records are not totally destroyed.  J. Edgar Hoover , the U.S. Federal Bureau of Investigation’s longtime director, could never have imagined that a farm girl from Iowa like me would be reading his mail, but that’s what happened when a court in the United States ordered the U.S. National Archives to undertake a comprehensive appraisal of the Bureau’s records in 1980-81.  The same would be true for archivists reading the Stasi files, the KGB files in Latvia, or the police files in Paraguay:  to the police, the unimaginable happened. 

Of course we must constantly fight to preserve records.  Of course we need good records laws, strong penalties for unauthorized destruction, and archivists who stubbornly schedule records for preservation in the face of pressures to authorize destruction.  Of course in a revolutionary situation the concerned public needs to protect sensitive archives, as the Germans did in 1990 when they prevented destruction of Stasi records.  But it can be done, and we can use our collective powers to ensure that the written word endures.

 

March: Records and the prosecution of Ivan Demjanjuk

At the 2014 Ina Irvine Annual Lecture at the United States Holocaust Memorial Museum, Professor Lawrence Douglas examined the prosecution of Ivan Demjanjuk in Germany in 2009.  Demjanjuk was a Ukrainian who was drafted into the Soviet army during World War II, was captured by the Germans, and then volunteered to join the German SS which controlled the police forces and ran the concentration camps.  Demjanjuk was tried in Israel in 1987, charged as the Treblinka killing center guard known to prisoners as “Ivan the Terrible” who had operated and maintained the diesel engine used to pump carbon monoxide fumes into the Treblinka gas chambers.  Although convicted by the lower court, Israel’s Supreme Court overturned the conviction in 1993 because of reasonable doubt that Demjanjuk was the guard at Treblinka known as Ivan the Terrible (in fact, he was not).    

In July 2009, German prosecutors indicted Demjanjuk on 28,060 counts of accessory to murder at Sobibor.  German personnel records from the camp at Trawniki where Demjanjuk trained to be a “police auxiliary” showed that Demjanjuk had served as a guard at the Sobibor killing center from March through September 1943 (these records, captured by Soviet forces, are in the Archives of the Federal Security Service of the Russian Federation in Moscow).  Other records showed that all guards at Sobibor were used in the killing program, or, as Douglas said, there was not a guard who was just a cook.  It was clear from the records that the function of all guards was to facilitate mass murder.  By the prosecution’s meticulous use of records, showing the organization of the Sobibor camp, the functions of the guards, and the presence of Demjanjuk as one of the guards, the German court convicted him in 2011.  Douglas concluded, “Guilt follows function.”

Archivists describe the functions of the organizations whose records they hold; in fact, one of the international standards for describing archives is for describing functions.  Creating such descriptions and making them available is our function.  We are key participants in advancing the work of human rights.

For further information on the Demjanjuk trials, see http://www.ushmm.org/wlc/en/article.php?ModuleId=10007956

 

April: Archives and talks of reconciliation

Two quite remarkable statements were issued within a few days of each other by political leaders in the Mideast.  The first came on April 23, the day before the 99th anniversary of the start of the events of 1915 in which hundreds of thousands of Armenians living in Turkey were killed or driven from their homes.  Turkish Prime Minister Recep Tayyip Erdogan issued a message in nine languages—including Armenian--that concluded, “It is our hope and belief that the peoples of an ancient and unique geography, who share similar customs and manners will be able to talk to each other about the past with maturity and to remember together their losses in a decent manner.  And it is with this hope and belief that we wish that the Armenians who lost their lives in the context of the early twentieth century rest in peace, and we convey our condolences to their grandchildren.”  He called again for a joint historical commission to study the events of 1915 and declared “we have opened our archives to all researchers.”  Turkish media described Erdogan’s message as a “surprising statement,” while the Armenian president “brushed off” the condolences, demanding that Turkey recognize the killings as genocide.  http://www.al-monitor.com/pulse/originals/2014/04/armenian-genocide-erdogan-message-condolences.html   for statement in English http://www.todayszaman.com/news-345906-erdogan-offers-turkeys-first-condolences-to-armenians-for-1915.html; http://www.voanews.com/content/analysts-call-turkish-pms-condolences-on-armenia-a-political-ploy/1903147.html

Palestinian Authority President Mahmoud Abbas issued a statement in English, Arabic and Hebrew on April 27, the day before Israel’s official Holocaust Remembrance Day, in which he said, “What happened to the Jews in the Holocaust is the most heinous crime to have occurred against humanity in the modern era” and expressed sympathy “with the families of the victims and many other innocent people who were killed by the Nazis.”  Israeli Prime Minister Benjamin Netanyahu responded by saying the statement was a “public-relations stunt.”  http://www.aljazeera.com/news/middleeast/2014/04/abbas-holocaust-was-heinous-crime-201442715735582213.html; for statement from the Palestine News and Information Agency http://english.wafa.ps/index.php?action=detail&id=25007

Clearly the Turkish and Palestinian statements are steps in the right direction.  The formation of a joint historical commission and the opening of all relevant archives would also be good steps.  But what is interesting about these asymmetric gestures from an archivist’s point is view is how they fit into the records of diplomacy.  These are diplomatic initiatives through the state media, but apparently without any direct delivery to the other government that has the principal interest in the issue.  Where is the official copy of Erdogan’s statement in the Armenian government archives or Abbas’s in Israel?  We can assume that multiple copies exist in at least the records of the prime minister, the foreign ministry, the intelligence service and the defense ministry, perhaps a foreign broadcast monitoring unit.  But unlike the direct communications between one government and another which go through foreign ministries and are filed in those archives, these statements—directed, to be sure, to a people not to a specific government—do not have a similarly obvious official place within the records of the government.  Yet someone somewhere in the government has to make sure that these overtures are completely and accurately preserved in Armenia and Israel as well as in Turkey and Palestine. 

Alex Boraine was the deputy chairperson of the South Africa Truth and Reconciliation Commission.  In his book A Country Unmasked he mused on the problem of reconciliation, quoting Philippine poet J. Cabazres’ poem on reconciliation which says, in part, “Talk to us about reconciliation/ Only if your words are not products of your devious scheme/ To silence our struggle for freedom.”  Archives must preserve that talk of reconciliation over months and years, trusting that it will help, in the long term, change a divided past into a shared future.

 

May: The record and the right to be foRgotten

Judges at the Court of Justice of the European Union (ECJ) declared that Europeans have a “right to be forgotten” and archivists worldwide shivered.  Costeja Gonzalez of Spain and the Spanish Agency for Data Protection (AEPD) brought a case to the ECJ to force Google Spain and Google Inc. “to remove or conceal the personal data relating to him so that they ceased to be included in the search results and no longer appear in links” to the newspaper in which “an announcement mentioning Mr. Costeja Gonzalez’s name appeared for a real-estate auction connected with attachment proceedings for the recovery of social security debts.”  Costeja Gonzalez argued “that the attachment proceedings concerning him had been fully resolved for a number of years and that reference to them was now entirely irrelevant.”  He also originally asked the AEPD to order the newspaper to “remove or alter” the pages where the information appeared, but the AEPD rejected that because the newspaper published it “upon the order of the Ministry of Labour and Social Affairs and was intended to give maximum publicity to the auction in order to secure as many bidders as possible.”  ECJ ordered Google to remove the links as requested.  http://curia.europa.eu/juris/document/document.jsf;jsessionid=9ea7d2dc30d58be3c845fd10412fab108b7a7423eb7f.e34KaxiLc3qMb40Rch0SaxuNbh90?text=&docid=152065&pageIndex=0&doclang=en&mode=req&dir=&occ=first&part=1&cid=49823

As categorical as the court’s “right to be forgotten” language is, another part of the court decision shows that there are cases in which the public interest overrides the privacy of the individual:  “Whilst it is true that the data subject’s rights . . also override, as a general rule, that interest of internet users, that balance may however depend, in specific cases, on the nature of the information in question and its sensitivity for the data subject’s private life and on the interest of the public in having that information, an interest which may vary, in particular, according to the role played by the data subject in public life” (paragraph 81).  This statement is so general that it is unhelpful:  what, indeed, do the judges consider “public life”?  In this case, the information was ordered printed by a government agency acting in its official, legal capacity.  If that is not public life, what is?  “In the first few days after the ruling, about 1,000 Europeans asked Google to take down links, with about half having criminal convictions and half not,” reported the New York Times.

In contrast to this case that led to the ECJ decision, the public seems blasé about massive data breaches that expose personal data to the world.  Just in this month there were data breaches in the United States at, for instance, a university, a seed corn company and a gambling casino, while earlier this year Target, a mass retailer, had a breach that affected 110 million credit and debit accounts.  Breaches have become so common that insurance companies are now offering policies to cover data breaches.  And yet the public outrage is muted:  a shrug and shake of the head (unless, of course, your data is used by a criminal).

Where does this leave archives and the archival record?  The European case turned in part on the ease with which information can be found; after all, the court did not require the printed records to be expunged, just the link to them.  It is especially troubling that this is a link to a public record, and we will have to see how broadly it will be applied to other government information.  Presumably archival finding aids with names and digitized items can still be put on line, but the decision will affect researchers:  the only way to locate information on a person of interest to the research would be to guess that the records exist in a particular archives, even if the archives site does not appear in a search of information about the person.  In a sense, the court is sending research back to the pre-internet days where thinking about the likely location of information was step one and directly contacting the archives was step two.  Just as there was paper before print, there were guides before Google.  We may all have to learn to use them again.  http://www.nytimes.com/2014/05/30/business/international/on-the-internet-the-right-to-forget-vs-the-right-to-know.html?_r=0 ; http://siliconangle.com/blog/2014/05/30/data-breach-burnout-the-biggest-threat-of-all/; http://www.post-gazette.com/local/city/2014/05/30/All-62-000-workers-at-UPMC-may-now-be-victims-Data-breach-at-UPMC-may/stories/201405300188http://www.arkansasbusiness.com/article/99018/arkansas-state-notified-of-data-breach-up-to-50000-could-be-affected; http://www.cbronline.com/news/security/monsanto-hit-by-data-breach-4281671; http://www.lowcards.com/data-breach-hits-11-casinos-nevada-24549; http://www.bostonglobe.com/busin

June: Redacting records and risks

The ship sails grandly across the sea at the Bardo Museum in Tunis, Tunisia.  Made of tiny pieces of stone called tesserae, the ship is created in extraordinary detail.  This mosaic technique has given its name to a reason that institutions refuse to release information:  as the United States Department of Justice writes in its Guide to the Freedom of Information Act, the “mosaic” approach is “the concept that apparently harmless pieces of information, when assembled together, could reveal a damaging picture.” It provides another argument for withholding information, whether information relating to national defense or foreign policy or personal privacy.  http://www.justice.gov/oip/exemption1.htm

Redacting information—that is, taking pieces of information out of a document so that the rest of the document can be released—makes it possible for researchers to use many more research resources than they would if, for instance, a six page document would have to be withheld because one sentence or one paragraph has information that would violate a person’s privacy.  However, for the archivist redacting documents is a time-consuming process that requires great concentration and attention to detail.  Most archivists who have redacted documents can recount episodes when pieces of information were missed and therefore released by accident.

The techniques used for redacting paper documents are well-known and time-tested (see, for example, the advice in the International Council on Archives’ “Technical Guidance on Managing Archives with Restrictions” http://www.ica.org/15369/toolkits-guides-manuals-and-guidelines/technical-guidance-on-managing-archives-with-restrictions.html ).  Techniques for redacting electronic records are seemingly easier, but great care is needed to ensure that the redacted information cannot be restored.  Two reports this month illustrate the problem.  In one case, the story began last February when the details of nearly 10,000 asylum seekers were included in an electronic publication posted to the Australian Department of Immigration and Border Protection’s website, including full names, nationalities, locations, arrival dates and boat arrival information.  When The Guardian called attention to the publication, the data was removed.  Now the official investigation into the breach says the data “was accessed 123 times” from 104 different electronic addresses and factors contributing to the breach may have included “time pressures, unfamiliarity with certain functionality of Microsoft Word, lack of awareness of roles and responsibilities, and limited awareness of IT security risks associated with online publishing.”  http://www.zdnet.com/au/immigration-data-breach-caused-by-human-error-kpmg-7000030508/  In the other case, New York City officials responded to a public records request by releasing details about 173 million taxi routes in the city after they redacted the driver’s license and medallion numbers (a medallion is the taxi registration).  A software developer took the data and in under two hours de-anonymized the entire file, which gave “unfettered access to the full map of routes and schedules for every taxi service in New York, potentially putting privacy and security of millions of passengers and their drivers at significant risk.”  As the man who decoded the information wrote, “Anonymizing data is really hard.”  http://vpncreative.net/2014/06/25/173-million-taxi-records-lost-massive-location-data-heist/; https://medium.com/@vijayp/of-taxis-and-rainbows-f6bc289679a1

Both of these incidents involved relatively straightforward redaction problems.  But data mining to create a mosaic of withheld documents presents a more complicated problem.  A team of historians, mathematicians, computer scientists and statisticians abased at Colombia University is working on a “multimedia research project” called the “Declassification Engine” in which they are gathering electronic versions of “large numbers of federal documents and creating analytic tools to detect anomalies in the collections.”  The team suspects “that by spotting something as subtle as an uptick in a diplomat’s telephone activity they may be able to reveal the existence of historical episodes that the US government has largely suppressed from the public record.”  A member of the Central Intelligence Agency’s Historical Review Panel told Columbia Magazine that CIA officials worry that the Declassification Engine “could enable foreign spies or terrorist groups to conduct more powerful data-mining analyses of the nation’s public record than they could otherwise” and this will lead the declassification reviewers to say to themselves, “We’re going to have to work more scrupulously than ever.”  http://magazine.columbia.edu/features/winter-2013-14/ghost-files

What does this mean for archivists?  It means that anyone involved in electronic redaction needs to have the assistance of a very good computer engineer to make sure redaction cannot be reversed and the information restored, whether in two hours or two days.  But it also means that archivists who work to persuade officials to release ever more records in electronic form may find them more and more cautious, as data mining shows how easily a mosaic can be assembled.  The institution’s ship will undoubtedly sail on, but it may leave smaller and smaller sets of publicly available electronic records in its wake. 

July: Unauthorized use of genetic material

Ebola.  Malaysian Air MH 17 crash.  Fighting in an arc from Gaza to Baghdad.  Unaccompanied children at the southern U.S. border.  July was a bad month.  All those events received massive, international media coverage.  An issue that has not had similar international attention is the developing story of the unauthorized use of genetic material from the Huaorani people of Ecuador, taken from them by U.S. scientists under questionable circumstances.  Archives may provide keys to understanding the human rights violation that occurred and perhaps even lead to accountability and compensation.

First, some background.  The Huaorani people live in the eastern Amazon region of Ecuador.  Exploration for oil began in the Huaorani homeland in the 1930s by Royal Dutch Shell, and starting in the 1960s a number of major oil companies began exploring for oil there.  In the early 1990s (the date varies among reports) the Ecuadorean government gave Maxus Energy Corporation from Dallas, Texas, the right to drill and to construct a pipeline and an access road in the Hauorani land. 

By the 1990s, medical researchers had become interested in the Huaorani, who may possess a genetic mutation that provides immunity to some diseases including hepatitis.  So in an arrangement that is unclear, in 1991 two medical researchers from Harvard University went to Ecuador and “with the help of an oil company liaison” (according to a 2013 article in The Scientist) took as many as 3,500 blood samples from 600 Huaorani members along with some tissue samples.  In a report issued in July 2014, the Council on Hemispheric Affairs, a U.S.-based non-governmental organization, wrote, “Fewer than 20 percent of the participants signed an authorization for the procedure, and all were further under the impression that their blood was being extracted to conduct personal medical examinations.”  The samples were brought to the U.S. and in 1994 were provided to the Coriell Institute for Medical Research, based in the U.S. State of New Jersey, which in turn sold Huaorani DNA and cell lines to medical research labs in eight difference countries.

The Huaorani never received the medical reports that they expected, and in 2010 a representative of the people filed a complaint with the government.  The Ecuadorian government’s ombudsman opened an investigation, and in June 2014 the President of Ecuador in a radio broadcast announced that he plans to take legal action against the American entities, as Ecuador’s constitution prohibits the use of genetic material and scientific experimentation that undermines human rights. The President acknowledged that there is “no federal law in the United States that provides a legal basis for the claim in court against Coriell, Maxus or researchers from Harvard,” adding, “the law even protects copyright, but does not protect individuals if their blood is taken without their consent.”    

http://www.coha.org/biopiracy-the-new-tyrant-of-the-developing-world/; http://www.ecuadortimes.net/2014/06/14/extradition-huaorani-blood-will-difficult-according-correa/   http://www.the-scientist.com/?articles.view/articleNo/34325/title/Bad-Blood/

The case is similar to that of Henrietta Lacks, whose cancer cells were used around the world for 62 years and were the subject of more than 74,000 studies—all without the permission of either Ms. Lacks or her family (see HRWG News 2013-08).  In the Huaorani case, many archival records might help strengthen the case for compensation to the Huaorani.  First, the government of Ecuador should have the records of the lease to the Maxus oil company, which could clarify the rights the company was given.  The government should also have records of the medical personnel coming into the country; presumably they made contact with the ministry of health.  Second, if the U.S. Embassy in Quito facilitated the research trip, both the Ecuadorean Foreign Ministry and the U.S. Embassy would have a record.  Third, Harvard Medical School records should include information on the researchers and their project, the records of negotiations with Maxus to gain permission to work in its concessional area, the records of the permissions given by the estimated 20% of the Huaorani who gave assent or from the leaders on behalf of the group, and the research done with the samples.  Fourth, if the research trip was funded by an external body (as most all are), there should be a record of the proposal and the final report, both at Harvard and at the funding agency.  Fifth, as we learned in the case of the Guatemalan STD experiments (see HRWG News 2010-10), the personal papers of the researchers might also contain valuable information and provide insight into the research trip.  Sixth, Coriell Institute should have the records of its acquisition of the samples and the records of their sale and distribution; it might also have used the samples in its own research, and those records should be there, too.  And seventh, the Maxus oil company should have records of its agreement with the government of Ecuador, its agreement with Harvard to permit the researchers to work in its area (and likely providing them housing and transport as well).  Maxus is now owned by the YPF energy company in Argentina, which was nationalized in 2012, making its records government records of Argentina.  However, it seems unlikely that the older records of Maxus would have been sent to Argentina.

So, as in many human rights cases, to unravel the story and understand the events, we need the records of government, of business, of educational institutions, and possibly the personal papers of the individuals.  It is no wonder that pursuing human rights cases can be a very costly research business.

 

August: Records of anti-state groups

Watch beheadings? Yes, if you follow jihadi social media.  View murder and maiming?  Yes, if you tap into a social media feed from a Mexican drug cartel.  Surely intelligence agencies around the world are downloading, analyzing and preserving these horrible images, which—along with the rest of the agency files--will one day become part of the nation’s archives.

But what of the perpetrators?  Are they preserving their videos?  Do they keep archives?  Given the size of the major jihadi groups and drug cartels and the finances they control, they must have archives somewhere.

Evidence for recordkeeping by anti-state groups comes from captured records, primarily electronic, for example: 

*a laptop used by the FARC guerilla group in Colombia (captured by the Colombian military in a 2008 raid) http://www.nytimes.com/2011/05/10/world/americas/10venezuela.html?_r=0;

*a laptop of Al-Qaeda in Iraq’s Abu Al-Zarqawi, (seized by U.S. forces in 2005) http://www.csmonitor.com/2005/0427/p03s01-woiq.html;

*a laptop of an Indonesian militant said to be behind the bombings of hotels in Bali and Jakarta, showing links between Indonesian groups and Al Qaeda (captured in 2009) http://www.nytimes.com/2009/09/18/world/asia/18indo.html?_r=0;

*laptops, hard drives, computer disks, thumb drives and DVDs captured during the U.S. raid on Osama bin Laden’s residence, http://www.cbsnews.com/news/bin-laden-phone-numbers-help-spin-intel-web/ and

*a laptop of an ISIS rebel that contained 35,347 files (captured by a Syria rebel group in 2014) http://www.foreignpolicy.com/articles/2014/08/28/found_the_islamic_state_terror_laptop_of_doom_bubonic_plague_weapons_of_mass_destruction_exclusive

Paper documents also have been recovered, including in the raid on Osama bin Laden’s residence.  Some of the most notable items were found in May 2013 by the Associated Press “in a building occupied by al-Qaida in the Islamic Maghreb in Timbuktu.” At the end of December 2013 AP published an article on the documents, headlined “Al-Qaida meticulously records every expense, like 60 cents for cake”:  “The accounting system on display in the documents . . is a mirror image of what researchers have discovered in other parts of the world where al-Qaida operates.”  The documents “also include corporate workshop schedules, salary spreadsheets, philanthropy budgets, job applications, public relations advice and letters from the equivalent of a human resources division,” leading the AP to conclude that al-Qaida “is attempting to behave like a multinational corporation.”  http://storify.com/AP_CorpComm/ap-exclusive-the-al-qaida-papers   

Like any organization that does not operate exclusively by face to face contact, these violent organizations engage in actions and transactions over time and space.  Although the exact contents of most of the computer records are known only to intelligence agencies, experts say they contain financial information, orders from central commanders to operational units, lists of unit members and coordination between groups.  Somewhere a computer must hold the items uploaded to internet sites.  For groups selling drugs or crude oil on the black market, a computer somewhere controlled by the finance officer must have records of these massive cash revenues and the expenditures on arms and living expenses (at least for the leaders) and, of course, computers and communications equipment.  So yes, they create records and maintain them while needed for current business. 

But do they preserve them?  That we don’t know, and we won’t until one day a the records of a demobilized or disarmed or defeated group are made available for access by researchers other than intelligence officers.  Until then we will know only what has been obtained by reporters or what intelligence agencies tell us.  And that, surely, is a partial picture of the records of anti-state groups.

September: Vido evidence and archival appraisal

Courtland Milloy, a columnist for the Washington Post recently asked, “Does it have to be on video to get us to do the right thing?”  He discussed the cellphone video of a man who jumped the White House fence, the business surveillance video that recorded the last image of a university student who then disappeared, the “body cameras” that black youths in Ferguson, Missouri, have begun wearing to “record their encounters with police” (in Ferguson an unarmed back teenage boy was fatally shot by police last August), an elevator surveillance camera that showed a professional football player knocking out his fiancé, and ISIS-made videos of its members beheading captives.  But, he noted, for domestic crimes, including when parents murder children, usually no video images catch the violence.  http://www.washingtonpost.com/local/2014/09/23/756b7750-4365-11e4-9a15-137aa0153527_story.html

This issue of HRWG News is full of references to videos.  As records that might be used to prosecute crimes or protect human rights, videos will be weighed for their evidential value by prosecutors and judges.  Their acceptability will vary:  video from a “neutral” camera in a place of business may be found credible; videos from official cameras worn by police officers and mounted on police vehicles will be seriously considered, as will be the videos of police interrogations and confessions.  Videos from cellphones will be harder to judge, particularly if no date or caption is included.  Videos retrieved from social media—and not by the person who posted the images—will need close scrutiny.  Raw television footage may be credible; edited clips shown on the air may be less so.  And so on. 

And every video will have to be judged forensically, for editing and deletions, manipulation and distortion.  This is not new:  courts have been examining documents for centuries and photographs for all of the last century.  Photographs have regularly been manipulated, not only for artistic purposes but for political ones:  see, for famous examples, the book by David King, The Commissar Vanishes:  The Falsification of Photographs and Art in Stalin’s Russia.

But what is new is the volume of images.  As cameras proliferate in the justice sector, particularly with police forces, archivists will be faced with appraisal decisions on vast amounts of image material.  Videoed confessions are one thing; a videoed interrogation lasting hours is another.  And as courts increasingly record their sessions on video, archivists for the courts will have to decide which videos of which trials to retain.  Think of the situation of a video of a court hearing where the video of an interrogation is shown:  should both the interrogation video in the records of the police and the video in the records of the court be retained?

No doubt digital video is the mode of evidence today and in the near future.  As we appraise records of the justice system where video images are replete, we archivists really do have to make up our minds about the long term value and the costs that will be involved in the preservation of this important flood of records.  To change the columnist’s question:  If it is on video, what is the right thing to do?

October: Interviews, investigations, preservation

Persecution, privacy and prosecution are linked by more than the alphabet.  Nongovernmental human rights groups rely heavily on interviews for their reports; although they try to get official records, government data and statements from leaders, these attempts usually fall short and interviews are the only way to learn what happened.  United Nations investigating bodies, such as the Joint Human Rights Office in the Democratic Republic of the Congo (see below), also rely heavily on interviews, often for the same reasons.  These groups promise confidentiality to the persons interviewed, particularly if the person has a well-founded fear of persecution.  For example, Amnesty International published a report in October on the Ethiopian government’s persecution of the Oromos people, the largest ethnic group in the country.  It was based on over 240 interviews, all conducted outside Ethiopia because Amnesty is barred from entering the country. In the “Methodology” section of its report, Amnesty wrote, “Many interviewees feared repercussions if their names were revealed, particularly those who still have family members in Ethiopia.  For this reason the names of all interviewees have been withheld.  In some cases, the location of interviewees has also been withheld to avoid endangering them.  In some cases, the location in which the events described took place has also been withheld for the same reason.” In addition to the fear of persecution, information gathered by the investigators may have significant privacy issues, particularly if the interviewee talks about sexual or medical matters.

But what if, after these reports expose serious crimes, there is an effort to prosecute the wrong-doers?  Can the reports and the interviews on which they are based be used by the prosecutor?  This is a problem.

Take the case of Laurent Gbagbo, the former president of Cote d’Ivoire, on trial at the International Criminal Court on four counts of crimes against humanity. He was arrested and transferred to the Court in late 2011, and in February 2013 the Court held a “confirmation of charges hearing” on his case.  The ICC Prosecutor used reports of nongovernmental organizations as part of the evidence supporting the charges against Gbagbo.  In June the Court postponed its decision, asking the Prosecutor to present more evidence, writing, “[A]lthough there is no general rule against hearsay evidence before this Court, it goes without saying that hearsay statements in the Prosecutor’s documentary evidence will usually have less probative value.  Reliance upon such evidence should thus be avoided wherever possible. . . . Heavy reliance upon anonymous hearsay, as is often the basis of information contained in reports of nongovernmental organizations (‘NGO reports’) and press articles, is problematic for the following reasons.  Proving allegations solely through anonymous hearsay puts the Defence in a difficult position because it is not able to investigate and challenge the trustworthiness of the source(s) of the information . . it is highly problematic when the Chamber itself does not know the source of the information and is deprived of vital information about the source of the evidence.  In such cases, the Chamber is unable to assess the trustworthiness of the source, making it all but impossible to determine what probative value to attribute to the information.”  After the Prosecutor submitted additional information, the Court did confirm the charges. The resubmission referred to Amnesty International and Human Rights Watch reports, but only in scattered references, with witness statements making up most of the evidence.

Why not use the interviews themselves?  The answer is that the group conducting the interviews gave promises of confidentiality, and if those are not kept, it will make it difficult if not impossible for the group to continue its investigative work.  Their reputation as trustworthy is vital.  One option would be for the prosecutor to ask the group to secure the permission of the person interviewed to share the information; that is a burden that the group might not be willing to accept.  Alternatively, the group could provide information to the prosecutor to be used for background only, allowing the prosecutor to decide whether the information a person provided is so vital to the case that an effort should be made by the prosecutor’s staff to find the person and re-interview him or her and use the later interview as evidence.

But if groups cannot allow the raw interviews to be used for prosecution, will the groups preserve them?  They should, not only because the interviews provide the background to the published report but also because they could be used later by the group to try to determine what happened to the people interviewed during the crisis.  And, of course, they provide an incomparable record of what happened.  

That leads us to the final question:  when will scholars have access to the raw interviews?  This is a matter of timing.  We would all agree that records of interviews with people who were subjected to human rights violations by, say, Napoleon’s forces could be made available today.  We would probably be willing to open such records from World War I, as both perpetrators and victims are likely to be dead (see the Ireland entry below for an example of opening similar records from the early part of the 20th century).  But if we want human rights investigations to continue (and we do) and if there is a need to promise confidentiality to get information (and there often is), then we need to recognize that future access will be sure but not swift.  Anything else risks jeopardizing lives, the possibility of future investigations, and prosecutions.  http://www.icc-cpi.int/iccdocs/doc/doc1599831.pdf;  http://www.icc-cpi.int/iccdocs/doc/doc1783399.pdf; http://www.amnesty.org/en/library/asset/AFR25/006/2014/en/539616af-0dc6-43dd-8a4f-34e77ffb461c/afr250062014en.pdf .

November: Five years of HRWG News

This issue marks the end of five years of monthly publication of Human Rights Working Group News.  Here are a few thoughts about coverage since that first, brief issue of December 2009:

First, hacking and tracking:  reports of hacking, of systems holding personal information that have had unauthorized intruders, are so frequent that I have stopped reporting all but the largest or those that are in some way distinctive.  I do report on studies of the phenomenon; one is in the “general” section below.  Similarly, particularly since the revelations made by Edward Snowden in June 2013, there are so many stories on government surveillance that it is impossible to list them all. 

Second, although I report on the mishandling of large blocks of paper and audiovisual materials with human rights information, there are so many “I found a medical file on the side of the road” cases that I no longer list them.  It is hard to tell whether this seeming epidemic of mishandling physical records is because they are not electronic and therefore viewed as “old stuff” or whether there is simply carelessness unbounded. 

Third, there is a wealth of stories on the rapidly increasing use of satellite imagery to track conflict and physical facilities, often with remarkable results.  And the immediacy of the images flowing from conflict, picked up and retained outside the conflict zone, is also now a daily phenomenon.

Fourth, corruption, especially governmental, surely has at least secondary human rights implications (siphoning off funds that could be used for health programs, for example), but I list only stories that show a relatively clear link between the corruption and an issue that the Working Group follows.  I would be happy to hear contrary arguments about this practice.

Now some thanks:  first of all, to Cristina Bianchi, who for all five years has translated the News into French, and to Roman Lescano, who for the past several years has been translating it into Spanish.  They never complain about grammar or sentences that are too complex; they just do the job.  What a gift to us all.

Thanks, too, to Jens Boel, who sends the News out to a UNESCO mailing list; to Bryan Corbett, who makes sure the ICA listserve runs; and to all those people who repost the News. And thanks to all the people who have sent in items to be included.  More, more!

A big thank you to all those journalists and essayists and bloggers who write stories about human rights topics and to groups such as Amnesty International, Human Rights Watch, the International Center for Transitional Justice, and the International Crisis Group who investigate and report.  Thanks, too, to the news digests:  RAINbyte, Documentary Heritage News, Social Action Foundation for Equity, Eurasia Review and so many others.  None of this would be possible without your work. 

The News began as an effort to show the wide range of archives that are important to human rights and the diversity of issues that have an archival angle.  That has been easy, it turns out.  Government records are key, of course, but we have had stories on business records, archives of faith-based groups, medical records, items from colleges and universities, oral histories and maps and satellite images, databases and diaries.  The hard part is moving from observation to action, from knowing that the records are important to preserving them and making them available.  For that we have to rely on individuals being aware of human rights issues as they go about the regular business of the archival world.  We must rely on the practitioner, remembering always that human rights rest on records.

December: 2014 in review

A few of the stories we followed in the year 2014:

January.  Some 55,000 photographs, nearly 30,000 of which were taken and smuggled out of Syria by a Syrian police photographer of detainees who were killed, were reviewed by an inquiry team of three lawyers (two former chief prosecutors of the Special Court for Sierra Leone and the former lead prosecutor of the Slobodan Milosevic case at the International Criminal Tribunal for the former Yugoslavia) and three forensic specialists, who concluded that the photographs were authentic. 

February.  Agence France Press reported that declassified French documents show the “radioactive spread from French nuclear tests in Algeria in the 1960s” was much greater than previously acknowledged, stretching “across all of West Africa and up to southern Europe.” 

March.  Videotaped testimonies by prisoners “recorded on mobile phones, smuggled out of prison and obtained by journalists” include claims of torture and forced confessions and deplore the conditions in Egyptian prisons, reported Al Jazeera

April.  Irish Sinn Fein leader Gerry Adams was arrested by the Police Service of Northern Ireland for questioning about the 1972 murder of Jean McConville.  Information from oral history interviews held in the archives at Boston College was central to the arrest. 

May.  Judges at the Court of Justice of the European Union (ECJ) declared that Europeans have a “right to be forgotten.”

June.  The Swiss Cabinet announced “that it had removed access restrictions to archive files associated with capital and other export transactions with South Africa during the apartheid era,” reported swissinfo.ch

July.  The Council on Hemispheric Affairs, a U.S.-based non-governmental organization, issued a report on the unauthorized use of genetic material taken from the Huaorani people of Ecuador by U.S. scientists under questionable circumstances.  The Council wrote, “Fewer than 20 percent of the participants signed an authorization for the procedure, and all were further under the impression that their blood was being extracted to conduct personal medical examinations.” 

August.  The National Truth Commission in Brazil allowed Reuters to review documents providing evidence that businesses during the military dictatorship in Brazil “secretly helped the military identify suspected ‘subversives’ and union activists on their payrolls.” 

September.   During negotiations in Havana, Cuba, between the Colombian government and the FARC guerilla group, the FARC representative called upon the government “to open-up all the archives, to declassify and lift all the legal prohibitions covering the most responsible people, and to impede the destruction of archives that has been occurring,” reported telesurtv.net.

October.  Inter Press Service news agency reported that records published by India’s National Crime Records Bureau (NCRB) show that 92 women are raped every day, and in 3,860 of the 5,337 rape cases reported in the past ten years, “the culprits were either acquitted or discharged by the court for lack of ‘proper’ evidence.”

November.  The Punjab (Pakistan) government is computerizing its land records, but the Board of Revenue told the Express Tribune that it is “facing strong resistance from the land mafia and certain revenue functionaries.  In several districts, some records, including the register haqdaran zameen, field books, garwari, taghaurat and mutations, have gone ‘missing.’”

December.  The United Nations decided to open a new investigation into the death in 1961 of Secretary-General Dag Hammarskjold and asked member governments to declassify relevant documents.

Archival commentaries 2015

January: Preserving the records of temporary bodies

The world is awash in temporary committees, commissions, panels, and independent experts.  Look at, for instance, the United Nations and the Central African Republic (CAR).  In December 2013 the Security Council imposed a “sanctions regime” on the CAR and established a Sanctions Committee on the CAR as a “subsidiary organ of the Security Council.” It also created a Panel of Experts on the Central African Republic to monitor the implementation of the sanctions which was “home-based but maintained an almost permanent presence in Bangui throughout the investigation phase of its mandate.” At the same time, the Security Council asked the Secretary-General to establish an international commission of inquiry to “investigate reports of violations of international humanitarian law, international human rights law and abuses of human rights in the Central African Republic by all parties since 1 January 2013, to compile information, to help identify the perpetrators of such violations and abuses, point to their possible criminal responsibility and to help ensure that those responsible are held accountable.”  The Commission of Inquiry on the Central African Republic is supported by a Secretariat based in Bangui, established by the Office of the United Nations High Commissioner for Human Rights (OHCHR).  Meanwhile, in September 2013 the Human Rights Council created the post of Independent Expert on the situation of human rights in the Central African Republic, and through it all the United Nations peacekeeping force, MINUSCA, has been on the ground in the CAR for more than a decade.  All of these are non-permanent organizations.  http://www.securitycouncilreport.org/atf/cf/%7B65BFCF9B-6D27-4E9C-8CD3-CF6E4FF96FF9%7D/s_2014_762.pdf ; http://daccess-dds-ny.un.org/doc/UNDOC/GEN/G13/180/48/PDF/G1318048.pdf?OpenElement; http://www.un.org/en/peacekeeping/missions/minusca/mandate.shtml 

But it is not just the UN that has an affinity for temporary bodies.  For example, the United Kingdom currently has an Independent Panel Inquiry into Child Sexual Abuse.  The U.S. report on Agent Orange (see below) was the product of experts outside the U.S. government.  Google has an outside group looking at its privacy practices. The University of Oregon, following an unauthorized disclosure of records (see below) appointed an independent expert to review the case.   

There are many reasons an organization decides to appoint an outside group to look at a specific issue or undertake a particular task:  expertise, perceived independence from pressure, reputation, lack of adequate staff members to carry out the investigation along with their regular work.  But what does this mean for record-keeping?  If we look at the Central African Republic case, the Panel of Experts’ records clearly come under the Security Council, whose records go to the UN Archives in New York, as do the records of MINUSCA.  The Independent Expert’s records should go to OHCHR archives in Geneva.  The Commission of Inquiry, while established by the Security Council receives “secretariat” support from the Office of the High Commissioner for Human Rights, so its records could go either to New York or to the OHCHR archives in Geneva. 

But will the records of temporary bodies really end in the archives?  Almost all temporary bodies—whether appointed by the UN or a government or private organization—are unaware of the importance of their records.  The experts are normally very concerned that their final report is preserved, but they are anxious to complete that task and return to their usual responsibilities. In most cases, the experts have had no instructions on what to consider records, on the distinction between personal papers and official records, on what to do with the records at the end of the temporary mandate.  The consequence is that the records of closed temporary bodies often are difficult to locate, may be incorporated in personal papers, may be destroyed or even inadvertently made public prematurely.  Some government archives have basic rules of the disposition of records of temporary government bodies (see, for example, the U.S. disposition guidance at http://www.archives.gov/records-mgmt/grs/grs26.html and the older pamphlet “Managing the Records of Temporary Commissions”), but many probably don’t, nor do the private entities that create temporary bodies. 

Just as governments must manage records of transitional justice institutions such as truth commissions, any organization that creates a temporary body needs to ensure that rules for managing records are in place when the temporary body starts. The members of the body should know from the beginning who will be responsible for managing the records, how they should be organized, where they will be stored (including in the computer system to be used) in the short and long term, and how access to them will be controlled.  The experts and any staff members of the body should be informed that they are responsible for ensuring that the records they create or receive are filed in official records systems and managed accordingly. Archivists from the archives that will be the future home of the records should work with the members of the temporary body. These bodies may be temporary but their work can have a major impact on an issue, a state, or the world at large.  Archivists need to make sure the record of that work endures.

 

February: Records of prison architecture

Hoa Lo prison in Hanoi, Vietnam, is now a museum.  One wall displays an architectural drawing of the building as originally constructed by the French in the late 19th century, accompanied by a copy of a requisition for building materials.  In the center of the room is a large model of the building as it existed at its greatest extent (it expanded several times).  Hoa Lo is famous in Vietnam for holding Vietnamese political prisoners during the French colonial era; it is famous in the United States because it held U.S. prisoners captured during the war in the 1960s and 1970s (the prisoners nicknamed it the “Hanoi Hilton”).  It is special site.  Most of the prison, however, was torn down in the 1990s and in its place two high rise commercial towers were built.  The original design of the prison lives on only in the archival record.

Many types of prisons exist:  conventional prisons, military prisons, political prisons, concentration camps, psychiatric hospitals that hold criminally insane patients, juvenile “homes” or detention facilities (see the India item below), immigration detention centers that are essentially prisons (see the Australia item below).  Prisons may be constructed for the purpose or may be sites or buildings such as a school or warehouse that—particularly during conflict--are used as temporary prisons. While governments operate the majority of prisons and government archives have the majority of extant prison records, governments may also contract with private industry to build and run prisons.  The architectural records of these facilities would be records of whatever corporate body operates the facility; the contractor may or may not be required to send a copy of the architectural drawings to the government.  Architectural records of temporary and seized facilities would be held by the owner of the facility.

When archivists consider whether to retain architectural records, the main criteria—as discussed in the ICA publication A Guide to the Archival Care of Architectural Records, 19th-20th Centuries--are the aesthetic and historical value of the records to document the creative process, the profession of architecture, the history of the built environment, and urban and social history generally.  But the architecture of prisons also is important for understanding what happens within the prison:  from overcrowding to access to air and light to the ability of one prisoner to see what happens to someone else.  In prosecutions of prison guards and prison administrators, layouts of the prison facility can be important pieces of evidence.  For some cases former prisoners have supplied drawings of the layout of the prison as they remember it; at the International Tribunal for the former Yugoslavia a scale model was created of the architecture of the Omarska prison camp. 

Prison architecture is a particular concern for the organization Architects/Designers/Planners for Social Responsibility.  Its website http://www.adpsr.org/home/index provides useful background information for archivists who appraise the architectural record of a place of incarceration, whether a conventional prison or a detention camp.   When we look at these records, we need to think not only of the artistry of the architect but also the uses of the facility and the persons who were held there against their will.  Institutions and archivists should prevent the destruction of archives that are likely to contain evidence of the violation of human rights, including those of the architecture of prisons.

 

March: Saving satellite imagery

Ever since a man took a camera up in a balloon in the mid-19th century, we have had aerial photographs.  Cameras have gone aloft on kites, on all manner of aircraft, on rockets and with manned space missions, in satellites, in drones and even on the bodies of pigeons.  Mapping, surveying and monitoring are obvious uses of contemporary satellite imagery, and increasingly the human rights community is using this tool, albeit in a rather different way.  Satellite images of conflict zones are used to locate damage, search for missing persons, identify population and military movements, and monitor sites of special concern, such as cultural heritage locations. 

Just during the past year, HRWG News has reported the use of satellite photography to document forced eviction of persons living around a mine in the Democratic Republic of Congo (issue of 2014-12), estimate the number of deaths at a protest in Cairo in 2013 (2014-08), show deforestation and forced resettlement of indigenous people in Ethiopia (2014-02), identify mass execution sites in Iraq (2014-09), document war crimes in South Sudan (2014-08), demonstrate that the military are building structures for themselves but not for refugees in the northern part of Sri Lanka (2014-08), analyze the destruction at medical facilities in Aleppo and Damascus, Syria (2014-06) and determine the habitation of a prison in Turkmenistan (2014-09).  Clearly imagery is an important, versatile new tool.  However, as Human Rights Watch noted when it used satellite images to document a systematic campaign of arson directed against the civilian population in northern Nigeria (2015-01), satellite images do not reveal deaths or injuries but when no other information is available “credibly used satellite imagery is the closest we will get to the truth.” 

The growing use of this technology in conflict analysis led the American Academy for the Advancement of Science to issue “Satellite Imaging of Cultural Sites in Conflict:  A Cautionary Note.”  After noting the easy availability of high-resolution commercial satellite images, AAAS wrote, “Researchers and others using this type of information-gathering in sensitive and volatile situations, such as the current conflict in Iraq, face ethical questions related to the public disclosure of such information.  They must also consider the technical limitations of satellite technology in analysis.”  They warn that even with high-resolution imagery, some objects may appear undamaged if they are small or under cover (such as under trees) and therefore “reports of damage may be unverifiable using satellite technology alone.”  But a more serious warning is on disclosure of information gained from the analysis of satellite imagery:  “all parties should consider the following questions at a minimum, particularly concerning cultural site analysis in Iraq, when weighing the impact of disclosing research findings:

“What does the affected population gain by our activities?

“What might be the unintended negative consequences of our activities for people’s security, and how can we avoid or minimize these consequences?

“Do the activities take into consideration possible protection threats facing the affected population? Might they undermine people’s own efforts to protect themselves?

“Could the activities inadvertently empower or strengthen the position of armed groups or other actors?”

AAAS invites individuals or organizations to endorse this cautionary statement.  http://www.aaas.org/page/satellite-imaging-cultural-sites-conflict-cautionary-note

Archives acquire satellite imagery from many sources:  military units, mapping services, aerospace companies, geographical and geophysical organizations and their counterparts in universities and research institutes, and now from human rights organizations.  The kinds of access questions outlined above echo the concerns archivists have about some uses of aerial photographs and satellite imagery.  When I worked at the U.S. National Archives, which has enormous holdings of aerial and satellite images, a researcher came and asked to see aerial photographs of remote regions of a country well known to have a problem with thefts of antiquities (for a current example, see the story of the statue of a Buddha stolen in 1995 from a village in China—confirmed by local archives--that has now turned up in Budapest http://news.xinhuanet.com/english/2015-03/22/c_134087352.htm ).  We made the records available, but I have always wondered whether we abetted plunder.  As archivists we cannot and should not police the subsequent use of records by researchers.  But we do need to think carefully about the kinds of questions AAAS raises when we make decisions about our use of our holdings in publications, exhibitions, and online portals.  Archives are neutral; the use of them is not.

 

April: Statistics and data collection

“There are lies, damned lies and statistics” is an old saying.  April seems to have been the month of statistics, as readers will see in the items in this issue.  Partly this is the result of northern hemisphere organizations publishing a winter’s worth of work; partly, too, it reflects the United Nations spring meetings and the flood of reports from both UN groups and NGOS that accompany them.

Some statistics are the planned result of an activity:  actively collected like a national census or automatically captured like monitors measuring earth vibrations.  These data sets, created in the course of business, are part of the records of the creating entity. In this issue is an item based on the use of collected statistics by researchers in Mexico to look at rates of violence in certain parts of the country and a report about data being collected automatically by insurance companies on policy holders.  Some datasets are reported to and used by other organizations:   the World Bank’s economic research arm collects datasets on economies all over the world, for example.  These secondary users often preserve the datasets and may combine them with other data, but the original collector remains responsible for their archival preservation. 

Other statistics are derived from records whose primary purpose was not data collection.  In this issue are items about a media group using records of complaint investigations about child care facilities in California, a research group in the Netherlands using death certificates to examine end-of-life care, and researchers in Canada using immigration decisions and finding statistical “institutional bias” against Roma refugees seeking residence in Canada.

“Lies and damned lies” surfaced in April, too.  Reuters pointed out the serious problem of missing data on women over 49 in surveys in many countries, and the Overseas Development Institute reported that the poorest people are undercounted worldwide.  Amnesty International Canada faulted the police statistics on missing and murdered indigenous women and girls, and the World Health Organization said the statistics on the use of caesarean sections are inadequate due to lack of a standard way of gathering information.

After a series of police killings of black men, the United States has an ongoing debate about the accuracy of police records and the statistics derived from them.  The New York Times published two reports on the problem of “scant data” about police killings: “Under current federal laws, there is nothing requiring any of the 18,000 police departments and other law enforcement agencies across the country to report to the public or to the Justice Department anything about shootings involving officers.”  That information is kept locally, and compiling that data “is one of the first things the Justice Department does when it investigates a police department for civil right abuses.”  Civil society has begun to independently track police homicides nationwide, using mostly media reports that volunteers then compile into online databases.  Two of these, reported the Times, recorded about 1,100 police-related homicides in 2014, about double that reported to the FBI in 2013 but apparently roughly the same number from one year to the next.  The Times says the data “suggests that any perception that higher numbers of unarmed African-Americans are being killed by the police is recent months is driven by citizens’ posting of unsettling cellphone videos and images.”  The National Law Enforcement Officers Memorial Fund, also a private group, keeps data on how often people shoot police officers, the other part of the picture.  Clearly the U.S. needs to reform both its police practices and the records and statistics kept about them. http://www.nytimes.com/2015/04/09/us/us-has-limited-data-on-shootings-involving-police.html; http://www.nytimes.com/2015/05/01/us/no-sharp-rise-seen-in-police-killings-though-increased-focus-may-suggest-otherwise.html?_r=0

T.S. Eliot called April “the cruelest month.”  Do you suppose statistics would bear him out?

 

May: Draft Basic Principles on the Role of Archivists in Support of Human Rights

In June 2014 the Human Rights Working Group, with the approval of the ICA Executive Board, posted on the ICA website the draft document, Basic Principles on the Role of Archivists in Support of Human Rights, for six months of public comment.  An open session on the draft was held at the ICA’s 2014 annual meeting in Girona, Spain.

By January 2015, 26 responses were received: 12 responses from the archival world (2 archival institutions, 2 archival associations, 3 groups of individual archivists, 7 individual archivists, and the ICA Section of Professional Associations); 11 responses from NGOs in the fields of freedom of information, good government and human rights; and 1 response from a professor of government and 1 from a person who did not identify his affiliation.  In total, 136 separate suggestions were made.  They varied enormously; For example, one suggested that too much reliance was placed on international instruments while others said additional international instruments, including regional ones, should be referenced.  Among the repeated suggestions were to clarify to whom the document is addressed, to state whether the Principles are facts or goals, to provide definitions of terms used, and to tighten the language in both the Preamble and Principles.  SPA and the associations recommended expanding the text to include records managers and records management issues.  Several commentators were concerned about the language of the “whistleblower” provisions.

The Working Group met in January and, based on the comments, decided that the Basic Principles needed a major revision.  For each Principle we added a paragraph clarifying what the principle means and what international authority undergirds it. We reduced the Principles by one, reduced the number of sections from six to five, and revised all the language, with special efforts to clarify the provisions on whistleblowers and on displaced archives.  We added two annexes: definitions of the terms used in the Basic Principles, and a list of international treaties, covenants, agreements, opinions and related matter that serve as foundation for the Basic Principles.  We sent that draft (version 10) to the Executive Board for consideration at its April meeting, with the suggestion that this revision be posted for a second round of comment.

The Executive Board returned the draft to the Working Group asking for further amendments, specifically to incorporate the records management dimension more fully in cooperation with the ICA’s new Expert Group on Records Management and to consider whether the Basic Principles should also cover “archives at risk.”  The Working Group was asked to prepare a revision to be submitted for discussion by the ICA’s Programme Commission at the ICA’s September annual meeting in Reykjavik.  Work on the revision has now begun.

Although the current version will not be posted to the ICA website, it is available in English, French and Spanish to anyone who would like to comment on it.  If you have commented before, you will want to look at the changes. The Working Group would especially appreciate suggestions on language to incorporate records management concerns, as well as whether the Basic Principles should discuss the responsibility to protect archives at risk from global warming, war or depredation.  For further information or for copies of the current version (please specify language) write to either archivesthp@aol.com or giulia.barrera@beniculturali.it.

June: Marriage records

In September 2014 a U.S. woman and her Canadian husband filed with Citizenship and Immigration Canada a “spousal sponsorship application for her immigration to Canada.” They submitted a 532 page package of documents, including “6 pages of wedding receipts, 18 pages of congratulatory wedding cards, 30 pages of wedding photos, 21 pages of plane tickets, 39 pages of emails, 29 pages of cards and love letters, 57 pages of Facebook history, 36 pages of Skype and FaceTime records, and 137 pages of iMessage chat logs,” reported the Hamilton Spectator.  However, in May 2015 Canadian “immigration officials requested additional proof their marriage is legitimate.” http://www.thespec.com/news-story/5692350-proof-of-love-for-immigration-canada-532-page-report-isn-t-enough/

At first glance, the package this couple submitted seems extraordinarily complete.  But a second look shows that the couple did not submit a copy of either a marriage license (a document giving a couple permission to wed) or a marriage certificate (a document attesting to the completion of the civil contract of marriage).  While Immigration Canada, following press inquiry, has made a determination in the case (the nature of the decision was not known when the press wrote the story), if this couple had provided a legal document showing their marriage in New York State, it surely would have made their case easier.

For much of human history and in parts of the world today, marriage was and is a contractual arrangement between families, clans or even political entities, rather than a contract between two individuals.  And while many of the countries that were British colonies, such as Canada, recognize common law marriage (that is, a couple that lives together in an arrangement like marriage, holds themselves out as married, but has not had an actual marriage ceremony or obtained legal documents), documentation of the relationship is ever more important in today’s legally-bound world.  Why?  One measure is the rights and benefits that accrue to the married couple.  For example, in 2004 the U.S. Government Accounting Office examined the United States Code to determine the federal rights, responsibilities, and privileges that were provided to married couples. The study identified a minimum of 1,138 statutes in which marital status was a factor. On the state and federal levels, these rights, privileges, and obligations affect areas including family law, taxation, health care law, probate, torts, government benefits and programs, private sector benefits, labor law, real estate, bankruptcy, immigration, and criminal law. http://www.gao.gov/new.items/d04353r.pdf  Another matter is divorce.  As lawyers point out, a usual contract between two persons can be broken by the action of either of the parties; however, in a marriage with a contract that involves a third party (the state or the religious authority that certifies the marriage), that third party also must participate in dissolution of the contract (divorce).  One legal document (the divorce decree) cancels another legal document (the marriage certificate).

The right of same sex couples to marry was the subject of a major case decided by the U.S. Supreme Court in June, which ruled that a “fundamental right to marry” can no longer be denied because the partners are of the same sex.  This affirms Article 16 on the Universal Declaration of Human Rights, which says in part 1, “Men and women of full age, without any limitation due to race, nationality or religion, have the right to marry and to found a family. They are entitled to equal rights as to marriage, during marriage and at its dissolution.

So whether the record of marriage is in a government archives, an archives of a faith-based body, or in a tribal archives, whether it is a record of a marriage between a man and woman, a man and a man, or a woman and a woman, it is a record of truly significant for the human rights of the persons whose names appear on it.  Vital records, in every sense of the word.

July: Documenting the trail of a looted object

Looters at Maya sites in Mexico and Moche sites in Peru.  Missing pieces at Angkor Wat and its surrounding temples, where ugly slashes show that something was ripped from a wall.   Islamic State fighters allegedly selling items taken from archeological sites and institutions like the Mosul Museum.  We are heart-sick at these stories.  Surely these are crimes against the heritage of us all.

The New York Times ran a long article on an art dealer, Subhash Kapoor, who is awaiting trial in Chennai, India, on charges of theft and smuggling an almost unimaginable 2,662 Indian items which he sold or was planning to sell in the United States, Australia or Singapore.  Apparently the police case began when a man in Singapore saw a catalog from Kapoor’s gallery and noticed that he was selling “an extraordinary number” of Indian items.  He alerted the Tamil Nadu, India, police department, who alerted U.S. law enforcement.  An arrest warrant was issued by India, which was executed by German officials because Kapoor was in Frankfurt at an exhibition, and he was jailed in Cologne until extradited to India.  After obtaining search warrants, the U.S. and Indian investigators “compiled an enormous dossier against Mr. Kapoor:  emails and databases seized under search warrants; bank-transfer records and shipping forms, the testimony of former associates.”  http://www.nytimes.com/2015/07/26/arts/design/the-ultimate-temple-raider-inside-an-antiquities-smuggling-operation.html?_r=0 

The Times followed the movement of one stolen 11th century A.D. bronze saint from its original location in Tamil Nadu to its sale in New York City.  The detail the Times published allows a look at the variety of records that could be used to document the stolen item:

1.     The statue is in a temple in a village 200 miles southwest of Chennai.  Tamil Nadu statues in that region “had been photographed in the 1960s by French archivists from a scholarly institute in India.”  Records of an academic institution.

2.     The statue is stolen in 2006 and delivered to “the owner of an art gallery in Chennai.”  He pays the thieves $3000; perhaps cash transfer to thieves but a record in the gallery’s bank account.

3.     The gallery “alerts” Kapoor it has the statue.  Probably email business records at both the gallery in Chennai and at Kapoor’s gallery in New York; perhaps also telephone call connection records captured the U.S. National Security Agency for a foreign call.

4.     Chennai gallery owner gets export approval for the statue.  “The gallery owner shows Indian export officials fake cargo forms” and the officials certify the cargo as “handicraft products” to be delivered to Nimbus Import Export Inc. in the U.S., which is owned by Kapoor.   Records of the Indian government; also a copy in the business records of the gallery in Chennai; probably a copy to Kapoor.

5.     Chennai gallery owner engages a Chennai export company to take the boxes to a German-registered freighter for transport to New York.  Business records at the gallery, the export company, and the freighter’s company.

6.     Statue arrives at port in U.S.  Freighter provides the “bill of lading” to U.S. Customs.  Records with the U.S. government, the freighter company, and probably a copy to the export company and/or the gallery in Chennai to say the crate arrived.

7.      U.S. Customs sends notice (paper, email) to Nimbus in New York to say cargo cleared for release.  Records with Customs and Nimbus.

8.     Nimbus collects cargo.  Signs paper receipt for the crate; copies for both Customs and Nimbus.

9.     Nimbus delivers to Kapoor’s gallery.  Probably email, Kapoor to Chennai galley, saying crate arrived.  Kapoor enters the statue in business inventory records, probably a database.

10.  Eight days after receiving the statue, a collector buys it.  Kapoor provides the buyer “with phony documentation, including a fake letter of provenance signed by an associate in Singapore who owns an art company.”  Sale record in gallery’s business records; copies in both Singapore and New York of exchange of correspondence between Kapoor and Singapore associate; record of payment in banks of buyer and seller; documentation in private papers of buyer.

11.  Kapoor wires money from his account at HSBC Bank in New York to the owner of the Chennai gallery via Hong Kong.  Business record of payment in Kapoor gallery; records of receipt of money in business records of Chennai gallery; bank records of money transfer; probably email exchanged announcing sale.

So for this case we have relevant records from at least seven businesses, three governments, and an academic institution and two sets of personal papers (the man in Singapore who noticed the unusual sales and the buyer in New York).  Archives clearly are an essential part of the evidence that protects cultural heritage and helps prosecute those who would convert the common heritage of all humanity to private gain.

August: The need for archival safe havens

All summer we have been consumed by the pictures of refugees:  Haitians fleeing the Dominican Republic, Rohingya from Myanmar dying in Thailand, waves of unsafe boats in the Mediterranean carrying people to European shores, the sad spectacle of refugees walking from Budapest to the Austrian border.  Humanity despairs at the exodus.

What would you take if you had to flee your home because of war or weather, poverty or plague?  You would probably take an identity card of some sort:  a government-issued card, a passport, a driver’s license, a social welfare card, a workplace identity badge.  You would take money or the documents that allow you to get money (bank cards, account numbers).  You might take a photograph or two of those you love.  If you were worried that your home might be harmed, you might take a document showing your ownership or your right to live there, but you would have to be thinking ahead to grab that.  You might take a marriage license or a birth certificate for your children; you might take something from a doctor showing what medical condition you have and what medicines you take.  You would probably clutch a document giving the name and address of a relative living in another country, if you have one.

You would be lucky to cross a border with all those documents.  They might be damaged in a rainstorm, lost when a boat sank, seized by border guards who want to strip you of your identity, as Serbian officials did when Kosovars fled into Macedonia in 1999.  And if you arrive without any identification, the country where you land will need you to swear who you are and, if possible, get another person or two to also swear that you are you.  And they will give you an identity document.

When the crisis is over, you may want to go home and reclaim your apartment, your job, your right to a pension, your health service.  But what records will exist to support your claims?  Have the records of the government, the business, the health service survived or were they destroyed in the crisis?  Here is where the need for archival safe havens comes in.  In countries where the risk of damage to archives is great, whether from war or global warming, archivists need to find a trusted repository in a safer location that will hold a security copy of the institution’s most important archives.   

The problem, of course, is having a copy that can be sent away for safekeeping.  Most archives are not digital, and embarking on a digital copying program in the face of looming disaster is unrealistic.  Shipping original non-digital records is a massive job that can only be undertaken with the help of major transportation services, which are not often available in times of crisis.  Archivists who believe their holdings are in likely to be in danger in the future need to take steps now, identifying which records are the most important (with particular emphasis on records that support human rights claims), and embarking on a digital copying project for them. 

Archivists in safer countries around the world should examine their mandates and their consciences and see whether they can offer a safe haven for digital copies (or, if they exist, microfilm copies) of archives that are at risk.  This is entirely different from having a copy and making it available for research use; this is a service equal to an archival safety deposit box in a bank, holding materials that you preserve safely on behalf of other archivists who make the decisions on access to them and can recall them if needed.  Archives are a global public good.  We archivists must manage their security and preservation together, for the benefit of us all.

 

September: Human Rights Working Group news

No commentary; instead news of the actions taken by the Human Rights Working Group at the International Council of Archives

 

October: Archives and corporate social responsibility

Have you ever taken Tylenol for a headache?  Have you ever used gasoline pumped from the ground by Exxon?  Do you live in a country where the government has made a large land sale to a private investor, either domestic or foreign?  If so, stories on all of those are found in this issue.

The fact is that the corporation, particularly the transnational corporation, is a primary shaper of today’s global economy, with powers and policies that affect people around the world. As firm size increases, more of us are affected by the actions of a single company, often located outside our borders. States regulate corporate business, and corporate powers and political systems are often linked, for good or ill.

Corporate social responsibility is the focus of the United Nations’ “Guiding Principles on Business and Human Rights:  Implementing the United Nations’ ‘Protect, Respect and Remedy’ Framework,” which was endorsed by the United Nations Human Rights Council in June 2011.    The Principles rest on three “pillars”: 

1.     the state’s duty to protect against human rights abuses by third parties, including business;

2.     the corporate responsibility to respect human rights; and

3.     greater access by victims to effective remedies, both judicial and non-judicial. 

Archives are central to the ability of corporations to comply with the Guiding Principles.  During the recent ICA annual meeting, the Section of Business Archives (SBA), the Section of Professional Associations (SPA) and the Human Rights Working Group (HTWG) held a joint meeting on the Guiding Principles and the role of archives and archivists in business settings.  Facilitated by two staff members from swisspeace, a nongovernmental organization, the outcomes of the meeting were:

1.      SBA with HRWG will consider drafting a statement on the importance of business archives to enable corporations to fulfill their roles under the Guiding Principles, with the hope of submitting the statement to the UN Forum on Business and Human Rights.  The Forum is held each year and is open to all stake holder groups to discuss the progress on implementation of the Guiding Principles.  SBA plans to look at corporate social responsibility and sustainability indexes at its 2016 meeting.

2.     SBA may also ask members whose multinational corporations have subsidiaries in Africa how records are managed in their subsidiaries and suppliers.

3.     All three bodies will work together to develop a pilot project for understanding the needs of local businesses in Africa for recordkeeping and information management assistance and training.  This would be a grassroots effort to identify large local companies, ask each of them who manages their information and where that person is located in the organization, hold an informational meeting, and develop basic guidance on topics and process identified by the participant.  It may be possible to link the pilot to ICA’s Africa Strategy and to be able to pay a local person to organize the pilot.

If you are interested in working on one of these projects, please contact the chair of either SBA, SPA or HRWG. 

November: Climate change and the threat to archives

If you take the road from Laura (a village named by U.S. sailors after the World War II movie star Lauren Bacall but misspelled) around the atoll to Majuro, the capitol of the Republic of the Marshall Islands, to your right is the Pacific Ocean splashing on the rocks and to your left is the lagoon, hosting half a dozen Japanese fishing boats waiting to load catches of prize yellow fin tuna and barracuda and swordfish.  The road gets some shade from palm trees and pandanus, but the stretch of land is so narrow that you can usually see both ocean and lagoon by simply turning your head.  And while it sounds like a postcard paradise, it is an Eden under threat from global warming:  sea level rises and storm surges could merge the lagoon and the ocean, no matter what sea walls are built. 

Small island nations are vulnerable.  The Marshall Islands average of 2 meters (6 ½ feet) above sea level and already are subject to violent erosion.  A sea level rise of even half a meter would put small island nations like Tuvalu, the Marshall Islands, Kiribati and the Maldives “in existential danger,” according to the Climate Institute. http://www.climate.org/publications/Climate%20Alerts/Autumn2009/HighStakesforSmallIslands.html  The president of Kiribati just bought eight square miles of land in Fiji to relocate his population as necessary http://thinkprogress.org/climate/2014/07/01/3455135/island-bought-land-to-escape-climate-change/  On these islands today there is no safe place for archives.

And yet the people who live on these threatened islands create and need to preserve the records of their governments and their larger documentary heritage.  UNESCO recently adopted a policy paper on preserving documentary heritage (see below) and the climate conference in Paris secured promises from 196 countries to take measures to reduce global warming.  But no one can predict how successful the Paris agreement will be, and it is prudent to assume that for the near future we will see continued global warming, with intensified storm surges, coastal flooding, and coastal erosion.

The problem of safety of archives in states threatened by climate change cannot be solved by the affected nations alone.  UNESCO is thinking about archives at risk, and that effort should have a special track for the archives that are endangered by climate change.  For the low-lying nations, the only obvious protection for their archives is to place a digital security copy of their most important records in another geographic location.  In conversations in November with both UNESCO and the International Council on Archives, we discussed the possibility of convening a joint meeting of the national archivists of the nations in danger from countrywide climate change, with a special focus on island nations, and the institutions willing to be receiving institutions, in order to work out strategies for preservation.  We need to move forward—together.  We need to move forward—now.  Seas don’t wait.

December: 2015 in review

2015 was a year of horrific videos:  Islamic State videos of beheadings; police camera videos of violence on the streets of the United States; media images of refugees coming ashore in Greece.  It was a year in which truth commission reports were issued (Canada, U.S. State of Maine), new truth commissions were promised (Sri Lanka, Colombia, Panama), and archives began to accept the records of completed truth commissions (Brazil, Canada).  Old archives were used to reopen old cases (Chile, Peru).  Satellite imagery continued to be an important tool for human rights investigations: crowd sourcing using satellite imagery to map child trafficking in Lake Volta region of Ghana, haunting images of destruction of cultural heritage sites in Iraq and Syria and of Nigerian towns set fire by the Boko Haram rebel group.  Medical records were used in Guinea to determine the numbers of wounded during post-election violence; an increasing number of businesses found themselves confronted with documentation on their practices that had a negative impact on human rights.  Quite a year.

Looking over the 2015 issues of HRWG News, here are a variety of other stories:

January:  A court in Guatemala convicted Pedro Garcia Arredondo, former head of a special investigations unit of the police, of homicide and crimes against humanity for his leadership of the 1980 siege of the Spanish Embassy during which 37 protesters and hostages died.  Video footage proved Arredondo was present at the Embassy during the siege and historical archives of the National Police identified those responsible for the operation as Arredondo and two others. 

February:  The first child in Bosnia was registered with the nationality “Bosnian.”  When the parents went to register the birth with the municipality, they were told “Bosnian” was not acceptable and he must be “Bosniak, Croat, Serb or Other,” but at the end of January the municipality “decided there were no legal restrictions preventing anyone from being registered as a Bosnian.”  The parents and the other children planned to reregister as Bosnians also “to fight a system that is based on ethnic divisions,” the father said.  

March:  Iceland is well known for its nationwide program to obtain DNA information on its population.  Geneticists are pairing the DNA results with national genealogy databases to look for diseases that are unusually common in relatives—a sign that they share a genetic mutation. 

April:  Pope Francis ordered the Vatican to open its files on Argentina’s military dictatorship (1976-1983) during which an estimated 20,000 people were made to “disappear” by the regime. 

May:  Researchers studied death registries in southern European countries to establish how many migrants have been recorded as dying in transit. They discovered that only 40% of the bodies of migrants found since 1990 have been identified.

June:  The International Committee of the Red Cross opened its archives for the period 1966-1975, covering the Nigeria-Biafra War (1967-1970), the Vietnam War (1964-1975), the military junta in Greece (1967-1974), the coup against President Salvador Allende in Chile (1973), the ICRC’s work in South Africa during Nelson Mandela’s detention, the Cyprus conflict, and the wars of independence in Mozambique and Angola.  An estimated 97% of all files are open.

July:  The United Nations’ Independent Panel of Experts issued its report on the 1961 plane crash that killed UN Secretary-General Dag Hammarskjold and 15 other passengers.  The panel said it found “significant new information” that the plane was brought down by “aerial attack or other interference.”  Neither the United States nor the United Kingdom provided access to all the archives that the panel requested, and the panel urged further disclosures of information by UN member states. 

August:   The United Nations Relief and Works Agency for Palestine Refugees in the Near East (UNRWA) reported that for the first time in five decades, mortality rates increased among Palestine refugee newborns in Gaza.  To get the data, UNRWA asked all mothers who had more than one child and who came to one of the 22 UNRWA health centers to register their last-born child for immunization, to tell them whether their preceding child was alive or dead.  The information from interviews with 3128 mothers was documented on data collection sheets and used with “child health records and antenatal records” to determine mortality rates.  The researchers concluded that “inadequate neonatal care” is contributing to the sad trend. 

September:  Taiwan issued new court regulations to ensure that video footage, audio recordings and written court transcripts of cases where prosecutors are seeking the death penalty or life imprisonment are stored permanently in the central archives and is made available to defendants on request. 

October:  Tanzania launched a nationwide drive to help parents register their children's births by mobile phone. A health worker will send the baby's name, sex, date of birth and family details by phone to a central data base and a birth certificate is issued free of charge within days. 

November:  Algeria’s former counter-terrorism chief, who was responsible for leading a war against various groups that lasted over 20 years, was sentenced to five years in prison for breaching orders and destroying documents.

December:  Since March, when Syrian opposition activists posted online thousands of post-mortem photographs smuggled out of the country by a police photographer who defected in 2013, families of the missing have been looking for the fates of their loved ones by sifting through the grim photographs.

Archival commentaries 2016

January: Archives and anti-corruption investigations

It was a gift, said Malaysia’s Attorney General.  A gift of nearly $700 million transferred in March 2013 from Saudi Arabia’s royal family to the personal bank account of Malaysia’s Prime Minister.  And, said the Attorney General, the Prime Minister gave all but $61 million of it back!  And, even more curiously, “the Saudis asked for nothing in return for the gift.”  The Attorney General ordered Malaysia’s anticorruption body to close its investigation into the case.  The records of the closed investigation should go to the National Archives for safekeeping. (For story, see  http://www.marketwatch.com/story/skepticism-over-Malaysia-PMS-700-Million-gift-from Saudis-2016-01-26)

As fascinating as the Malaysia situation is, it is hardly the only current government corruption allegation.  Nigeria has an investigation in progress of alleged massive fraud in arms procurement, and the former head of the air force has been arrested.  A massive scandal in Guatemala has both the former president and the former vice-president in jail.  Corruption in Ukraine was a factor in the Maidan revolution  (remember the former president’s lavish estate and the documents found there).  Alleged corruption in countries on every continent, it seems.

 Archives clearly have a very important role in anticorruption investigations, both as evidence of the alleged corruption and as evidence of the prosecution, whether weak or robust.  But what does anticorruption have to do with human rights?  Many kinds of corruption exist, of course, from the free lunch for the restaurant inspector so he won’t turn in an unsanitary kitchen to percentages of the money in a government contract paid into a personal account.  But no matter what kind of corruption it is, it affects the human rights of people living in the country in at least two ways.  First, some corruption directly affects people exercising their rights.  Think, for example, of government forces, police or military, protecting a big private company’s mining operation and beating protesters whose homes and health are at risk from the mine.  Or the case of bribes to allow shoddy and dangerous products into the marketplace or to price essential goods or services beyond the reach of most people.  Second, corruption takes funds away from the resources available to the government, which means inadequate money for schools, health services, honest judicial systems.  For all those reasons and more, records and rights, corruption and anticorruption, all belong in the same sentence.

 

February: Trustworthy records

According to Greek historian Diodorus Siculus (who lived in the first century BCE), the Acadine fountain in Sicily had magic properties. Writings were thrown in to it to be tested: if genuine, they floated; if spurious they sank to the bottom.  For over 2000 years people have been trying to figure out what writings to trust.

The trustworthiness of records was in question in a number of news items in February.  Most startling, perhaps, was the story that the U.S. Central Intelligence Agency sometimes plants false documents in its internal files to mislead its own staff.  A false declaration that two children were abandoned and were therefore eligible for international adoption is at the heart of a case referred to the Inter-American Court for Human Rights.

Then there were stories about the creation of false or misleading statistics. Takata Corporation apparently reported false test results on its deadly auto air bags. A police office in New York City is challenging the police department’s pressure to arrest people for minor offenses to keep statistics sup and avoid “dragging down the arrest rate.” http://www.nytimes.com/2016/02/21/magazine/a-black-police-officers-fight-against-the-nypd.html  Colombia is still coping with the “false positives” scandal that blew open in 2008 when the public learned that members of the military killed poor or mentally impaired civilians, dressed them as guerrillas, and presented the bodies as those of persons killed in battle to inflate body counts, to make it appear that  the military was winning the internal war, and perhaps to receive personal rewards.  The “body count” statistics in the Colombian military records were wrong. (http://colombiareports.com/false-positives/). 

Another trustworthiness question arises when a person argues that a record about him or her is not accurate or is misinterpreted by the public. Ali Bongo, the president of Gabon, is arguing that his birth certificate is not accurate. Lech Walesa insists that the recently-released file on him does not prove that he collaborated with the Communist-era secret police in Poland.  And so on.

Archivists routinely provide certified true copies of records in their holdings. They always caution requesters that a true copy does not mean that the information in the item is true.  As we move further into the era when electronic manipulation of documents is routine, insisting that a true copy is just that—the truth is the copy not the information—will be harder but more important to reaffirm, particularly when the document can be used for human rights purposes.  Unfortunately, we don’t have a magic fountain in archives.

March: The Universal Declaration of Human Rights and draft Basic Principles on the Role of Archivists in Support of Human Rights

The vote was unanimous:  the Universal Declaration of Human Rights was adopted.  Eight states of the new United Nations abstained that December day in 1948, but no one said no.  After the ghastly years of World War II, support for human rights was universal.

The problem was that the Declaration was just a declaration:  it had no enforcement mechanism.  So shortly after the Declaration was adopted, the United Nations decided to give it the “hard legal form of an international treaty,” as the eminent German jurist Christian Tomuschat explained. (http://legal.un.org/avl/pdf/ha/iccpr/iccpr_e.pdf) To that end two covenants, one on civil and political rights and one on social and economic rights, were developed and opened for signature in December 1966.

Today the International Covenant on Civil and Political Rights (ICCPR) has 168 state parties.  Almost every state of members of the International Council on Archives is a signatory.  The International Covenant on Economic, Social and Cultural Rights has slightly fewer parties—164—but again these include the great majority of member states of the ICA. https://treaties.un.org/Pages/ViewDetails.aspx?src=TREATY&mtdsg_no=IV-4&chapter=4&lang=en; https://treaties.un.org/Pages/ViewDetails.aspx?src=TREATY&mtdsg_no=IV-3&chapter=4&lang=en; http://indicators.ohchr.org/  

While all the Articles of both Covenants have strong archival implications, just as each Article of the Declaration does (see discussions in HRWG News, December 2009 through July 2012), Article 19 of the ICCPR has special importance for archivists.  In its entirety, it reads:

1. Everyone shall have the right to hold opinions without interference.

2. Everyone shall have the right to freedom of expression; this right shall include freedom to seek, receive and impart information and ideas of all kinds, regardless of frontiers, either orally, in writing or in print, in the form of art, or through any other media of his choice.

3. The exercise of the rights provided for in paragraph 2 of this article carries with it special duties and responsibilities. It may therefore be subject to certain restrictions, but these shall only be such as are provided by law and are necessary:

(a) For respect of the rights or reputations of others;

(b) For the protection of national security or of public order (ordre public), or of public health or morals.

Archivists are people who “receive and impart information and ideas of all kinds.”  As item 3 says, managing this right “carries with it special duties and responsibilities.”  There may be “certain restrictions” when receiving and imparting information, and archivists are well aware of the difficulties we sometimes have when confronted with rights-based questions.

To support archivists handling these issues, the Human Rights Working Group proposes the adoption by the International Council on Archives of the “Basic Principles on the Role of Archivists in Support of Human Rights.”  For those of us who live in countries that are parties to either or both Covenants, the “Basic Principles” do not introduce any new responsibility for archivists, but they make us aware of responsibilities we already have.  The “Basic Principles” are, in fact, a restatement in archival terms of the duties that archivists bear and the rights we have, deriving from the Covenants and other human rights treaties.  For those of us who live in countries that are not parties to these Covenants, the “Basic Principles” can be considered ethical guidelines, which complement our ICA Code of Ethics and are a logical consequence of the Universal Declaration on Archives, adopted by ICA and endorsed by UNESCO.  And for all of us, they are a useful tool, reminding us of our role in supporting the world community of rights.

April: Privacy, access, technology

I know the names of three people who had leprosy in 1970.  Should I?  Probably not.  I came across the names as I was browsing through a body of records that had been digitized and put on line by a library.  The people named may or may not be alive, but their descendants could easily be living, and given the stigma that leprosy still has, they probably would not be happy to know that a perfect stranger in a different country knows that.  It would be even more problematic, and probably deeply distressing, if someone they know—say, a school classmate—found that information. 

How did this happen?  Apparently the library had the documents on microfilm, and with the permission of the country from which the microfilm was obtained, the library digitized the film.  I assume that the film was freely available in the past to anyone who came to the library, a policy that privileged those who lived near the library or had the money to travel to it.  But it did not protect the sensitive information:  only making a decision not to provide access to the film could do that.

The original error with the records of the lepers was to film the information and make it available.  Once a page is on microfilm, it is difficult to withhold it from a user without either withholding the entire roll of film or splicing out the image to be withheld. (I remember an exasperated archivist demanding, “What am I supposed to do—stand behind the researcher and pull the plug when he gets to the closed page?”)  It is different with digital materials, as we all know.  Withholding a digitized item is simply a matter of replacing the image with a digital withholding notice.  But that means the library or archives should review the digitized images and make access decisions before popping the images on line.

What about the argument that once an item is disclosed it should continue to be disclosed?  As Google found out, the European judiciary certainly doesn’t believe that (for a thoughtful reflection on the issue, see Antoon De Baets’ article, “A Historian’s View on the Right to Be Forgotten,” cited below).  If archivists in the past made an error in making items available that negatively affect the human rights of living person, including the right to privacy, that needs to be corrected.  There is no shame in admitting an access error, but bringing shame on others through the release of archives is.

May: Criminal court records

Coupable. Culpable. Guilty. Courts in May used those words in a series of high profile cases watched around the world. 

At the Extraordinary African Chambers in Dakar, Senegal, Hissene Habre, the former dictator of Chad, was found guilty of crimes against humanity, summary execution, torture and rape and sentenced to life in prison. https://www.theguardian.com/world/2016/may/30/chad-hissene-habre-guilty-crimes-against-humanity-senegal   At the controversial International Crimes Tribunal in Dhaka, Bangladesh, five men were found guilty of crimes against humanity during Bangladesh’s independence war in 1971. Four were sentenced to death and one to life in prison; all have the right to appeal to the Supreme Court of Bangladesh.

http://www.ict-bd.org/ict1/Judgment%20part%202/ICT%2001%20of%202015%20(Judgment).pdf   And in a landmark trial in Buenos Aires, Argentina, after three years of proceedings, 14 former military officers (13 from Argentina and one from Uruguay) were convicted of kidnappings, torture and killings during Operation Condor, a South American state conspiracy to kill opponents during the era of military dictatorships in the 1970s and 1980s. All were sentenced to prison terms; two other defendants were found not guilty, and one defendant was convicted on “charges separate from the larger case,” according to the New York Times. http://www.nytimes.com/2016/05/29/world/americas/argentine-court-confirms-a-deadly-legacy-of-dictatorships.html?smid=tw-share&_r=0

Now what happens to the records of these historically significant trials? The Argentina situation is surely the easiest.  Argentina has an old, well-established archives system, with an archives for the court, a departmental archives for the justice ministry, and a general national archives.  Because the trial was conducted under the regular procedures of Argentina, the records of the trial should follow the regular pattern for the records of the court and the prosecutors and investigators, even though the sheer size of the records will surely strain the existing arrangements. 

Bangladesh is more complicated.  The Tribunal is established as a unique institution separate from the state court system, with a three-member judicial panel, its own prosecution team, Investigation Agency, and registry. Appeals can be made to the supreme court.  Bangladesh does not have an archives law (the national archives is established by regulation), so it is not clear whether the records of the proceedings in front of the Tribunal or the records of the prosecution, investigation, and registry fall within its competency. If not, it is also not clear whether the body responsible for preserving regular court proceedings is prepared to take on the task.  And there is a further complication: the violently unsettled state of Bangladesh’s political environment and the great controversy surrounding the Tribunal’s proceedings put the preservation of the records at risk, both of future disappearance or of future selective and biased use.

The Extraordinary African Chambers were established by the African Union, an intergovernmental organization, “within the courts of the Republic of Senegal,” one of its member states.  It had an investigative chamber, an indicting chamber, a trial chamber, and an appeals chamber, the latter three all related to the Dakar Court of Appeals.  In addition, there was the office of the prosecutor (which seems to contain the investigators as well), a registry, and an administrator whose tasks included public outreach. Unusually, the Chambers also was to manage a trust fund for victims. The proceedings were “filmed and recorded,” and at the end of the trial, according to Article 37, paragraph 2 of the Statute creating the Chambers, “Once the Extraordinary African Chambers have been dissolved, all records and case files shall be archived with the Registry of the Court of Appeal of Dakar.” Senegal has a long archival tradition and a respected archives school located in Dakar. Still, the great variety of records--paper, audiovisual and electronic, from prosecutors and investigators as well as witness protection and the trust fund for victims--is far beyond what a usual court registry would handle. Furthermore, the records will be far from the people of Chad, to whose historical legacy they pertain. 

So yes, the month of May saw important results in important cases relating to human rights. These cases created huge archival legacies, important to the countries involved but also to the history of our world.  Preserving and protecting them must be a priority for the international community and the nations involved. How will we respond?

June: Guest commentary by Giulia Barrera

July: Records of World War II slow to be released

As the lived memory of World War II ends (you have to be over 70 years old today to remember it), a remarkable number of records and personal items from that era are emerging from the dark. 

*Four years ago, when renovating the garage at the dacha that was once owned by Ivan A. Serov, who headed the Soviet KGB from 1954 to 1958, and is now owned by his granddaughter, workers found inside the walls “a few hidden suitcases,” reported the New York Times.  The suitcases contained diaries written by Serov, and in June they were published (in a condensed version) in Russia. In the diary Serov wrote that he read a file on Raoul Wallenberg, the Swedish diplomat who disappeared in Budapest at the end of World War II after saving Jews by giving them Swedish protection, and concluded, “I have no doubts that Wallenberg was liquidated in 1947.” Wallenberg’s family has long asked the Soviets and then the Russians for information on Wallenberg’s fate, and his niece said on her website that she would like to “see the original diaries and ask the F.S.B., the successor agency to the K.G.B., for documents mentioned by Serov.” http://www.nytimes.com/2016/08/07/world/europe/from-a-dacha-wall-a-clue-to-raoul-wallenbergs-cold-war-fate.html?_r=0

*The daily schedules of Heinrich Himmler covering the years 1938, 1943, and 1944 “surfaced” “earlier this year” in the Russian Military Archive in Podolsk “filed under Dnewnik – Russian for diary,” reported MailOnline.  Himmler was the Reichsführer of the SS, the Nazi agency most directly responsible for the program of genocide.  The 1000 pages of annotated entries record “dates, places, meetings and his decision to send millions of people to their deaths.”  Extracts of the schedules (called “diaries” by the press) were published in the German newspaper Bild in early August.  http://www.bild.de/bild-plus/storytelling/topics/storytelling/wie-bild-den-kriegskalender-von-heinrich-himmler-entdeckte-44878926,var=a,view=conversionToLogin.bild.html;   http://www.telegraph.co.uk/news/2016/08/02/himmlers-diaries-reveal-schedule-of-massages-and-mass-murder/

*In 2008 Bild announced that it had obtained the blueprints (28 documents) for the Auschwitz concentration camp where over a million people were killed.  Bild did not make clear how it obtained the documents, saying only it “found the plans around a year ago in Berlin, and they are the only original architect designs.” One of the pages of the blueprints was signed by Heinrich Himmler, The Telegraph reported, and “Markings on the backs of the papers suggest they may have been held by the Stasi, the East German secret police, who may have been interested in using them to blackmail German citizens who had been involved with the Nazis during the war.” Kai Diekmann, the publisher of Bild, explained to Spitz in July 2016 that he had suggested giving the blueprints to Yad Vashem, but archivists at the Bundesarchiv told him “firmly not to let the documents leave the country . . Because the German government is the legal successor of the Nazi regime, the documents belonged to the German state.”  But, he told the paper, “I still believed they should go to Yad Vashem,” and so he invited Israeli prime minister Benjamin Netanyahu to Berlin in 2009 and gave him the documents to take out of Germany.  http://www.telegraph.co.uk/news/2016/07/06/benjamin-netanyahu-given-auschwitz-blueprints-to-smuggle-out-of/; http://www.bild.de/news/bild-english/benjamin-netanyahu-given-auschwitz-plans-at-bild-9542884.bild.html

*In 2013 an archivist at the U.S. Holocaust Museum and an investigator from the U.S. Federal Bureau of Investigation located the diary of Alfred Rosenberg, one of the chief Nazi Party ideologues and the head of Einsatzstab Reichsleiter Rosenberg, which directed the looting of art and cultural goods during World War II. The diary had been used during the Nuremberg trials at the end of World War II, then with the permission of the director of the U.S. prosecutor’s records, one of the U.S. prosecutors took the diary home with him to use when writing about the trial.  He never returned it to U.S. government custody.  After years of searching for it, it was located and, according to a book on the case published in the spring of 2016, “the National Archives—which technically owned the diary—officially granted the pages” to the U.S. Holocaust Museum on December 17, 2013.  https://www.ushmm.org/information/exhibitions/online-exhibitions/special-focus/the-alfred-rosenberg-diary; https://www.ushmm.org/research/research-in-collections/curators-corner/an-over-15-year-journey-the-robert-m.-w.-kempner-collection; http://www.nytimes.com/2016/03/31/books/tracking-an-elusive-diary-from-hitlers-inner-circle.html?_r=0 

Although at first glance these all look like similar cases, each one shows a different set of circumstances.  The Serov diaries seem to have always been personal property.  The Himmler “diaries” were official schedules typed before each day by Himmler’s aides and were German official records, then were taken to Moscow as part of the documents seized after the war by the Red Army. The Auschwitz plans were declared by the German archivists to be official records, but they were taken out of Germany by the action of a private citizen.  The Rosenberg diary was private property seized by the U.S. Army at the end of World War II, used in the Nuremberg trials by the U.S. prosecutor which made it a part of the official record of the U.S. participation, a private person was authorized to take it away, and it was out of official custody for decades until returned to the U.S. government.

In each instance, the items have a direct link to the massive human rights violations that occurred during World War II.  In each case, they need to be carefully preserved in an archives, which is now true of all but the Serov diary.  And they need to be made available for study in order to help us all fully understand the horrific events that shaped the middle of the twentieth century and the world born from that tumult.

August: 2016 ICA Congress, Basic Principles endorsed as working document

The auditoriums in modern convention centers look pretty much the same:  blond wood, soft chairs, huge screen on the stage, translation booths.  The program of the opening session of an international congress is pretty much the same, too:  welcome from the host country, opening remarks by the president and distinguished participants, and a cultural presentation by the host country.  All that happened at the 2016 Congress of the International Council on Archives (ICA) just concluded in Seoul, South Korea.  But there was a significant difference, too.  Each of the three sets of remarks—by ICA president David Fricker, by UNESCO Assistant Director-General for Communication and Information Frank La Rue, and the message to the Congress by United Nations Secretary-General Ban Ki-Moon--noted the importance of archives in support of human rights.  Sitting in the audience, one could feel the ICA worldview begin to shift.  It was an extraordinary moment.

The Congress included many fine program sessions that related to archives and human rights, encompassing such topics as records of the bombing of Hiroshima and Nagasaki, World War II Nazi collaborators in Belgium, the truth commission in Canada and the International Criminal Tribunal in Rwanda, to name only a few.  And at the close, the national archivist of Mexico, Mercedes de Vega, announced that one of the emphases of the 2017 annual meeting to be held in Mexico City will be archives and human rights.

The day before the Congress opened, the ICA Programme Commission, the body responsible for ICA’s technical and professional program, unanimously endorsed the “Basic Principles on the Role of Archivists and Records Managers in Support of Human Rights” as a “working document for circulation within ICA for discussion, publicity and use.”  The ICA’s Section on Literary and  Artistic Archives quickly posted the “Basic Principles” in English, French and Spanish on its blog:  https://literaryartisticarchives-ica.org/2016/09/07/basic-principles-in-support-of-human-rights/  Now all constituent bodies of ICA as well as professional associations of archivists and human rights advocates have the opportunity to discuss, comment on, and endorse the document.  From the initial discussions in 2011 on a possible statement on archives and human rights to September 2016 has been a long journey, but the “Basic Principles” statement is finally released.

As we approach the 70th anniversary of the Universal Declaration of Human Rights in 2018, the international archival community has in the “Basic Principles” a document it can discuss and debate, in the full light of the Declaration and of the difficult history of those seven decades.  In 1962 the U.S. novelist and social critic James Baldwin wrote, “Not everything that is faced can be changed; but nothing can be changed until it is faced.” The archival profession now has clearly faced its role in support of human rights.  How we archivists manage our practices and change them if we need to do so is up to us.  The “Basic Principles” is a promissory note from the archival profession. 

September: Safe havens for archives at risk

Behind the soaring, sinuous façade of the Paul Klee Center in Bern, Switzerland, a group of archivists and activists from more than a dozen countries plus representatives from UNESCO and the International Council on Archives met on October 6 and 7 to discuss safe havens for archives at risk.  Hosted by swisspeace, the Swiss Federal Department of Foreign Affairs, and the Swiss Federal Archives, the goal of the meeting was to convene sending and receiving institutions “to jointly discuss the needs, challenges, good practice and the way forward of safe havens for archives at risk.”  After discussing what issues need to be addressed, how to address them and how to design an ongoing process to work on them, the group came to a series of conclusions and decided on a way forward.

A working group was formed to draft further documents to be discussed at a follow-up meeting in 2017.  Among the possible drafting projects for the working group are a typology of archives at risk, a check-list for the process of negotiating an agreement on safe haven and a possible model agreement, a set of general criteria for determining the trustworthiness of a receiving institution, a roster of institutions willing to host archives at risk, and a consideration of procedures that could be in place for rapid response in crisis situations. 

A full report of the meeting will be forthcoming from swisspeace.

October: Ballots, boxes, and election records

In 2004 six big metal trunks were taking up floor space in the Department of Political Affairs in the United Nations building in New York.  They held ballots from the 1999 vote (a “popular consultation”) in East Timor when the population, 98% of whom voted, decisively rejected a proposal to make East Timor a special autonomous region within Indonesia.  Instead, the Timorese said by their vote, they wanted national independence.  The United Nations had managed the vote, and the Department had decided to hold onto the ballots in case questions arose about the result.

This election season is rife with challenges to the outcomes of votes.  Some questions arise over who is listed on the register of eligible voters.  As reported in HRWG News 2016-09, a nongovernmental organization in Moldova compared the published electoral rolls for the October 30 presidential election against burials at two cemeteries in Chisinau, the capitol.  The check of “more than 300 gravesites found nearly 100 of them contained people on the approved list of voters.” In October in Montenegro, the international election observation mission of the Organization for Security Cooperation in Europe and the Council of Europe termed the parliamentary elections generally fair, but noted that a number of mission members “expressed continuing concerns about the accuracy of the electoral register” which is “maintained by the Ministry of Interior based on information extracted from three civil registers.” http://www.oscepa.org/documents/all-documents/election-observation/election-observation-statements/montenegro/statements-17/3419-2016-parliamentary-3/file

And there are questions about the counting of ballots. In Bosnia, the October 2 vote for the mayor of Srebrenica was contested, and the bags of ballots were brought from the polling stations to a warehouse in East Sarajevo for “a closely observed” recount (BIRN published a picture of the bags arriving). http://www.balkaninsight.com/en/article/srebrenica-recount-begins-as-bosniak-party-seeks-annulment-10-11-2016?utm_source=Balkan+Transitional+Justice+Daily+Newsletter+-+NEW&utm_campaign=b5804e1df1-RSS_EMAIL_CAMPAIGN&utm_medium=email&utm_term=0_a1d9e93e97-b5804e1df1-319755321

In Gabon in late August the incumbent won a “narrow victory” which the opposition disputed.  The loser called for the voting figures from each polling station to be made public, reported the BBC, and appealed to the Constitutional Court, which in late September upheld the original outcome. The Court said “it had retallied all the votes from the poll, though it could not do a full recount because all the votes were burned immediately after they were counted at the polling stations.”  http://www.bbc.com/news/world-africa-37236253https://www.theguardian.com/world/2016/sep/24/gabon-court-rules-president-ali-bongo-rightful-winner-of-september-election

Many records must be reliable for the outcome of an election to be accepted by the populace: registers of voters are the first; next are the ballots themselves, paper or electronic, marked manually or mechanically; then the tallies of the votes, in the polling stations and in the entity as a whole, along with the certified record of the final count and its official announcement. How many of these records have a permanent value and need to be preserved in an archives is a decision that each political entity and its archivists must make.  Clearly trunks and bags of ballots are voluminous and, after the election is truly over, may not be needed, even for historical research.  But the polling station data can be remarkably useful in understanding the results of elections, particularly when the result is a surprise.  The data from the vote in Colombia on October 2, which rejected the peace agreement the government had negotiated with the guerillas, is being analyzed to help understand how a revision of the agreement would gain more popular acceptance. https://www.wilsoncenter.org/sites/default/files/voting_for_peace_wwc-fip_final_english.pdf

Preserving the voting record is an essential function for state archives.  It is especially crucial when the election is controversial and occurs amid high civic tension.  Although most voters don’t know it, when they use a pencil to mark a ballot or pull a lever or tap an electronic voting screen, they are creating a record. They are adding to archives.

November: Records of the missing

Losing a loved one is painful at any time, but holidays often bring special sadness. On Christmas Eve in Finland families go to the cemetery and scoop a bit of snow from the front of gravestones and put lighted candles there. The entire cemetery glows with remembrance of loss and an honoring of past lives. It is a lovely tradition, but one that is not available to too many families in other parts of the world where brothers and sisters and fathers and cousins remain missing.

“The missing” features in many human rights discussions, but the term is often imprecise because there are so many sorts of missing. (We can usually eliminate from the conversation those who choose to be missing, from the person evading arrest to the person cutting ties with family.) There are the violently missing but known or presumed to be alive, such as the Chibok girls captured by Boko Haram or the Colombians who were captured by non-state actors and held for ransom. There are those whose fate is known—that is, that they are dead—but whose bodies have not been recovered, such as the 16 Serbian citizens of Bosniak ethnicity from the town of Sjeverin who were kidnapped and killed in 1992 by members of Bosnian Serb forces during the Balkan war (http://www.hlc-rdc.org/?p=32816&lang=de) or the mass-buried dead of World War I or the pilots shot down in combat or the boats sunk, with the remains now at the bottom of the sea. There are those whose fate is suspected but not definitively known, such as the 43 students who vanished in Iguala, Mexico, in 2014. This autumn Sweden finally declared Raoul Wallenberg dead after the family, having waited seventy-one years, gave up on obtaining confirmation of his fate. (http://www.cnn.com/2016/11/01/europe/raoul-wallenberg-holocaust-hero-declared-dead/index.html). And there are those whose fate is simply unknown:  the three-year-old girl seized by ISIS whose family’s vigil was profiled in a poignant article by Reuters (http://www.reuters.com/article/us-mideast-crisis-iraq-mosul-child-idUSKBN13P18G ) or the Argentine babies seized at birth and their mothers killed, the infants adopted without the knowledge of the mother’s family and the grandchildren now sought by the Grandmothers of the Plaza de Mayo.

How can archives help resolve the fates of these missing persons, if not locate their remains? If state actors were involved, we have a great variety of possible archival sources to provide clues or definitive information about the missing, from police and military and intelligence service records to hospital and morgue and cemetery archives. Non-state actors, such as the Islamic State, are known to create documents on at least some captures and transfers of females among fighters, and some of this documentation is being captured (see IS below); in the near future the FARC in Colombia presumably will provide access to some of its documentation. And now archives are beginning to preserve records of DNA samples from relatives of the missing. The International Committee of the Red Cross has in its archives DNA samples from the families of the missing in Chile and will begin to preserve the same from Lebanon. Protecting the samples and—most importantly—the identity of the donors and the analyses of the samples is a solemn responsibility.

So as we approach the end of the calendar year, with its many cherished traditions, by all means light a candle for your loved ones. And then also light one for those whose fate is still unknown and their aching families.

December: 2016 in review

As we start a new year and look back on the tumult of the one just past, a number of organizations have issued lists of good things that happened in 2016. At the Human Rights Working Group we may not have a list of 99 good things, as does this website (https://medium.com/future-crunch/99-reasons-why-2016-has-been-a-great-year-for-humanity-8420debc2823#.z3h69ha97)  but we are deeply pleased that the working paper “Basic Principles on the Role of Archivists and Records Managers in Support of Human Rights” is now issued and available in a number of languages on the ICA website. And as a final glance at 2016, here are items from each month’s issue of HRWG News that, taken together, illustrate the diversity of human rights issues that include archives.  Best wishes for the year ahead!

January.  A doctor in Flint, Michigan, United States, discovered that the percentage of children with unsafe levels of lead in their blood doubled and sometimes nearly tripled after the city switched its water source in April 2014. She said, “If we did not have (electronic medical records), if we were still on paper, it would have taken forever to get these results.”

February.  Between 1966 and 1996 France carried out nuclear tests in French Polynesia. In 2010 France passed a law authorizing compensation for military veterans and civilians whose cancers could be attributed to the test program, but only around 20 of the 1000 people who applied have received compensation. French President Hollande promised to “review” the processing of the applications.

March.  Afghan females who are accused of the crime of sex outside marriage, which is punishable by up to 15 years in prison, are forced to undergo a “virginity exam.” The doctors who perform the exams “write reports based on these examinations, and they are used as evidence in courts hearing the ‘moral crime’ accusation.” Human Rights Watch called it “sexual assault in the name of science.”

April.  The United Nations gave Cyprus access to the archives of the United Nations Peacekeeping Force in Cyprus to help locate persons still missing from the Cypriot civil war.

May.  Saudi Arabia’s justice ministry issued a “directorate” to clerics who register marriage contracts, telling them they must give the bride a copy of the marriage contract “to ensure her awareness of her rights and the terms of the contract.”

June.   Berta Caceres, an environmental activist in Honduras, was murdered. A former Honduran soldier said “lists featuring the names and photographs of dozens of social and environmental activists were given to two elite [military] units, with orders to eliminate each target,” and Caceres’ name was on the list.

July.  The International Committee of the Red Cross (ICRC) began collecting DNA samples in Lebanon to help identify thousands of people who disappeared during Lebanon’s 1975-1990 civil war. The ICRC had previously launched a database project in Lebanon to preserve information about each missing person. 

August.  In 1993 “indigenous and farmer residents of the Ecuadorian rainforest” sued the oil company  Texaco, alleging that the company left behind “an environmental and public health disaster” from its oil venture in the Amazon between 1972 and 1990. After winning the case in Ecuador, they tried to collect in the U.S., where Texaco’s successor Chevron is based. The U.S. Second Circuit Court told the Ecuadorians they cannot collect the verdict against Chevron. The Ecuadorians have asked the International Criminal Court to open an investigation into the Texaco/Chevron actions.

September.  The Prosecutor of the International Criminal Court (ICC) issued a “Policy Paper on Case Selection and Prioritisation” that for the first time indicates that the ICC will prosecute economic and environmental crimes. The Paper also said the Court “will also pay particular attention to attacks against cultural, religious, historical and other protected objects as well as against humanitarian and peacekeeping personnel.”  

October.  The Central Information Commission of Indonesia ruled “that an investigative report of the murder of human rights activist Munir Said Thalib was public information that needed to be disclosed,” but the government said it did not have the report and did not know its whereabouts.

November.  To identify the destruction of three villages in northern Rakhine state, Myanmar, where serious human rights abuses are believed to be occurring, Human Rights Watch (HRW) used high-resolution satellite imagery and also, perhaps for the first time, used thermal anomaly data collected by an environmental satellite sensor that detected the presence of multiple fires burning.

December.  A U.S. judge ordered the preservation of the U.S. Senate’s 2014 report on Central Intelligence Agency's Detention and Interrogation Program.

Archival commentaries 2017

January: Archives and accusations

Archives and accusation. They go together for more reasons than the first letter of each word. Archives have been used to accuse persons and institutions for millennia: what a person or institution did or didn’t do, what he or she knew, who he or she was or is. In January an official report by Poland’s Institute of Forensic Research in Krakow said Lech Walesa, the leader of Poland’s anticommunist Solidarity movement and later the president of Poland, was a Communist paid informant in the 1970s, based on analysis of the handwriting on nearly four dozen documents. As the New York Times reported, “The accusations against Mr. Walesa have been made for more than 20 years, and he has long maintained that they are a result of a vendetta by former Communists.” http://ipn.gov.pl/en/news/899,Information-on-the-experts-opinion-on-the-secret-collaborator-Boleks-files.html  The Lustration Commission in Macedonia, which reviewed massive quantities of government archives, accused some 300 people of cooperating with the Communist-era secret police. Many of those named challenged the accusations, even when backed by documents, and eventually the government closed the controversial commission. http://www.balkaninsight.com/en/article/macedonia-scraps-lustration-keeps-sanctions-against-spies--08-26-2015  Activists use archives to name and shame corporations for causing environmental damage or for marketing unsafe products. And while archives are good, often very good, evidence, they are not always either complete or easy to use in that way.

In fact, for purposes of proving an allegation, archives are often much like the tesserae that make up a mosaic. Each document contributes its bit, and with skill a researcher can arrange the information into a persuasive picture. If the research is simply whether or not a person signed a card pledging adherence to a group of political party, the assemblage of tesserae is probably not required. But for lots of questions it is, and that’s one reason academic interpretations of events can differ so widely.

Items in archives usually are either smoke or a gun but not a smoking gun. I have, in my lifetime in archives, seen two written documents that seemed to be clear, unmistakable evidence of a crime that was committed. But I was skeptical of both documents. One looked very much as if it had been created using false information and placed in a file to get someone else into very serious trouble. The other seemed authentic, but may simply have been the writer making an evil, cynical joke about the kind of work that a unit was doing. 

This is not to say that there are no facts in archival documents; there most certainly are. The law from antiquity to the present has wrestled with how to validate evidence in court, and countries have developed elaborate rules on the issue. But archivists aren’t judges and interpreting the records is not our mandate. Our work is the trust we are given to preserve the records in our care honestly and faithfully so that others may judge their veracity. As Demosthenes (who knew rather a lot about accusation) argued in his oration On the Crown, “You stand revealed in your life and conduct, in your public performances and also in your public abstinences.” We archivists abstain from accusation, but we make it possible for others to accuse.

February: Dare to know what is in archives

Grandma Chaem was listening to Buddhist talk radio when the journalists found her. The case against her had just been dismissed by the Extraordinary Chambers of the Courts of Cambodia, where she had been charged with responsibility for mass murder, enslavement and crimes against humanity.  Court observers and scholars were convinced the evidence was solid, but no matter:  Im Chaen’s neighbors in her town want to know none of this. The New York Times wrote, “Villagers emphasized that an important part of local culture was never to pry into other people’s pasts. ‘Everyone knows Grandma Chaem, knows that she is living in the village, but we don’t know her background, what she did,’” said a village man. https://www.nytimes.com/2017/02/24/world/asia/cambodia-khmer-rouge-im-chaem.html?_r=0  The archives of the Court, assuming they are protected and preserved, will tell the story to those who do want to know.

It is easy to dismiss the concerns of someone living in a Cambodian village where knowing too much could lead to disappearance.  But many people living in safe places don’t want to know, either.  The famous Austrian writer Peter Handke went to the 2006 funeral of Slobodan Milosevic, the Serbian president who died while on trial at the International Criminal Tribunal for the former Yugoslavia, accused of genocide and war crimes. Handke, who calls himself a hater of history, delivered a speech at the funeral, saying, “I don’t know the truth.” And yet the broadcasts from the court and the archives of the ICTY, including the massive background material that was accumulated, make knowing possible. 

And then there are the uncomfortable truths to which many of us are willfully blind:  the above ground nuclear testing by the nations with nuclear arms, which harmed people and environment from the Algerian Sahara to the Marshall Islands; the money from the U.S. slave trade that funded prestigious colleges; the extent and complexity of the Holocaust; the crimes of colonialism. 

“Sapere aude”--dare to know--was a motto for the Age of the Enlightenment in Europe in the 18th century, although its first documented use seems to have been by the Roman poet Horace in 20 BCE. With the swamp of information on social media and the internet, daring to know must include daring to know what truly happened—sorting facts from false facts. We must dare to know what is in the archives, both the information that makes us uncomfortable as well as that which supports our beliefs. A healthy society supports those who dare to know.

March: DNA records and archives

Body parts are part of archives. A court case may include a mummified finger that was part of a damage claim. Strange circumstances can lead to an archives holding cremated remains until a suitable, dignified solution can be found. To be sure, these are unusual archival situations, but not unknown.

Now, however, as DNA testing has become routine in many parts of the world, archives are starting to hold both test results and samples—the part that comes from the body. The archives of the International Committee of the Red Cross holds DNA samples from Chile and is starting to take more from Lebanon.  Major forensic anthropology organizations, such as the Guatemalan Forensic Anthropology Foundation, have large archival holdings of DNA samples and test records. For forensic purposes DNA is taken both from discovered remains and from family members of persons who have disappeared in the hope that someday remains will yield a match. For example, an area outside the city of Veracruz, Mexico, the remains of more than 250 people in 125 separate graves were discovered since excavations at the site began in the summer of 2016. According to a report in the Los Angeles Times, the killers had “routinely” removed “all traces of ID on their victims” so DNA is the best clue to their identities.  Officials are collecting DNA from relatives of the missing, and the first two sets of remains have been identified. http://www.latimes.com/world/mexico-americas/la-fg-mexico-disappeared-20170320-story.html

Forensics is perhaps the most famous use of DNA, but more DNA samples are taken and stored for medical reasons. The use of DNA and genetic testing is an issue so complex that a committee of the U.S. National Academies of Sciences, Engineering and Medicine has just completed an examination of “how evidence is generated, evaluated, and summarized” and developed a framework for the evidence needed for evaluating the “validity and utility” of genetic tests. https://www.nap.edu/read/24632/chapter/1  DNA samples are useful for a burgeoning number of medical studies, but they also provide evidence of kinship. A large industry has now sprung up to allow people to find their “roots,” whether an adoptee trying to find a birth parent or a man who simply wants to know whether he should wear lederhosen or a kilt to a family reunion.

Storing DNA test samples and results is a long-term concern. With the rapid growth of the DNA “industry,” archivists will have to become involved in the issues of preservation and access. Managing DNA archives will require straddling investigatory and medical archives techniques.

But the most astonishing news about DNA and archives is this: researchers at the New York Genome Center and Colombia University have discovered they can encode digital documents on DNA. According to Science magazine, “DNA has the potential to provide large-capacity information storage.” The researchers say: “DNA is an attractive medium to store digital information. . . a storage strategy, called DNA Fountain . . is highly robust . . . Using our approach, we stored a full computer operating system, movie, and other files .   . in DNA oligonucleotides and perfectly retrieved the information.”  http://science.sciencemag.org/content/355/6328/950  Could a future reference question be: “If I give you my cheek swab, could you store all my family photographs on my DNA?”

April: Threats to archives in Argentina, Bolivia, Hungary, Japan and Russia

The Human Rights Working Group has been closely following reports of threats to archives in Argentina, Bolivia, Hungary, Japan and Russia.

In December 2016 the Government of Argentina issued Modernization decree No. 44/16, transferring the responsibility for appraisal away from the national archivist and to the directors of government agencies.  This took the crucial decision-making power out of the hands of the professional archivists who are trained to judge what documents must be preserved as constituent parts of that nation’s documentary heritage. Fortunately, after protests by many people and organizations, the government repealed the transfer of authority and reaffirmed the role of the national archives. Now the authority of the national archives should be reviewed and strengthened to ensure that it can effectively identify, appraise, and accession not only paper records but also the growing mass of Argentine government digital records.

The Centro de Documentatcion e Informacion Bolivia (CEDIB), begun in 1970, has been based at the state University Mayor de San Simon since 1993. In 2012 its document and news archive was declared “Documentary Heritage of the city of Cochabamba.” In March CEDIB was told by a notarized letter from the university’s rector that it had to leave in two days, reported the Guardian, because “a Chinese institute must be installed here immediately.” The CEDIB website says, “We are in the need to move our Archive and Library, which is 45 years old and has systematized more than 11 million news items, 60 thousand books and other documents on the recent history of Bolivia.” The CEDIB’s director said, “It’s a trove of historical evidence to which members of the general public can turn to if they need to know things involving them, particularly those concerning human rights. For example, using a CEDIB dossier, victims of the dictatorships were able to back-up their demands for reparation from the state.”

https://www.theguardian.com/environment/andes-to-the-amazon/2017/apr/08/top-bolivian-ngo-faces-forced-eviction ; http://www.cedib.org/

In Hungary the Open Society Archives is part of Central European University, which is the focus of a new law that targets it for critical changes if not complete closure. On April 26, the European Commission, “on the basis of an in-depth legal assessment of the Hungarian Higher Education Law of 4 April” said “the law is not compatible with the fundamental internal market freedoms, notably the freedom to provide services and the freedom of establishment but also with the right of academic freedom, the right to education and the freedom to conduct a business as provided by the Charter of Fundamental Rights of the European Union, as well as with the Union's legal obligations under international trade law.” The Hungarian Government has one month to respond to these concerns. The Archives holds a wide variety of records and personal papers related to human rights and the rule of law; what would happen to the holdings in the event of a temporary or permanent closure is of great concern. Ironically, the Archives, now threatened, has been seen as a safe haven for important materials from the Balkans and Eastern Europe. http://www.osaarchivum.org/

Two events caused concern in Japan. In early April The Mainichi reported that the Chiba Prefectural Archives “discarded about 500 volumes of documents related to World War II, including names of the war dead and registry data of bereaved families.” After protests by “groups specializing in history” the disposal work has been halted and the archives is reconsidering the selection process. The same newspaper next reported that government ministries are said to be preparing to destroy documents designated as “special state secrets.” The Public Records and Archives Management Act covers documents that include special state secrets; they “can be disposed of after they undergo checks by the Cabinet Office once their storage term is up.” It is not clear that the Cabinet Office is checking to see that records designated as permanent are not being destroyed; the National Archives apparently has no oversight role. “However, according to implementation guidelines of the State Secrecy Law--or the Act on the Protection of Specially Designated Secrets--documents that have been around for over 30 years after the information they contain was designated special state secrets are considered highly important, and must all be transferred to the National Archives of Japan and elsewhere for storage.”  http://mainichi.jp/english/articles/20170407/p2a/00m/0na/016000c; https://mainichi.jp/english/articles/20170417/p2a/00m/0na/008000c

Finally, in Russia “a curator at the State Hermitage Museum in St. Petersburg has claimed that government authorities have seized archives and books . . related to the Soviet’s sale of art nationalized after the Bolshevik Revolution to Western collectors.” In a Facebook posting he wrote that archives have been taken not only from the Hermitage but “similar operations have taken place at the State Historical Museum and State Pushkin Museum of Fine Arts in Moscow.” The Hermitage and the Pushkin denied the allegation. http://theartnewspaper.com/news/museums/archives-and-books-documenting-soviet-era-art-sales-seized-from-hermitage/

These worrisome cases are simply the ones that have made the press in recent days. The Human Rights Working Group knows that more archives in all parts of the world are under pressure. Only constant watchfulness, as occurred in Argentina and Japan, can protect our vital archival heritage.

May: Facebook files and records retention

Why do people post on Facebook what they do? For instance, a man in Thailand live streamed himself killing his baby daughter and then committing suicide. http://electronicnewsnetwork.com/news/baby-murder-suicide-facebook-201032349/  A man in Memphis, Tennessee, set his phone to record as he doused himself with kerosene, lit a match and committed suicide.  http://www.stuff.co.nz/world/americas/92648925/man-commits-suicide-on-facebook-live-by-setting-himself-on-fire  Videos of rapes, “revenge porn” (attempts to use intimate images to shame, humiliate or gain revenge against a person), and ISIS beheadings mingle on line with images of family feasts and frolicking kittens. And any of these can be downloaded and saved to an institutional or personal archives. 

The Guardian published a series of articles it called “The Facebook Files,” based on “more than 100 training manuals, spreadsheets and flowcharts” leaked to The Guardian that show how Facebook is dealing with violent content on its service. The company uses algorithms and is working with artificial intelligence to address the problem of content, trying to walk the line between censorship and free speech. And Facebook has a team of 3,000 people—and growing—to monitor the postings and decide what to delete. As one man described a monitor’s job: “You’d go into work at 9am every morning, turn on your computer and watch someone have their head cut off. Every day, every minute, that’s what you see.” Several nongovernmental organizations also have teams monitoring content, particularly watching for images of child abuse. All of these organizations have “safeguard programs” to support the mental well-being of the monitors who work in these psychologically stressful jobs. (When archivists must identify and redact documents for human rights lawsuits or process records from truth commissions and criminal courts, these same stresses are apparent and the same care for the health of the staff members is essential.)  https://www.theguardian.com/news/series/facebook-files

Facebook told The Guardian it is “going to make it simpler to report problems to us, faster for our reviewers to determine which posts violate our standards and easier for them to contact law enforcement if someone needs help.” What is not clear, however, is how law enforcement will be able to act on the complaints—or even conduct investigations—if Facebook truly deletes the content. Or is Facebook only disabling public links but retains the content for use by legitimate investigators and prosecutors or defense counsel? We don’t know—or, at least, The Guardian doesn’t tell us. If Facebook does keep the information and it is available to law enforcement, archivists will eventually have to handle that evidence as part of their responsibility for police and attorney records. But if that repulsive information is not available for the use of those who protect our human rights, we will all be less secure and the posters—that is, the ones who are still alive—will be free to offend once more.

June: Records of personal identity

Identity politics are rampant from the Balkan states to Bangladesh. As a professor of biology, neurology and neurosurgery at Stanford University wrote in a recent article, “Considerable evidence suggests that dividing the world into Us and Them is deeply hard-wired in our brains, with an ancient evolutionary legacy.” http://nautil.us/issue/49/the-absurd/why-your-brain-hates-other-people But carried into the national setting, where the people of a nation must agree on some things in order to live together, the drumbeat of identity can easily divide the population. Some of this division, of course, is attributed to the global media, where hateful messages can resurface again and again, passed from one device and one platform to another. And some of it, too, is because politicians have found it useful to use identity to gain votes: “Vote for me because I am one of you, I understand you, and I will protect you.”  

In the United States, the medical profession has been discussing how racism--one form of identity politics but far from the only one--affects medical treatment. Some patients shrink from treatment by doctors of another color or creed; some distrust diagnoses made by anyone other than a member of what the patient considers his group.  http://www.nejm.org/doi/full/10.1056/NEJMp1514939; https://www.statnews.com/2017/06/12/racism-bias-patients-doctors/  In a discussion with two experienced archivists, we could not think of an occasion when a researcher distrusted or even refused to accept service on an identity basis, but it is not a stretch to imagine a researcher suspecting that an archivist not of his or her identity would not provide the same fulsome service that another person would receive. And would this be more likely to happen if the records requested are related to rights and benefits or to a personal interest in genealogy?

Archives hold the records that validate personal identity. From birth certificates to voting records to records of employment to documents showing adherence to a faith, archives have them all. Archives properly make the existence of these records known and provide the access to them on an equal basis. Archives advertise their educational services and offer courses in how to find your family in the records. But is there a line that archives should not cross, when promoting the identity records it holds is complicity with the divisive identity situation in the country? 

People were stunned when a presidential archivist recently advocated via Twitter that every household maintain an automatic weapon. https://turkeypurge.com/presidential-archives-director-urges-to-arm-every-household-with-automatic-weapon-1000-bullets  But in many ways, the records held in archives can be as dangerous as household guns, as they provide the ammunition for division and labeling. Archivists like to think of themselves as the neutral parties, moving between records and requester. In extreme situations, archivists have secreted archives that would provide information on personal identities to a repressive state, obviously an unusual circumstance. But it is necessary to think about the ways in which we advertise our services, walking the line between helping us all know who we are and what things happened among us and promoting the identity claims that roil our world.

July: International corporations, courts, and archives 

Forum shopping? That’s not buying food in old Rome. It is, rather, the practice of lawyers choosing the court to hear a case, based on the attorney’s belief that a particular court is likely to provide a favorable judgment for the client. Often the “shopping” is within the country, but at other times it involves looking at courts in two or even more nations. For example, the United Kingdom is known to have libel laws that favor the plaintiff, which is why the famous case by Holocaust denier David Irving against U.S. academic Deborah Lipstadt (now the subject of the film “Denial”) was brought in the U.K. 

Bringing a case in another country does not always mean that the judgment will be enforced at home. 
In 1995 victims of human rights abuses under the Ferdinand Marcos regime sued Marcos in the District Court in Hawaii, where Marcos was living after he fled Manila in 1986. The court found in favor of the roughly 10,000 plaintiffs and awarded nearly $2 billion in damages. (The Marcos family is alleged to have stolen up to $10 billion from the nation during the 21-year rule.) After the Hawaii judgment, five of the victims filed a case in the Philippines, seeking their share of the money. Two decades later, the Philippines Court of Appeals on July 7 said the Hawaii District Court was “without jurisdiction” over the claim and the judgment “did not meet the Philippines’ criteria of a valid judgment,” CNN reported. The court was particularly concerned that the complaint in Hawaii was, first, “erroneously filed as a class suit and second, therein claimants remained unidentified.” The court could have obtained the list of complainants in the Hawaii case from the district court records in the U.S. or, logically, from the attorneys that filed the original case, but clearly it chose not to do so.  http://cnnphilippines.com/news/2017/07/18/ca-junks-2-billion-dollar-reparation-for-martial-law-victims.html

A complex set of cases are those brought against international corporations, often by human rights groups on behalf of victims of environmental and physical damage. Here the lawyers for the plaintiffs can choose to bring the suit where the damage occurred or in the country where the corporation has its offices.

*January’s issue of HRWG News reported on a lawsuit that began in 1993 when a group of residents of the Ecuadorian rainforest sued Texaco, alleging that the company left behind an environmental and public health disaster from its oil venture in the Amazon between 1972 and 1990. The first suits were filed in the U.S., but were dismissed, so the plaintiffs refiled in Ecuador, where the Ecuadorians won a large financial judgment. Texaco had left Ecuador in 1992, and Texaco became a subsidiary of Chevron in 2001, so the plaintiffs turned to a court in the U.S. where Chevron is headquartered to enforce the payment. The U.S. court refused to force Chevron to pay. The Ecuadorians next turned to a Canadian court which ruled in January 2017 that Chevron Canada is a separate entity from the parent corporation and its Canadian assets cannot be used to pay the judgment against it.

*Also in January, a court in the United Kingdom ruled in a suit against Royal Dutch Shell for its alleged environmental destruction in the Niger Delta. The court held that “Royal Dutch Shell cannot be held responsible for the actions of its Nigeria subsidiary.” 

*Last month’s issue of HRWG News had an item about the lawsuit in Canada “brought by several Guatemalan men for injuries they suffered during the violent suppression of a peaceful protest” at Tahoe Resources Inc.’s mine in Guatemala. Tahoe is a Canadian company. Canada’s Supreme Court allowed the case to go forward, despite Tahoe’s argument that the case should be tried in Guatemala.

Tahoe’s argument is often made by international corporations: that the case against them in one country should be heard in another country (a forum non conveniens argument, meaning, roughly, to send the case to another jurisdiction that has a stronger link “more convenient” to the case). A judgement for the corporation can mean that the case has to be tried in a less robust legal system or even in one where bribes are routine. And this often results in cases bouncing back and forth with no resolution but draining the money of the plaintiffs. For a particularly egregious example of the use of forum non conveniens arguments, see the saga of the lawsuits brought by workers on Dole and Chiquita banana plantations in Central America for health problems linked to the use of the pesticide DBCP manufactured by chemical companies Dow and Shell, as told in the book Toxic Injustice: A Transnational History of Exposure and Struggle by Susanna Rankin Bohme.  

What does this mean for the archives of courts? Because archivists usually do not describe court records at the case level, relying instead on court-generated indexing that is accessioned with the court records, there is no regular means to link the case in one country to the related case in another. However, the International Standard for Archival Description (General) has free text fields that allow the person doing the description to note that a particular case or group of cases will have related records in another country’s archives. These mass cases for human right violations are so important that it is incumbent on archivists to make a special effort to point to them in the body of court case files in archival custody. As we know from cases arising immediately after World War II that have been revived in the last two decades, it is always possible that all the court files everywhere on a violation will ultimately be used to bring justice for victims.

August: Algorithms and documenting and erasing evidence

Awful August is finally over. Hate-fueled killings from Turku to Barcelona to Charlottesville. Violent protests following elections in Kenya and Venezuela. Wind and water destroying communities from India and Bangladesh to Texas and Louisiana. Rohingya refugees struggling through the mud in search of safety, as violence in Yemen and the Middle East creates yet more displaced people. North Korea launching missiles. Records will document all of these, but civil unrest and furious weather also destroy existing archives. What a month.

Much of what we learn about unfolding events comes from social media. Almost unnoticed among the August chaos was YouTube’s use of new technology to automatically flag and remove content that breaches its content guidelines. In June Google, the owner of YouTube, “announced it would turn more to technology to identify extremist and terrorism-related video,” CNN Business News reported.

https://gantdaily.com/2017/08/24/youtube-and-syria-techs-role-as-archivist/   Since that time, according to the New York Times and to several activists I contacted, “thousands” of videos have been removed from the YouTube site.  Gone are things like Islamic State execution videos. And there is the quandary.

Certainly casual internet users do not want to see snuff videos. The International Organization for Migration complained that people smugglers are using Facebook to “broadcast the abuse and torture of migrants in order to extort ransom money from their families” and called on the company to “police the platform and help crack down on traffickers.” http://news.trust.org/item/20170825150851-a7mav/   Sex traffickers use social media sites to offer the services of those trafficked; jihadi recruiters post hate speech “come hithers.” In the aftermath of the Barcelona killings, a video appeared threatening, “Spanish Christians, don’t forget the Muslim blood spilt during the Spanish inquisition.” http://metro.co.uk/2017/08/25/new-isis-video-warns-theyre-coming-to-take-back-spain-6877509/#ixzz4qmpO9lZC  Surely these postings are abhorrent.

And yet: The International Criminal Court, as noted below, has indicted a senior Libyan commander; some of the evidence against him is video that circulated on social media. Groups who monitor the conflicts in Syria and Iraq compile social media postings as evidence for future use by justice institutions. As one person told me, small groups of activists rely on the storage capacity of the huge corporations to keep evidence they need alive.

Even with the best of algorithms, social media companies will not be able to eliminate all hate speech and violent videos. And if one post is taken down at one location, it is likely to pop up on another, less policed site. Perhaps a warning symbol affixed to the videos selected by the algorithms as hateful, much like a copyright mark, could at least provide a way to identify and sort but preserve the violent video streams.  Documenting violence has never been easy, but it is important that all possible tools are available for those who would assure accountability for the violation of human rights.

September: Fake news, fake history

Fake news seems to be everywhere. The President of the United States calls the work of the mainstream media “fake news.” Mainstream media such as the New York Times have reported extensively on the hundreds of thousands of fake Twitter accounts that flooded the public with anti-Clinton messages during the 2016 U.S. presidential campaign and posts that comment on current controversies “by simultaneously sending conflicting messages to different users segmented by political and racial characteristics.”     https://www.nytimes.com/2017/09/27/technology/twitter-russia-election.html?_r=0  Even Pope Francis is concerned, announcing this month that the 2018 World Day of Social Communications will focus on fake news, as will his January message. In making the announcement, the Vatican said it “wishes to offer a contribution” to the discussion of fake news, “proposing a reflection on the causes, the logic and the consequences of disinformation in the media, and helping to promote professional journalism, which always seeks the truth, and therefore a journalism of peace that promotes understanding between people.”  http://time.com/4963060/pope-francis-fake-news-communications/

Of course, fake news and fake messages, ranging from satire to propaganda to outright lies, have been with us for a very long time. The 1905 publication of “The Protocols of the Elders of Zion,” which purported to show a Jewish plan for world domination, is a hideous example that the U.S. Holocaust Memorial Museum calls “an important part in the Nazis' propaganda arsenal.” https://www.ushmm.org/wlc/en/article.php?ModuleId=10007058  But the ease with which fake news can be produced and the speed with which it can be spread today make it enormously troubling. Add to this two trends that appear to be growing and we have a particularly virulent climate.

First, we see efforts by a number of countries to reshape or ignore history. Here are a few:

*The 50th anniversary of the 1965-1966 Indonesian state-sponsored purges of those suspected of being communists or communist sympathizers not only was not commemorated solemnly, but, according to Reuters, “a mob opposed to public discussion of Indonesia's 1965 massacre of communists tried to force its way into a Jakarta building where they believed communists were meeting, injuring five policemen.” Twenty-two people were arrested.  https://www.bangkokpost.com/news/asean/1326663/anti-communist-mob-attacks-indonesia-meeting-22-arrested  “The Indonesian government and its powerful military and security forces have failed to confront the darkest chapter . . and in fact continue to actively suppress public discourse about the massacres,” the New York Times wrote in the wake of the mob attack. https://www.nytimes.com/2017/09/29/world/asia/indonesia-communist-purge.html

*A legal scholar who examined two Chinese digital platforms “found that two of China’s main online database for scholarly articles had removed dozens of articles” from the 1950s that “questioned the Communist party’s commitment to the rule of law at the time,” the Financial Times reported. https://www.ft.com/content/4ffac53e-8ee4-11e7-9084-d0c17942ba93

*A long-time student of Russia reported that the current Russian government “has selected particular events to which it has given a meaning very different” from that of the archival record. Officials in the North Caucasus recently commemorated the “460th anniversary of the voluntary inclusion of the Kabards within Russia.” A Kabard activist points out that while in the 16th century the Russian and the Kabard entities concluded a treaty, the Kabards “later joined other Circassians in fighting the Russian military conquest of their land.” Writing in Eurasia Review, the scholar says that ultimately Russian citizens “will have to unpack and reject” these conflicting interpretations “if they are to have any hope that “they can coexist [with their neighbors] in a positive way in the future.” http://www.eurasiareview.com/26092017-historical-holocaust-islamic-states-lasting-legacy-analysis/?utm_source=feedburner&utm_medium=email&utm_campaign=Feed%3A+eurasiareview%2FVsnE+%28Eurasia+Review%29

*Forty years after the Vietnam War ended, the U.S. public is still arguing about whether the war was a “noble cause,” as former president Ronald Reagan said, or good for absolutely nothing and a tragic conflict for Southeast Asians and the U.S. and other non-Vietnamese who fought in it. A new television series on the war, generally praised by media critics, has drawn much sharper responses from historians of the war. (For a sample, see the “Members Forum” of the American Historical Association at http://communities.historians.org/home

*And in Japan many peace museums “face difficulties, including insufficient storage space and staff, in accepting” donations of materials from World War II. A professor told the Japan Times, “Japan has yet to reach a public consensus on how we should view its role in the war, so we do not have a budget set aside for collecting war-related materials for public memorial museums.”  https://www.japantimes.co.jp/news/2017/08/21/national/japanese-war-memorabilia-pile-museums-online-auctions-artifacts-remain-unregulated/#.WduWA4wXAdV

The second trend is even more ominous. Archives contain the records that can help counter these pernicious trends toward dissimulation and falsehoods about history. Access to archives has long been a major issue, but many people have advocated for freedom of information laws to overcome at least government barriers to archives. What is now happening—see the items on India and the United States below—is that people who seek information are attacked or forced into expensive litigation over the legitimacy of the request. 

While we resign ourselves to the fact that fake news will forever be with us, we must not resign ourselves to any interruption in access to the archives that provide the evidence to counter it. A 19th century U.S. president said, “Government resting upon the will and universal suffrage of the people has no anchorage except in the people’s intelligence.” Archives provide the material—the heavy iron—for the anchor for the people.

October: Open access to records through 1945

Old news keeps appearing. Regular readers of HRWG News will know that in the past few issues news items about World War II records are grouped under the heading of the war, simply because there have been so many of them. But we are also seeing a lot of stories about old records that are not open. “Good reads” in this issue has a complaint by a Turkish historian over lack of access to Turkey’s World War I era-records, a complaint that would be echoed by researchers trying to understand what happened during the period of the Armenian genocide. Turkey is not alone, of course. For example, in November 2014 Spain’s defense ministry refused to declassify records from the 1930s Civil War and the Francisco Franco dictatorship, saying it had “insufficient resources to analyze their contents.” A case before the European Court of Human Rights was brought by Mikhail Suprun who, along with the archivist who provided him the records, was convicted in a Russian court for violating ‘personal and family secret’ information while studying cases of ethnic Germans who were repressed and committed to special settlements in Arkhangelsk oblast during and after World War II. The records of the Japanese military during World War II are only selectively available.

Other countries and international institutions are opening early twentieth century records without problems. In 2014, for example, the United Nations opened the WWII War Crimes Commission records; the World War II era records of the French railroad, which transported victims to roundups that led to German extermination camps, were opened; the Vatican promised to open its World War II records. The personnel and related records of the NSDAP(Germany’s Nazi party) and its affiliated organizations and activities from the founding of the Party in 1920 until 1945 have been open at the U.S. National Archives for two decades.

Think of the issues that could be at least somewhat clarified by the release of all government records through World War II. Today the intellectual actors behind the wars of the first half of the 20th century are long dead, and most of the participants still alive were youths hauled into service. If we could agree that the government records through World War II would be opened without further review, consider what would be available: we could better understand the slaughter of the Spanish Civil War, the Turkish point of view during the attacks against Armenians, the Japanese Army’s organization of the “comfort women” stations throughout Asia, the purges in the Soviet Union. Although we would not have the records of the often bloody end of colonialism, we would know more about the administration of the colonies than we do now. And even if we continue to close records relating to pensions for people who are still alive, we would know far more about the people who lived during those turbulent decades.

As Melanie Altanian points out in her recent publication for swisspeace, “Archives against Genocide Denialism?” opening records does not at all guarantee that the records will be understood or believed: there are both selective use of archival material and the denial of particular evidence to contend with. But surely, surely it is better to argue about records that everyone can use than hypothesize based on partial evidence and records we can’t see. Nearly a century since the end of World War I, 72 long years since the end of World War II, it is time that governments open all their records through 1945.

November: Preserve records documenting climate change

“Hope is the thing with feathers that perches in the soul,” wrote 19th century U.S. poet Emily Dickinson. Some dinosaurs (we now know that they had feathers) might disagree. But hope and the ability to flee from gales, hot lands and stormy seas is all that people living in nations impacted by climate change have. At the U.N. climate talks in Bonn, Germany, the vice chair of the Alliance of Small Island States said “unless emissions can be drastically and quickly curbed, efforts by small island nations to adapt to climate change may be in vain,” Thomson Reuters Foundation reported.  http://news.trust.org/item/20171107210019-qadbk/

The scientific evidence for the human contribution to climate change is substantial and increasing. “Last year’s record global heat, extreme heat over Asia, and unusually warm waters in the Bering Sea would not have been possible without human-caused climate change, according to new research in Explaining Extreme Events in 2016 from a Climate Perspective,” a special supplement to the Bulletin of the American Meteorological Society issued on 13 December. https://www.ametsoc.org/ams/index.cfm/about-ams/news/news-releases/human-influence-on-climate-led-to-several-major-weather-extremes-in-2016/  No matter where we live we are affected, but locations near the sea are especially vulnerable. Ask Dominica. Ask Barbuda.

Around the world there are “a growing number of lawsuits against governments over their failure to act swiftly to curb climate change,” Thomson Reuters Foundation also reported. A group of 21 people between 10 and 21 years old are suing the U.S. government, arguing that “through its actions that drive climate change” the government “has violated their constitutional rights to life, liberty, and property.” Two environmental groups are suing Norway for “breaching the constitutional right to a healthy, safe environment—and violating it pledges under the Paris climate agreement—by letting energy firms explore for oil and gas in the Arctic Barents Sea.” Irish citizens are challenging the Irish government, and Dutch citizens have filed a case against the government in The Netherlands.  But lawsuits are not enough. http://news.trust.org/item/20171107115139-a6kn2/

Communities, even entire populations may be forced to relocate to escape the global forces (see the U.S. story below). But as an nation like Kiribati contemplates removal to Fiji, where it has bought land (https://www.theguardian.com/environment/2014/jul/01/kiribati-climate-change-fiji-vanua-levu), it will need also to move archives—of government, business, faith-based organizations, civil society, personal papers. This requires planning and resources, now not later. While some wealthy countries may be able to solve these problems themselves, others will not. The International Council on Archives and UNESCO should convene a special meeting of the national archivists of nations in danger from countrywide climate change, with a special focus on island nations, to discuss the risks and develop strategies for preserving archives. ICA and UNESCO should help archivists, archival institutions, and their governments understand the impending changes, the threats to archives, and the options available. They should help nations find funds and partners to take such steps as the country believes are necessary. This is no less than preserving the memory of the world in the largest sense.

And, while we do that, it is essential that archivists everywhere ensure that the records documenting the scientific evidence for climate change and the actions citizens take to lessen its impact—including those lawsuits--are safely preserved. Hope may be a thing with feathers, but remember the dinosaurs. It takes planning and action to make hope molt its feathers and develop into real archival preservation.

December: 2017 in review

As we start a new year and look back on the tumult of the one just past, here are items from each month of HRWG News in 2017 that, taken together, illustrate the diversity of human rights issues that include archives.  Best wishes for the year ahead!

January.  Investigators are using archives at the Max Planck Institute in Germany to “find and purge it of human brain tissue removed from victims murdered” during Nazi medical and euthanasia programs.

February.  The Prosecutor General in Colombia charged around 200 local and international companies for crimes against humanity.

March.  Two Swedish nongovernmental organizations used public records of seven banks for a report on the role of banks in the crisis faced by Borneo’s indigenous peoples and their forests.

April.  In Kashmir, a video of a man tied “to the front of a jeep as a human shield” led police to file a case against the army perpetrators.

May.  The UN Office of the High Commissioner for Human Rights issued “updated guidelines for investigating unlawful killings around the world.”

June.  World Bank researchers using data from Pakistan found that children born to a marriage of first or second cousins “have lower test scores, lower height-for-age, and a higher likelihood of being severely stunted.”

July.  Near the Iraqi city of Mosul, ISIS allegedly burned the biggest archives of its documents and data.

August.  A campaign in Afghanistan is urging that a mother’s name be recorded on her child’s birth certificate.

September.  Some 60 persons in India have been killed after using the Right to Information Act to gain access to government documents and at least 300 “have been harassed or physically hurt.” 

October.  After the International Criminal Court issued its first ever arrest warrant solely based on social media evidence, accusing Libyan army commander Werfalli of mass executions near Benghazi, Libya, bellingcat, an online investigation team, used crowdsourcing to “geolocate” four of the seven locations shown on the social media video as sites where assassinations occurred.

November.  The U.S. Food and Drug Administration approved the first pill embedded with a sensor that can alert a patient’s physician or caregiver.

December.  China’s “Population Registration Program” is collecting biometric data from all residents in Xinjiang province between the ages of 12 and 65.

Archival commentaries 2018

January: DNA records and parentage

Did you read the article about the twins, both boys, born 4 minutes apart, one of whom is a U.S. citizen and one is not? If not, here is a summary: A legally married male same-sex couple, one with dual Canadian-U.S. citizenship and the other an Israeli citizen, were living in Canada. Wanting children, they combined an anonymous donor’s eggs with the sperm of the two men, and a surrogate “carried and delivered” their twins 16 months ago in Canada. The couple decided to move to California, so they went to the U.S. Consulate in Toronto to get U.S. passports for their sons, bringing their marriage certificate and the twins’ birth certificates. The consular official said the U.S. Immigration and Nationality Act requires “a blood relationship between a child and the U.S. citizen parent in order for the parent to transmit U.S. citizenship” and told the U.S. citizen that he “would have to undergo a DNA test to prove a biological link to each twin,” the Los Angeles Times reported. The results of the test showed that one of the twins is the biological son of the U.S. citizen and the other is the biological son of the Israeli citizen. Armed with that information, the U.S. issued a U.S. passport to one twin and denied the other. The couple, now living in California, are suing the U.S. government.  http://www.latimes.com/local/lanow/la-me-ln-twins-citizenship-20180127-story.html

Think for a minute of the number of babies who may have been conceived outside a verified system of parentage: for example, heterosexual couples who use assisted reproduction in a foreign country; the non-citizen wife who has an affair with another non-citizen but whose husband is a citizen (laws in many jurisdictions presume a husband is the father of his wife’s children). The possibilities are, today, quite endless. In the past, would any consular official or registrar even think of asking for documentation of biological parentage? But now, because DNA tests are common, a new element has arisen: the record of DNA testing.

Archivists have long argued that knowing your past is an important element in a healthy life, whether of the person or the nation. Records of DNA tests challenge that assertion. People who take a DNA test learn the scientific makeup of the genes they carry, and testing companies will provide a list of countries or regions where the predominant genetic traits match their genetic makeup. As the Washington Post recently reported, surprising DNA test results elicit “a range of emotions,” from joy to curiosity to denial. https://www.washingtonpost.com/local/social-issues/they-considered-themselves-white-but-dna-tests-told-a-more-complex-story/2018/02/06/16215d1a-e181-11e7-8679-a9728984779c_story.html?utm_term=.65723a923a45  The ability to “reverse engineer” the DNA of the dead (see “medical records” below), the ambitious project of the World Economic Forum to create a databank of DNA of all living things (same section) and the Guatemala project to create a national DNA bank (“Guatemala” below) mean that the unsettling of personal assumptions of “who I am” is sure to continue. And as archives, like that of the International Committee of the Red Cross, begin to manage quantities of DNA records, archivists will continue to be central to the stories of genetics and geography that people tell about themselves and their families.

February: Artificial intelligence and the data that trains it

In a Russian history class I once took, the émigré professor insisted on a distinction between intellectuals and intelligentsia. Intelligentsia, he said, were people with education, but what distinguished them was their status as a group possessing influence in society. Intellectuals, on the other hand, were, well, just smart.

Artificial intelligence is all over today’s news.  It combines the professor’s two definitions: it is smart (it has a huge memory, it makes decisions based on its memory) but the way it is smart reflects the social class of the people who had the power to build it. Just look at two examples:

*Researchers in the U.S. found that “three commercially released facial-analysis programs from major technology companies demonstrate both skin-type and gender biases.” In a set of photos, the artificial intelligence programs correctly identified white males as white males more than 99% or the time, but only 65% of the time correctly identified darker-skinned females. The probable reason: the data set used to “teach” the artificial intelligence was heavily male and white.  http://news.mit.edu/2018/study-finds-gender-skin-type-bias-artificial-intelligence-systems-0212

*Human Rights Watch reported that authorities in China’s Xinjiang province are using big data analysis for a “predictive policing” program which “aggregates data about people—often without their knowledge.” The data is gathered from an enormous variety of sources, ranging from surveillance cameras to “wifi sniffers” to information obtained during home visits. Persons have been detained because the software identified them as potential threats.  https://www.hrw.org/print/315321

Advocates argue that artificial intelligence algorithms can successfully take on questions as varied as identifying depression in people by analysis of facial expressions, reducing snarls in urban transport, pinpointing crime hotspots and upgrading slums. http://news.trust.org/item/20180228105555-8071d/; http://news.trust.org/item/20180227163731-j2fe9/  Medical researchers are rapidly adopting artificial intelligence tools, as a look at any recent issue of HRWG News will show. 

Artificial intelligence relies on information, both the type of data selected to “teach” the programs and the data against which the programs run. And artificial intelligence produces information, such as when to arrest people in Xinjiang or to treat an illness. Archivists must be involved both in ensuring that the inputs are reliable data and in preserving the results. We have to get this right: people’s lives literally depend on it.

March: Borders and fences: Keeping out and keeping in.

Borders and edges, boundaries and walls and fences: they simultaneously keep out and keep in. On a farm, for instance, the yell, “The cattle are out!” means everyone rushes to round up the animals and get them back safely inside the fence where they belong—that is, keep them in. Or think of the Iron Curtain, which was erected to keep in, for example, the East Germans who might have strayed to the West. Then there is the fence that keeps out: your neighbor’s dog does not come in and jump on your toddler; the U.S. president wants to build a wall to keep Central Americans from entering the U.S.

Borders featured in disputes in March. Bolivia brought a case against Chile at the International Court of Justice, trying to “reclaim its coastal territory from Chile” to gain access to the Pacific Ocean, which it lost in the 1904 peace treaty that ended the 19th century War of the Pacific. Landlocked, Bolivia wants the court to order Chile to “negotiate in good will” over access to the sea because the 1904 treaty was “signed under duress.” In the early 1970s the two countries, both under dictatorships, worked together in Plan Condor, the South American states’ coordinated hunt to eliminate anyone linked to left-wing ideas. In 1975 Chile entered into negotiations with Bolivia and proposed an exchange of territory that would give Bolivia a corridor to the sea, but the negotiations broke down and the two governments have not had formal diplomatic relations since 1978. The attitudes of the people living in the proposed area whose citizenship would change from Chilean to Bolivian do not seem to be part of either state’s argument. https://www.telesurtv.net/english/news/Bolivias-Morales-Asks-for-Just-and-Accurate-Ruling-in-Sea-Access-Claim-20180319-0007.html?utm_source=planisys&utm_medium=NewsletterIngles&utm_campaign=NewsletterIngles&utm_content=10; https://www.telesurtv.net/english/news/Chile-Rebukes-Bolivia-at-International-Court-of-Justice-Denies-Being-Isolationist-Villain--20180322-0003.html?utm_source=planisys&utm_medium=NewsletterIngles&utm_campaign=NewsletterIngles&utm_content=10 ; https://www.telesurtv.net/english/news/Bolivia-to-Chile-at-International-Court-of-Justice-You-Took-Our-Coast-by-Force-20180326-0005.html

Across the Pacific, Australia and Timor-Leste signed a treaty, mediated by a commission established under the UN convention on the Law of the Sea, defining the permanent maritime boundary between them. The border was seen by Timor-Leste as an issue of sovereignty, while Australia “sought a boundary that was aligned with its continental shelf.” The basic question, however, was the exploitation of the oil and gas fields between the two countries and the associated pipeline and processing plants. In the background was the 1989 Timor Gap Treaty that was signed between Australia and Indonesia, while Timor-Leste was still ruled by Jakarta, and the 1972 “continental shelf boundary” agreement between them. Timor-Leste has yet to reach an agreement with Indonesia on its maritime boundaries, and Timor-Leste’s petroleum minister said those negotiations could be “complicated.” http://www.eurasiareview.com/28032018-timor-leste-australia-maritime-boundary-treaty-victory-for-dili-analysis/?utm_source=feedburner&utm_medium=email&utm_campaign=Feed%3A+eurasiareview%2FVsnE+%28Eurasia+Review%29; http://www.eurasiareview.com/14032018-bullied-relations-australia-east-timor-and-natural-resources-oped/?utm_source=feedburner&utm_medium=email&utm_campaign=Feed%3A+eurasiareview%2FVsnE+%28Eurasia+Review%29

In Europe, Kosovo’s parliament ratified the border with Montenegro, which the European Union required for Kosovars to gain visa-free travel to the EU states. https://www.balkaninsight.com/en/article/xx-kosovo-parliament-approves-montenegro-border-deal-03-21-2018  Meanwhile, the border disputes in Kashmir, in Ngorno-Karabakh, in Gaza, and in war-torn Syria continue to foster death and despair.

Settling disagreements by international courts or mediation is surely preferable to continued conflict. In preparation for such negotiations, it is helpful if not essential for communities to build “collective territorial viewpoints.” The techniques and resources outlined in the Manual of Collective Mapping: Critical Cartographic Resources for Territorial Processes of Collaborative Creation by the Argentine team of Julia Risler and Pablo Ares are useful tools in such processes. https://issuu.com/iconoclasistas/docs/manual_mapping_ingles  Whether mapping the location of oil and gas, the route to the sea, or a fence between neighbors, a border line is socially constructed, and its acceptance depends on acknowledging the human rights of people who live on both sides of it. Archives maintain the drawn maps and the treaties, but those documents, important as they are, only recognize the current political reality. It is the intertwined social threads that make a boundary real, even if the cattle do get out.

 

April: The New York Times and the ISIS Files

The New York Times obtained 15,000 internal Islamic State (IS) documents, including at least two CD-ROMs, from recent battle sites in Iraq, mainly around Mosul. Some came from offices, others from store rooms or abandoned briefcases. The journalist got the materials during five trips to Iraq in a little over a year. She said her team “lifted up the mattresses and pulled back the headboards of beds,” “rifled through the closets, opened kitchen cupboards, followed the stairs to the roof and scanned the grounds.” As a rationale for taking the materials she wrote, “Iraqi security forces nearly always accompanied our team. They led the way and gave permission to take the documents. In time, the troops escorting us became our sources and they, in turn, shared what they found, augmenting our cache by hundreds of records.” https://www.nytimes.com/interactive/2018/04/04/world/middleeast/isis-documents-mosul-iraq.html

After the Times article on the “ISIS Files” appeared, Al Jazeera published an opinion piece by Iraqi writer Sinan Antoon headlined, “How the NYT partook in the plunder of Iraq.” He argued that the documents belong to Iraqis: “Why have they been deprived of troves of documents containing evidence of crimes committed against them?” https://www.aljazeera.com/indepth/opinion/nyt-partook-plunder-iraq-180424100839509.html

This is a complicated archival fact situation. Whose documents are these? Who had the authority to give them to the Times? What use will be made of them? What are the interests in the long term disposition of the records? To whose history do they belong?

Under common law in the United States, anyone can take abandoned property. The Times journalists likely were operating under this assumption. I do not know whether Iraqi law covers abandoned property or, if it does, what it says. However, the security forces that accompanied the Times team should have known their own law as well as the property restrictions in the laws of war. And even if they did not, they are officers of the Iraqi government; therefore, the government had knowledge of the existence of the materials and either had actual control of them or could have chosen to control them. The security forces must have understood that these materials could be used in trials of IS participants. They lacked authority to give away the materials.

Given the locations searched, it is likely that personal papers and perhaps private business records are in the cache of materials. If so, they probably were left behind by people fleeing destruction who hoped to retrieve them some day. Not truly “abandoned,” they should not be converted to the finder’s personal property.

The destruction wrought by IS in Iraq is catastrophic. The records of the way the country was administered and the violence against the population are an essential part of Iraq’s history. They need to be returned to Iraq. If they are personal papers or private business records swept up in the process, they should be returned to the person or family or business owner, not the government.

Deciding when and to whom to return the materials is an important step. Iraq has a functioning national archives; however, if the IS materials are to be used in criminal cases the judicial or prosecutorial archives would need to be strong and stable enough to handle these sensitive records. The International Council on Archives’ Working Document “Basic Principles on the Role of Archivists and Records Managers in Support of Human Rights” says, in Principle 18:

Institutions and archivists should cooperate with institutions and individuals in other countries to manage and settle claims about disputed displaced archives in a spirit of fairness and mutual respect. If returning displaced archives is likely to risk their destruction, their use for repressive purposes, or will place at risk persons whose actions are reflected in the archives, return should be postponed.

Until an appropriate, secure Iraqi institution is identified to receive the materials, postponement is a reasonable choice. During that interim, however, the materials should be held by a neutral party in a safe haven repository.

May: Faith, conflict and archives

With a wave of her wand Circe turned Odysseus’s sailors into pigs—at least, that’s what Homer told us. Circe was a witch. http://www.theoi.com/Text/HomerOdyssey10.html

Witches are having a moment in the spotlight right now. U.S. President Trump regularly calls the investigation into Russian actions in the 2016 U.S. presidential elections a “witch hunt.” Any number of men accused of sexual harassment claim to be the victim of a “witch hunt.” A law firm in England is accused of conducting a “witch hunt” against British troops who served in Iraq. https://www.telegraph.co.uk/news/2018/05/14/british-soldiers-face-new-witch-hunt-law-firm-lodges-hundreds/ Check today’s news feeds and see how many references you find.

While the figure of speech is common, it hides the real problem of harm caused to people today accused of witchcraft. In 2009, Gambia’s leader “ordered security forces to round up hundreds of ‘sorcerers’” and over the next seven years, victims told the Washington Post, “armed soldiers targeted poor, elderly farmers, forcing them to drink a hallucinogenic liquid before pressuring them into confessing to murders by sorcery,” leading to “a pattern of kidnappings, beatings and forced confessions that have had lasting health implications for survivors and resulted in several deaths.” https://www.iol.co.za/news/africa/gambia-still-haunted-by-dictator-jammehs-witch-hunts-15210039   In Cameroon, where the health ministry estimates that sickle-cell disease is responsible for 16% of all deaths of children under five, Thomson Reuters Foundation interviewed 19 people with sickle-cell disease, of whom “16 said they were called ‘sorcerers’ and ‘devils’ as children, abandoned by their fathers and subjected to ‘demystification rituals’ that could have killed them.” A woman who murdered her 5-year-old son stricken with sickle-cell disease said she was told by traditional healers that he was a sorcerer who “came into the world to torture you.”  http://news.trust.org/item/20180528000119-t2o29/     

The reality is that the ancient belief in witches has never gone away, and European pagan traditions have had a renaissance in the latter half of the 20th century as Wicca, a decentralized religion. Prejudices against witches are akin to the religious racism found in persecutions of one or another faith-based group in every geographical location. Mosques are attacked in the U.S.; a synagogue in Sweden was attacked in 2017; in May a family of suicide bombers attacked Christian churches in Indonesia killing 13 and injuring dozens https://edition.cnn.com/2018/05/13/asia/indonesia-church-attacks-surabaya/index.html; a church was attacked in the Central African Republic and in retaliation a mosque was burned; Hindus who were attacked in Pakistan in turn attacked Sikhs; Buddhists attacked Muslims in Sri Lanka: the list goes on and on, not to mention intra-faith conflicts such as that between Sunni and Shia.

While these may be actions by private groups, governments are also complicit. In 2014, the nongovernmental Pew Research Centre found that 18 of the 20 countries of the Middle East and North Africa criminalize blasphemy (lacking reverence for the sacred) and 14 criminalize apostasy (abandoning faith), with legal punishments ranging from fines to death. http://mpc-journal.org/blog/2018/05/15/atheists-in-muslim-majority-countries-between-inclusion-and-exclusion/ The persecution of Baha’i adherents in Iran was the subject of a February 2018 protest to the government by international legal experts (see HRWG News 2018-02).  In Russia in May, Jehovah’s Witness homes were targeted in 28 new raids leading to “detentions, house arrest, travel restrictions, and criminal charges.” eurasiareview.com/28052018-russia-jehovahs-witness-homes-targeted-in-28-new-raids-now-20-criminal-investigations/   Also last month the Supreme Court in Chad required government members to be sworn in on either the Koran or the Bible, and when one non-Muslim refused to swear on the Bible the Supreme Court fired him. https://www.crisisgroup.org/crisiswatch/print?utm_source=Sign+Up+to+Crisis+Group%27s+Email+Updates&utm_campaign=80e70f1737-EMAIL_CAMPAIGN_2018_06_01_12_45&utm_medium=email&utm_term=0_1dab8c11ea-80e70f1737-359425329&t=Crisiswatch+May+2018&crisiswatch=6122&date=May+2018

With this destruction of persons and places comes destruction of the records of faith. Archival associations seem to know very little about the preservation of faith-based records other than those of Christian and Jewish groups. A quick review of the 590 members of the Society of American Archivists’ Section of Religious Collections turned up only a few members representing Jewish institutions and one Baha’i, while of the 74 members of the International Council on Archives’ Section of Archives of Faith Traditions (where it is much more difficult to identify representation), the overwhelming majority of members represent Christian groups. And yet we know all faith-based organizations and schools and fellowship bodies keep records, of adherents and rituals and rites. How are the records of these bodies preserved? What condition are they in? The professional associations appear not to know. As important as faith is to human society and as much conflict as it sparks, surely we must make sure that the evidences of those faith activities are well and truly preserved, just as we must make sure that the records of religious persecution are available for justice measures.

Meanwhile, I am taking a good look at pigs. You never know: one might turn out to be a sailor.

June: Special courts and the archival ingredient

Quincy Wright was an early 20th century U.S. international law scholar. During World War I, as he thought about a possible League to Enforce the Peace, he told his father that such a League should have, as a slogan, “for political questions, conference rather than coup. For legal questions, court rather than correspondence (italics in original, quoted by Daniel Gorman in “International Law and the International Thought of Quincy Wright, 1918-1945,” Diplomatic History 41:2 (2017), 336-61.)

Wright was referring to the discussions on establishing an international court for the “peaceful settlement of international disputes,” which was created in 1920 as the Permanent Court of International Justice. Nations today have taken to heart the idea of court to enforce peace within the polity and strikingly often are creating special courts to handle certain kinds of cases. In May Sri Lanka created a special court to hear corruption cases; in June Ukraine established what it termed an “anti-corruption” court. Also in June, the Central African Republic created a special criminal court to investigate war crimes and crimes against humanity, while Columbia’s Congress passed a “final” law on the courts known as the “Special Jurisdiction for Peace” (see below for citations). The new courts, like the then-new Permanent Court of International Justice, have an immediate, acute need for good archival operations. No court can legitimately judge without evidence, and the prosecutors and the defense counsel equally need good record-keeping systems to litigate cases successfully, whether in a civil or common law system or in a blend of both.

Further, when the court is closing, the judges, the registrar, the prosecutors, and the defense need to know—or establish—what will happen to the records. In June the prosecutor at the International Crimes Tribunal in Bangladesh, a special court trying cases of war crimes and crimes against humanity that occurred during the 1971 Bangladesh independence war, turned over four case files to the national archives. These records, like those produced by special courts everywhere, are highly politically sensitive and require robust security. After all, special courts are set up to handle unusually difficult cases, and it can be in the interests of parties—whether winning or losing—to have at least some of the evidence disappear. Prosecutors in these special jurisdictions acquire much more evidence than they ultimately use, choosing whom to prosecute and which charges to bring. Access to the accumulated prosecutorial records requires careful archival review and informed consideration of the consequences of the release of records not ultimately used in court, as well as the records that were sealed by the court itself. (This is also true for the temporary international tribunals, such as those that judged genocide cases in Rwanda and the Balkans, where the prosecutorial records are vast and the court records contain sealed sections.)

The creation of special courts illustrates the caboose nature of archives: archivists do not drive the establishment of establish special courts, but once established, archives must deal with the records: courtroom transcripts, evidence, audiovisual products, records of prosecutors, chambers, registry, witness protection, and the deliberations of judges (see, for example, the decision by the Supreme Court of Canada on the records of its deliberations in HRWG News 2018-05). And archivists usually have no say in whether the records are sent to the national archives, to the archives of the regular court system, or to a special body for at least a temporary period. But as the train of litigation moves forward, archivists must be along for the ride.

July: Coincidence, correlation, causation and records of courts

Coincidence, correlation, causation. Within 16 days of each other in late May and early June, Congolese warlord Jean-Pierre Bemba’s conviction was overturned on appeal by the International Criminal Court (ICC) and four former senior military officers in Guatemala were convicted of crimes against humanity. That was a coincidence. Both court decisions created political upheavals in the countries involved. Whether that is correlation or causation is more complicated.

Despite a voluminous case file and a conviction in the lower court, on June 8 the ICC appeals judges, by a 3-2 decision, overturned Bemba’s 2016 conviction for war crimes in the Central African Republic. He flew back to the Democratic Republic of Congo (DRC), on August 1, to be greeted by “throngs of people—many in T-shirts, hats and scarves bearing his likeness,” according to Reuters. Bemba quickly followed his “thunderous welcome” (as African Arguments reported) by filing to run for president in the election scheduled for December. The DRC constitution sets a limit of two terms for the president, which expired in 2016 for the current president, Joseph Kabila, but he did not step down. At Bemba’s return, his supporters chanted, “Kabila, know that Bemba is back,” and “hours before the deadline to register candidates,” Kabila’s party announced that its presidential candidate would be Emmanuel Ramazani Shadary, who is under European Union sanctions for his role in the crackdown on protests in 2016 when Kabila did not depart. In addition to Bemba, more than a dozen other men have filed to run for president. But is there a correlation—that is, a relationship between two or more things—between Bemba’s triumphant return and Kabila’s decision to step aside?

Bemba appears to be favored to win the election. African Arguments called him “a deeply flawed candidate,” but urged the public to “get behind Bemba,” because “a rough and muddy diamond is more valuable than certain despair.” Bemba has spent the last ten years at the ICC, and as Olivia Bueno pointed out in an opinion piece for the Open Society Justice Initiative, most Congolese “never believed in Bemba’s guilt.” With the court sitting far away and most of the public unable to see the hearings, understand the language of the court (physical and legal), hear the witnesses, read the transcript or review the evidence, the process lacked credibility to the Congolese voter. The record is there, but it is distant. Until international courts figure out how to share their proceedings with the affected populace (there is substantial literature on court “outreach” problems) and court archives begin providing more of the evidence on line, judging the actions of a man like Bemba and weighing his suitability to be your president will be based on serious information gaps. https://www.ijmonitor.org/2018/08/impact-of-the-bemba-acquittal-already-seen-in-the-democratic-republic-of-congo/; https://www.reuters.com/article/us-congo-politics-bemba/supporters-of-congo-opposition-leader-bemba-await-his-return-home-idUSKBN1KM42C; http://africanarguments.org/2018/08/10/drc-congo-time-opposition-get-behind-bemba/

Unlike the distant Bemba trial, the Molina Theissen case dominated Guatemala news during its three-month trial and unanimous May 23 verdict. Again, the trial record is enormous--even the court’s judgment ran to 1,075 pages. As Jo-Marie Burt and Paulo Estrada wrote in a three-part examination of the judgment, “Official military documents, international treaties, and domestic jurisprudence were fundamental to the court’s determination,” and the judges “referred to convictions handed down by Guatemalan courts for the enforced disappearance of Fernando Garcia and Edgar Enrique Saenz Calito, the Spanish Embassy massacre, the Maya Ixil genocide, and the sexual violence and sexual and domestic slavery against Maya Q’eqchi women in Sepur Zarco, among others.”

The consequences of the judgment came quickly. As gAZeta pointed out, in the Garcia and especially the Molina Theissen case, documents from Guatemala’s Historical Archives of the National Police (AHPN) were used by prosecutors to show that the victims were detained by police who handed them over to military units: “conclusive documentary evidence.” Many former members of the military and police units active during Guatemala’s long and bloody civil war are today overt or covert powers in the government. They don’t like the possibility that existing documentation could be used against them in some future public process. So, it is perhaps neither coincidence or correlation but cause that, following the Molina Theissen trial and with more cases hovering in the future, the police archives was removed from the oversight of the national archives (Archivo General de Centroamerica) and reassigned to the vice minister of culture for “Patrimonio,” and the founding executive director of the police archives, Gustavo Meoño, was informed that his contract (which expired on July 31) would not be renewed. One of the most puzzling elements of the changes is the assignment of a member of the Guatemala office of the United Nations Development Program to be the director of AHPN. Neither of these newly responsible persons is known to have archival experience. The representative of the United Nations High Commissioner for Human Rights in Colombia wrote to his social network that the changes were “a strategy to silence the archive,” a statement that was subsequently removed from the posting but had already been picked up by the press. 

In the wake of these events, a group of individuals and nongovernmental organizations created a petition, asking questions about the situation and demanding a guarantee that the police archives will be preserved and continue to be open for use by institutions, organizations and individuals, and that the investigations undertaken by the archives’ staff will continue. The petition, open for signature, is an annex to this issue. The U.S. nongovernmental organization National Security Archive is collecting institutional and individual signatures to be forwarded to Archives without Borders, which will coordinate the international response and the presentation of the petition to the responsible officials. 
http://www.gt.undp.org/content/guatemala/es/home/presscenter/pressreleases/2018/08/COMUNICADO/archivo-historico-de-la-policia-nacional--ahpn-/
;  https://www.ijmonitor.org/2018/08/the-molina-theissen-judgment-part-i-overview-of-the-courts-findings/;  http://gazeta.gt/category/especial-ahpn/ ; https://m.eldiario.es/politica/ONU-Archivo-Historico-Policia-Guatemala_0_800020021.html; http://gazeta.gt/gustavo-meono-brenner/

August:  The DNA Dilemma for Archives

Ostraka aren’t pretty, but in their day were they ever powerful! These little pieces of pottery were used by a citizen (male, free man) of Athens in the fifth century B.C.E. to vote on the person in the city that he wished to be expelled. After these ballots were counted, they were thrown away. While we think of ostraka as objects (from which the English word “ostracize” is derived), they are documents: they have a base (pottery), an impression on the base (a name scratched on it manually) and convey information (he’s the one I want out of here).

Archives usually have associated objects that don’t meet the criteria of a document: a glove in a court case file, a model in a patent application, a lock of hair among a set of personal papers. But some associated objects, like ostraka, have the characteristics of a document. Human rights investigators at sites of bombings may find pieces of weaponry with identifying numbers on them. These show maker and model: conveying information over space and time, on a metal base with an impression made by mechanical casting when the weapon was produced. These fragments alone they don’t tell us who used weapon, just as ostraka do not tell us if the person named was actually expelled, but they have evidentiary value.

Smaller and even mightier than ostraka, DNA samples amplify the power of small material. Clearly the result of the analysis of a DNA sample is a document, whether recorded in a database or on a spreadsheet or in a report. But what of the sample itself? The language of DNA analysis talks about “reading” the DNA, and the elements of the DNA are chemical bases (a different sense of the same word archivists use to describe a document). DNA certainly conveys information over space and time, but there is no “impression on the base” as the classic definition of a document requires: the information is encoded within the DNA by natural process. In other words, DNA conveys information, but in an entirely different way than a document in archival terms. If, then, the DNA sample is an “associated object” but not a document, the sample is unlikely to be covered by institutional regulations for deciding whether or not to retain it. This question is not trivial: a recent investigation using DNA in the Netherlands found a Dutch prosecutor ordering the “voluntary sampling of up to 21,500 Dutchmen based on familial profiling, and the obligatory sampling of 1,500 men of special interest to the case,” the New York Times reported. https://www.smh.com.au/world/europe/17-500-dutchmen-gave-dna-samples-for-murder-probe-now-an-arrest-20180828-p5005e.html  The results of these analyses are records of the prosecution, to be disposed of in accordance with Dutch rules, but what should happen to the samples?

This is an extreme case, of course; in a more usual situation there would be one or more samples and an analytic report. If the sample is destroyed, it would be impossible to re-examine the DNA for possible use in a future review of evidence. One option is to preserve the DNA and the data that links the sample to the analysis as long as the person can be presumed alive, perhaps adding a few decades as a margin. But is that long enough for scientific researchers looking at populations for genetic characteristics (see, for example, the ALS item under United States below)? Is it long enough to satisfy the interests of people tracing their heritage, both for family history and for medical information?

If archives need to hold DNA samples for extended periods of times, along with the analysis and the metadata linking the two (for example, a table linking the number on the sample’s vial to the report and the person), are archives equipped—physically and technically—to do this?  Unlike the ostraka which, like most baked pottery, are virtually indestructible, DNA samples are susceptible to all the deterioration of a body. Any archives that is the potential recipient of DNA materials needs to think now about its decisions on retention of DNA samples and its capacities for the care of this small, powerful evidence.

September: Geography and the fate of archives

We spent much of the last two decades talking about the use of archives in situations of transitional justice, focusing on the four pillars of holding accountable, ensuring no repetition, learning the truth of what happened, and providing reparations. We looked at a country’s traumatic, undemocratic past, but  exhibited an often naïve faith that its future would be more democratic than its past regime permitted. Now, however, we need to face the bleak reality that some countries go in the opposite direction, that a brief experience of a less repressive regime may be succeeded by the imposition—abruptly or by incremental steps—of a new repressive form of government or new repressors with a revival of the old form of government. 

In the face of this fragility, archivists need to think about the steps archives in countries sliding into neo-repression should take to protect their holdings. Obviously the type of archives makes a difference: government archives have certain constraints, while the archives in nongovernmental organizations, businesses, faith-based organizations, and private archives have different sets of issues to confront.

The working group assembled by swisspeace to discuss archives at risk has made important progress in developing a protocol for handling archives that need a security copy outside the country. (The draft “Guiding Principles for Safe Havens for Archives at Risk” will be considered by the International Council on Archives at its meeting in late November.)  But seeking a safe haven is a step that often is taken only when an emergency is at hand.

What should archivists do in countries where democratic rule is shaky but an emergency is not yet at recognized? Here are a few suggestions:

*Identify the most important part of the holdings and identify which part of the holdings may be most at risk in the case of civil unrest or of a governmental confiscation. These may not be the same materials. A constitution or an ancient codex may be the most significant holding but may not be in danger, while routine lists of members of faith-based organizations may be.

*Note whether the holdings at risk are copied; if not, decide whether they should be copied and whether a copy outside the country is necessary now.

*Study the physical security of the archives building and the holding areas. Be alert to places where arson could be set easily. Think about who provides the security (the police, a private company) and its reliability. Think about who provides computer services; think about the strength of firewalls.

*Agree upon who will decide to close the building abruptly in the face of unrest.

*Agree upon who will take over the administration of the archives if the current administrator is forced to leave abruptly. Have a backup to the backup, too, as it is not unknown to have both the archivist and deputy archivist under threat.

*Decide what to tell donors, including what the archives will do if faced with a legal demand to turn over the donor’s materials.

“Geography is fate,” the Greek philosopher Herarclitis allegedly said. We know that is true for us as individuals, whether we are born to privilege or poverty, for example, how far we live from health care and good schools. And we know it is true, too, for the natural environment, as seas rise with climate change and storms grow stronger. It is also true for archives that are physical entities: the risk to their survival depends on geography, including what political system the archival institution exists within. In the face of unsettling events and tenuous times, archivists need to consider carefully whether the geography where they live will put the holdings at risk or will contribute to their safety.

October: A birthday present for the Universal Declaration of Human Rights

What do you give a 70-year-old for a birthday? If it is the Universal Declaration of Human Rights, turning 70 on December 10, the answer might be a bit of reinforcement.

The drafters of the Declaration were clear: this was a universal declaration, not a United Nations declaration, although the group worked under the aegis of the then-new UN. The Preamble of the Declaration proclaims that “recognition of the inherent dignity and of the equal and inalienable rights of all members of the human family is the foundation of freedom, justice and peace in the world.” Records are essential to protect these rights and to obtain recourse when these rights are violated. The nexus between human rights and archives is strong and complex.

The Declaration was a statement of aspirations, but it lacked any means of enforcement. Work on an enforcement mechanism started soon after the declaration was adopted, leading to the 1966 International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights, which established treaty responsibilities of the signatory States. But what about violations by non-state actors, particularly by transnational corporations and business entities? Today the damage done to health, economic stability, cultural properties, and social well-being by corporate entities is undeniable. It is easy to see the effects on workers and communities that are co-located with an industrial site, but increasingly the impact is on all of us. As readers of HRWG News know, there has been a long list of failed attempts to hold multinationals accountable for human rights violations.

The United Nations recognized this problem, and in 2011 the UN Human Rights Council endorsed the “UN Guiding Principles on Business and Human Rights,” a set of guidelines for States and companies to prevent, address and remedy human rights abuses committed in business operations. But, like the Universal Declaration, these Guiding Principles have no enforcement mechanism. There is a current proposal to adopt a legally binding instrument “to regulate, in international human rights law, the activities of transnational corporations and other business enterprises,” but its passage is far from sure. 

What does all this have to do with archives? The Guiding Principles, for all their words and the extended commentary, say NOTHING about the need for good corporate records in order to monitor the operations of the business, to ensure that there is a reliable record of the actions and transactions, that there is an effective retention of records that provide evidence of corporate actions that could reasonably be assumed to impact human rights. Not a word. Yet simply reading the document shows that the Principles cannot be upheld unless a business has a robust records management and archives program, preserving the records that demonstrate the institution’s compliance with—or lack of compliance with—the guidance.

We need to assure that both transnational corporations and national companies have robust records programs. We need to support corporate archivists, whose paychecks come from the company, to insist on retention of records with a human rights component. And we need the international financial institutions to incorporate in their financing agreements both the requirement that the client consent to be bound by the Guiding Principles and that the client consent to maintain a trustworthy archives regime to ensure accountability processes.

That would be a truly useful 70th birthday present for the Universal Declaration of Human Rights.

November: Demolition by neglect, or the little house that stood

Once upon a time there was a little house. It was in the old part of the city, and old people lived in it. They had raised their family in the house, as had their parents and their grandparents. None of the families had very much money, and after all the years and all the children, the little house started to sag and lean and leak when it rained. One day a real estate developer offered to buy the house. He planned to tear it down and build a grand new apartment building; he planned to make a lot of money. The owners were happy to sell and move. The developer asked the city for a permit to tear down the little house. To his surprise, the city said no, the house was in the old city and it was part of the city’s historic fabric. The developer was angry. He decided that he would just let the rain and the wind do their work on the little house; he would neglect how it looked. Surely if the roof caved in and the porch separated from the kitchen he would be allowed to tear it down. He practiced demolition by neglect.

Archives too often are treated like the little house. They are neglected; records rot. A few examples:

*In 2016 the state archives in Jammu and Kashmir (India) said the government had not turned records over to it since 1985.

* In Guatemala the Archivo General de Centro America, officially created in 1937 and holding what it believes is “the most comprehensive collection found anywhere in the world of historical records spanning the period of Spanish rule in the Americas” (1544-1831), has only four staff members and is in a building that has not had room to accession new materials since the 1960s.

*The national archives of Nepal and Peru are being “evicted” from their building because the courts (not the archives) need more space.

*Some countries, like the Republic of the Marshall Islands, have no national archives at all.

From “incomplete” records in Indonesia to open windows where butterflies and birds can enter the archives in Sierra Leone, records are in peril. Whether the neglect by the government is unintentional, coldly dismissive, or intended to make certain records disappear, the result is same: the archives are, day by day, being destroyed.

The owner of government archives is the people of the nation, and it is the people’s government that is the neglecter. In other words, unlike the owner of the little house, we hurt ourselves not help ourselves in demolition by neglect. For everyone who wants to prove ownership of a piece of land or the birth of a child or the right to vote or the need to prove innocence of a crime, records are essential. In the case of sensitive records, such as those of the police or pertaining to indigenous people, the lack of support by the government allows critical evidence to deteriorate beyond the point of repair and outside the reach of persons whose lives are affected by access to archives. And the situation is ever more dire as governments create electronic records which neglected archives have no means to manage.

It is essential that international bodies state clearly that neglect of records violates human rights. The Office of the High Commissioner for Human Rights should issue such a statement; surely, as the current High Commissioner was a victim of state crime in Chile, she knows how important records are for protecting and protesting the violation of human rights. The Inter-American Commission on Human Rights should issue a similar finding. These statements should be officially transmitted to all national governments, putting governments on notice that they are expected to comply. And in the Universal Periodic Review, the unique process which involves a review by the UN Human Rights Council of the human rights records of all UN Member States, one of the preparatory questions should be what actions the State has taken to preserve and protect and provide access to the archives in its country in fulfilment of its human rights obligations.

And the little house? The developer sold it to a public-spirited citizen, who repaired the roof and patched the porch. And it lived happily ever after.

December: 2018 in Review

As we start a new year and look back on the tumult of the one just past, here are items from each month of HRWG News in 2018 that, taken together, illustrate the diversity of human rights issues that include archives. Best wishes for the year ahead!

January.  One of the twins born of a Canadian surrogate mother from the mixed sperm of two male donors was found, through DNA testing, to be the child of the U.S. citizen donor, so the child was automatically a U.S. citizen and entitled to a U.S. passport, and the other twin, born of an Israeli donor, was not.

February.  Setting an important precedent, the Inter-American Court of Human Rights issued an advisory opinion that a healthy environment is a right “fundamental to the existence of humanity” and that States must avoid causing “significant” environmental damage inside or outside their territory and provide access to information related to potential environmental harms.

March.  The Commission on Human Rights in South Sudan took over 230 detailed individual witness statements and gathered over 58,000 documents, including confidential records, covering incidents in South Sudan since December 2013, but warned that “every day . . . documentary evidence is lost, concealed or destroyed.”

April.  U.S. police compared DNA collected from a 1980 crime scene with DNA data on the genealogy website GEDmatch and found distant relatives of the suspect, who was arrested.

May.  A study found that physicians who use stigmatizing language in their patients’ medical records may affect the care those patients get for years to come.

June.  Using massive quantities of video footage of the February 2014 protests in Kiev, Ukraine, a research team reconstructed the deaths of three protesters to identify the sources of the bullets that killed them and created a composited video that was accepted as evidence by the criminal court hearing a case against five police officers. 

July.  Germany’s Federal Court of Justice ruled that heirs should have access to the Facebook accounts of the deceased.

August.  Israel’s Justice Minister instructed the Israel State Archives to release some 300,000 files relating to the children of Yemeni immigrants, whose disappearance after their arrival in Israel over a half century ago has been at the center of a lingering controversy.

September.  India’s Supreme Court upheld the constitutionality of the government’s massive biometric identification and registration project, Aadhaar, but with restrictions.

October.  The Peace Research Institute Oslo, Norway, used 20 years of statistical studies on the relationship between education and political violence and found the “lack of male education appears to be the strongest predictor of conflict.” 

November.  A Canadian judge ruled in favor of access to records of the Truth and Reconciliation Commission, citing the ICA position on access.

December.  DNA tests on ancient remains in Australia and on samples from Indigenous people living in the area where the remains were found show clear links; this may enable repatriation of Indigenous human remains when provenance documentation is lacking.

Archival commentaries 2019

January: Documentation for the disappeared

“We went to the hardware store. My father and I waited in the pickup while my husband went in. He never came out.” That was all the Guatemalan woman said to me, simply, without explaining what happened next, but we can guess: the increasing concern, the decision to go into the store and find him, the questioning of the clerk, the panic, the decision to go home not to the police, the calls to family and friends, the wait to see if there is a ransom demand, the deadening realization that he is not coming back, the juggling of finances to cover needs, the heart-rending decision to ask that he be declared dead so that life can go on.

Resolving disappearances is crucial to the health of any society and the stability of its government. And yet, as the attorney general of El Salvador admitted (see below), although disappearances in the country had increased by 10% in 2018 to 3,514 cases, El Salvador still has “no institutionally agreed methodology to count disappearances.” To begin to fill this methodology need, the United Nations Committee on Forced Disappearances drafted “Guiding Principles for the Search for Disappeared Persons,” now under revision. https://www.ohchr.org/EN/HRBodies/CED/Pages/SearchDisappearedPersons.aspx

Records are a critical resource in the search for the disappeared. The revised Guiding Principles should insist that the records of each investigation must be managed competently from the start of the investigation to the disposition of the records when a case is closed. This is particularly important if the investigating authority is a temporary body rather than a regular part of the government or if it is faced with thousands of cases. The investigating authority should have a robust records management system both to handle the evidence it obtains on a case and to provide evidence of the work done by the authority with regard to the search. The authority should have a records schedule that states clearly what will happen to the records when a case is closed (whether by return of the disappeared person, retrieval of remains, or administrative procedure) and states which archives will receive the records of the authority, including both administrative and case-related records. The public, both persons who are searching for disappeared relatives and those who want to know how the authority carried out its mandate, has a right to know what will happen to the records.

The Guiding Principles must apply to the records of both government and non-government entities. The Principles should acknowledge that business records often contain information needed for resolving human rights cases. Three recent examples:

*In December 2018 a court in Argentina convicted two former executives of a local Ford Motor Company plant of involvement in the 1976 kidnapping and torture of 24 workers employed by Ford at their factory on the outskirts of Buenos Aires. Among their acts, the men were accused of providing photographs, home addresses and other personal data of the victims to agents of the dictatorship so they could be abducted.

*Also in December 2018, a Brazilian appeals court upheld the 2015 ruling against the Swiss agribusiness company Syngenta for the 2007 murder by Syngenta’s contract security firm of a member of a rural workers group that was protesting at Syngenta’s genetically modified food experiment site.

*After Colombia in August 2018 charged 13 former executives of United Fruit (Chiquita) company with using death squads to kill persons interfering with the work of its plantations, a nongovernmental organization in Washington, DC, published profiles of the 13 men “drawing on available public sources and a 48,000 page trove of the company’s internal records gained through [a] successful Freedom of Information Act lawsuit.”  

We all wish there would be no need for the Guiding Principles, that no one would go into a hardware store and never come out. But until that wished-for day arrives, we need a good protocol for handling cases of the disappeared. No attorney general ever again should say, “We have no methodology to count disappearances.”

February: A Road Paved with Records

Two roads diverged in a wood, and I--
I took the one less traveled by,
And that has made all the difference.

“The Road Not Taken”
Robert Frost (U.S. poet), 1915 

During the past decade young men and women from all over the world took the road to ISIS in the Middle East. Most were Muslim, some were not; most were men, some were women; some went to Syria, some went to Iraq and other countries with ISIS affiliates. After arriving in Syria, some burned their passports.

Now that the ISIS jihadist group is cornered in Syria, some members, captives, and people swept up in the group’s territory are fleeing and surrendering. Held in various jails and detention centers, they include children born while their mothers were with ISIS. Some detainees want to return to their native lands where their parents are anxious to see their children and grandchildren. The return, however, is controversial in the home countries, whose officials worry that these ISIS adherents may not have renounced extremism and will be a danger to national security.  

In late 2017 Iraq and Russia announced they were setting up a joint database listing Russian-speaking children “whose parents are believed to have been killed while fighting in Islamic State group ranks” and who are in “government-run children’s homes in Baghdad” in order to return them to relatives in Russia. Russia estimated there are “around 500 children” from “Russian origin or from former Soviet Union countries” in these homes. When the Iraqi government receives official documents from the Russian Embassy in Baghdad “proving that those children are from a Russian origin” the Iraqi Higher Judicial Council decides whether the child should be sent to Russia and the Immigration Department “stamps the passport.” How many of these children have been transported has not been reported. https://www.telesurtv.net/english/opinion/Iraqi-Ambassador-to-Russia-on-Bringing-Them-Home-Campaign-20170923-0013.html?utm_source=planisys&utm_medium=NewsletterIngles&utm_campaign=NewsletterIngles&utm_content=36

Unlike that situation, today’s potential returnees are adults and sometimes adults with children. According to the Washington Post, France is considering bringing home more than 100 former Islamic State fighters, with their families, while Belgium’s government is fighting a judge’s order to “repatriate six Belgian children along with their mothers, former Islamic State sympathizers who twice travelled to Syria.” https://www.ndtv.com/world-news/shamima-begum-19-who-joined-isis-to-lose-uk-citizenship-1996814  It is relatively easy for a government to determine whether a person was issued a passport, and in most countries there are birth registrations and school records and social services and census data that show citizenship. But two examples show the complications that may arise when a government considers a return.

* Shamima Begum, born in the U.K. to Bangladeshi parents who are naturalized citizens, ran away from her home in 2015 to join ISIS. She wants to come back. In the U.K. it is only possible to strip someone of U.K. nationality if they are eligible for citizenship elsewhere “and it is thought Ms Begum could be a Bangladeshi citizen because she was born to a mother believed to be Bangladeshi,” reported BBC News. https://www.bbc.com/news/uk-47310206. Consequently, the U.K. Home Office sent a letter to her parents, saying she was stripped of U.K. citizenship and barred from return. An immigration lawyer told the Washington Post that children of Bangladeshi parents are automatically citizens at birth but this ends at age 21 “if they do not make an effort to retain that citizenship.” https://www.ndtv.com/world-news/shamima-begum-19-who-joined-isis-to-lose-uk-citizenship-1996814  Shamima has not done so; unless she acts, in two years she could be stateless. The nationality of her infant son, whose father is Dutch, is also in question. The Guardian reported that the Dutch Immigration and Naturalisation Service said “to live in the Netherlands with a Dutch national, a spouse or partner would need a resident permit – which would require a valid passport or other travel document,” neither of which she has.  https://www.theguardian.com/uk-news/2019/mar/03/shamima-begum-dutch-husband-wants-to-take-teenager-to-netherlands

*If that case is not complicated enough, look at the case of Hoda Muthana. She was born in the U.S. on 28 October 1994 to Yemeni parents. Her father was a Yemeni diplomat at the United Nations, and he “surrendered his diplomatic identity” either in June 1994 before his daughter was born, making her a birthright U.S. citizen, or in February 1995, which would make her a Yemeni. After Hoda’s birth both parents got residence “green cards” and stayed in the U.S. Hoda got a U.S. passport in 2004 and a renewal in 2014, just before she went to Syria and joined ISIS where she publicly burned her passport. She now wishes to return. The U.S. government revoked her passport in January 2016 saying it had been issued in error: she was not a birthright citizen because “the US Mission to the UN’s records showed that Muthana’s father didn’t lose diplomatic status until months after Hoda was born.” A further complication: she has a small son whose father is Tunisian; it is not clear where her son is a citizen.  https://www.vox.com/world/2019/2/22/18236309/hoda-muthana-isis-citizen-trump-pompeo

Passports, birth records, green cards, naturalization records, border control records, video evidence of actions on behalf of ISIS: whichever path is chosen, it is paved with documents. And that makes all the difference.

March: Summer is coming–-and so is climate change

“Sumer is Icumen in,” sang 13th century Brits. Today both summer and climate change are “icumen in.” The UN Secretary-General, alarmed by the World Meteorological Organization’s report on “rising global temperatures and disastrous consequences,” announced a Climate Action Summit to be held in New York on 23 September. He told Heads of State, “Don’t come with a speech, come with a plan.” https://www.bl.uk/collection-items/sumer-is-icumen-in; http://www.eurasiareview.com/31032019-un-chief-calls-for-urgent-action-to-address-dangers-linked-to-climate-change-analysis/?utm_source=feedburner&utm_medium=email&utm_campaign=Feed%3A+eurasiareview%2FVsnE+%28Eurasia+Review%29; for report see  https://gallery.mailchimp.com/daf3c1527c528609c379f3c08/files/82234023-0318-408a-9905-5f84bbb04eee/Climate_Statement_2018.pdf

The Observer Research Foundation, an Indian nongovernmental “think tank,” analyzed the world’s “capacity for climate justice.” Pointing to “extreme weather events and rising average temperatures,” it said “the socio-economic effects of climate change include the potential mass migration of individuals and communities in the future.” Coastal communities in the U.S. and Bangladesh have already been forced to move (see item in HRWG News 2019-01); nations like the Maldives, with an average elevation of just a meter and a half above sea level, are in danger of needing to move entire populations if the international community continues its “lackluster global effort to curb human-induced climate change.” http://www.eurasiareview.com/14032019-capacity-for-climate-justice-analysis/?utm_source=feedburner&utm_medium=email&utm_campaign=Feed%3A+eurasiareview%2FVsnE+%28Eurasia+Review%29

When people and institutions (commercial, faith-based, educational, medical, non-governmental, governmental, inter-governmental) move, records need to move with them. Archives buildings housing historical records may be located in vulnerable sites and need to be moved. And moving things is hard. Good advance planning is fundamental if the records are to be safely relocated. (For a brief overview of the complexities of preserving records during a planned move, see “Moving Archival Records: Guidelines for Preservation” by Gabriella Albrecht-Kunszeri and Maida H. Loescher, Comma, The International Journal on Archives: 2001/3/4.) But planning assumes we know where records are. And ironically, although archivists are the proponents of knowledge about records, often we don’t. A project in the United States to create a map of archives encountered a significant amount of difficulty—and that did not include mapping the locations of records still in the hands of the creators.

What we need now--all over the world but especially in locations under threat from climate change—is to map the location of historical archives and current records and to overlay that map with maps of climate change impacts (for example, the map of sea level change https://sealevel.nasa.gov/understanding-sea-level/key-indicators/global-mean-sea-level ). That would allow us to identify the materials that need to be either relocated within the nation or, as a last resort, stored (digital copy or analog) in an external safe haven. 

Who can do such mapping? National archival institutions, archival associations, universities—in short, any entity with persons who have the skills and time to do it. Donors such as foundations could be tapped for funds. UNESCO should pay a role in promoting the project. And when a regional or national map is completed, stakeholders should gather to decide how to proceed with far-sighted, informed, realistic preservation measures. As the Secretary-General said, we need to stop talking and come together and plan. 

 

April: Crimes that go unpunished

Hold ‘em or fold ‘em? Use it or lose it? In the popular card game poker, hold ‘em [them] means you play with the cards you have and fold ‘em means you throw them down and quit. Use it or lose it is a popular culture phrase, often referring to sexual activity by senior citizens. Both phrases have something to teach us about archives of conflict.

As the wars in Syria, Iraq and perhaps Afghanistan decrease in intensity, demands increase to hold perpetrators of war crimes and crimes against humanity accountable for their actions. Enormous quantities of information have been amassed by official bodies such as the UN Independent International Commission of Inquiry on Syria and a host of private groups including the Commission for International Justice and Accountability in Syria and Iraq, the Syrian Justice and Accountability Center, the Syrian Observatory, the International Bar Associations’ eyewitness to Atrocities app, and others. There is no dearth of evidence.

Realistically, the International Criminal Court will not handle cases arising from these conflicts; it prosecutes high-level officials and military leaders, not the majority of persons who committed crimes. The courts of local and national governments are too weak or corrupt to be fair. Yet victims want a justice process. https://syriaaccountability.org/updates/2019/04/17/prosecuting-isis-in-northeast-syria/?utm_source=SJAC+Weekly+Update&utm_campaign=e2fc334ad1-EMAIL_CAMPAIGN_2019_01_10_02_56_COPY_01&utm_medium=email&utm_term=0_0a7405c641-e2fc334ad1-90540617

A troubling element is the recent decision by the International Criminal Court on Afghanistan. In November 2017 the ICC Prosecutor asked the judges “for permission to open an investigation into alleged war crimes committed in the Afghan conflict, including by the U.S. military,” Justiceinfo. net reported. In March 2019 the U.S. Secretary of State announced, “If you’re responsible for the proposed ICC investigation of U.S. personnel in connection with the situation in Afghanistan you should not assume that you still have, or will get, a visa or that you will [be] permitted to enter the U.S.” In April the visa of the ICC prosecutor was revoked; the ICC judges decided to deny the Prosecutor’s request to open an investigation. A recently departed ICC prosecutor said that “the information about alleged crimes by the CIA was very strong,” and in the wake of the decision “we may see a situation where alleged criminal activity under international law that has been acknowledged by the U.S. government and documented by other courts, government, NGOs and victims go unprosecuted.”   https://www.justiceinfo.net/en/live-feed/40582-us-in-first-sanctions-against-icc.html ;  https://www.upi.com/Top_News/US/2019/04/05/US-denies-entry-for-ICC-prosecutor-under-new-ban/7091554464008/ ; https://www.justiceinfo.net/en/tribunals/icc/41098-reality-check-for-the-icc-in-afghanistan.html

So the world is accumulating an ever-increasing amount of evidence on crimes that go unpunished, from Sri Lanka to Papua to Rwanda. The list of only UN investigations into serious international crimes is long—Congo, Myanmar, Burundi, South Sudan, etc.--and the records exist; see http://libraryresources.unog.ch/factfinding/chronolist. Add to that the records of the nongovernmental organizations that monitor conflicts and we have persuasive records of atrocities committed. Should we say that because this evidence can’t be used now, we will lose the opportunity to hold accountable (use it or lose it)? Or do we believe that, in the longer term, there may be a path to justice (hold ‘em not fold ‘em)? 

We are seeing some evidence that many years later persons can be held accountable. Both Peru and Romania are beginning trials for crimes committed in the 1980s; Argentina recdently completed a trial on events in 1976 (see items below). Sudan’s dictator, long under ICC indictment, is now in jail; whether he will be transferred to The Hague is unclear. Having records of the atrocities committed is essential, perhaps especially for delayed justice. So to archivists who manage records of conflicts and investigations, the advice is: Hold ‘em.

May: “Expect the machines to take control”

Ask a classroom of university students to list the researcher advantages of digital archives, whether digitized or born digital, and you get predictable answers: available without respect to location, time of day, age, physical mobility, or political system--in other words, democratic access. Some savvier students may say it helps preserve papers and photographs because they aren’t handled. A few may complain gently about the thousands of hits they get for a simple query, but most are happy to search without having to develop a search strategy. They fail to note that the actual researcher is a machine.  

The broad uses of artificial intelligence (AI) and the increasingly sophisticated algorithms employed raise significant issues for researchers, for human rights and for archives.  

Consider this: According to the Daily Mail, the European Union plans to introduce “swarms of AI driven robots that can patrol borders by surveillance of the sea and land.” The robots’ data will be fed to a control room where it will be linked to data from “static sensors.” An algorithm will then identify “threats” to be sent to “border authorities” and “operational personnel.” A leader of the International Committee for Robot Arms Control told the Italian magazine Il Manifesto the group wants “to prevent two functions of the machines: target selection and targeting.” AI systems for facial recognition are known to incorporate bias: according to researchers at two U.S. universities “three commercially released facial-analysis programs from major technology companies demonstrate both skin-type and gender biases.” In tests, “the three programs’ error rates in determining the gender of light-skinned men were never worse than 0.8 percent. For darker-skinned women, however, the error rates ballooned — to more than 20 percent in one case and more than 34 percent in the other two.” So how accurate will the EU robots be in identifying border crossers, smugglers, and polluters, the targets of the EU programs? https://www.dailymail.co.uk/sciencetech/article-7022589/Swarms-automated-drones-controlled-AI-patrol-Europes-borders-using-powerful-sensors.html; http://news.mit.edu/2018/study-finds-gender-skin-type-bias-artificial-intelligence-systems-0212

Or think about this records issue: A non-profit organization in California developed an algorithm which “can, at the touch of a button, delete the criminal records of thousands of people,” Digital Journal reported. Called “Clear My Record,” the algorithm examines “thousands of lines of conviction data and determines eligibility [for destruction] within minutes.” The developer says it could “clear 250,000 convictions throughout California by the end of 2019.” Let’s hope the algorithm was taught records retention rules.  http://www.digitaljournal.com/tech-and-science/technology/justice-algorithm-wipes-the-criminal-past-of-thousands/article/548754

Or this structural archives issue: A records management official in a government agency that is installing an artificial intelligence system to manage the agency’s records from retention to retrieval to destruction was asked if the AI system eventually would be transferred to the national archives along with the records. He said he thought that the national archives would never hold AI-powered records, that the records would stay permanently in the agency and be managed by it with the national archives having solely a monitoring role.

Or this freedom of information issue: Is an algorithm employed by a government reachable as a record under a freedom of information act? Italy has a case on point. After a national public exam to hire teachers, the Italian Ministry of Education used an algorithm to assign teachers to schools. A legal battle followed, as teachers unhappy with assignments demanded to know how the algorithm worked. Italy’s highest administrative court decided that the algorithm was an administrative document, created by humans who gave it specific instructions, and therefore was covered by the right of access law. (Thanks to Giulia Barrera for the information.) https://parer.ibc.regione.emilia-romagna.it/notizie/algoritmi-delle-pa-una-sentenza; for the court decision see https://www.giustizia-amministrativa.it/portale/pages/istituzionale/visualizza/?nodeRef=&schema=cds&nrg=201704477&nomeFile=201902270_11.html&subDir=Provvedimenti

Finally, in addition to concerns about bias in targeting as a human rights issue and destruction and retrieval as archives issues, AI adopters are realizing that “training” a major AI system is a massive task. Moreover: As reported in n a new paper, researchers at a U.S. university “performed a life cycle assessment for training several common large AI models. They found that the process can emit more than 626,000 pounds of carbon dioxide equivalent—nearly five times the lifetime emission of the average American car (and that includes manufacture of the car itself).” So in addition to the complex intellectual task of training, there is an environmental impact. https://www.technologyreview.com/s/613630/training-a-single-ai-model-can-emit-as-much-carbon-as-five-cars-in-their-lifetimes/

The Council of Europe (CoE) has taken a step to address the human rights concerns that arise from the machine as researcher. CoE’s Commissioner for Human Rights issued “Unboxing Artificial Intelligence: 10 Steps to Protect Human Rights.” Step 7, on data protection and privacy, says member states should have legislative safeguards when AI systems are used to process “genetic data; personal data relating to offences, criminal proceedings and convictions, and related security measures; biometric data; personal data relating to ‘racial’ or ethnic origin, political opinions, trade-union membership, religious or other beliefs, health or sexual life.”  https://rm.coe.int/unboxing-artificial-intelligence-10-steps-to-protect-human-rights-reco/1680946e64 Now we need to think how those principles will apply to archives.

As long ago as 1951 Alan Turing, the brilliant World War II era British mathematician and computer visionary, wrote in the essay Intelligent Machinery, A Heretical Theory, “It seems probable that once the machine thinking method had started, it would not take long to outstrip our feeble powers… They would be able to converse with each other to sharpen their wits. At some stage therefore, we should have to expect the machines to take control.” http://uberty.org/wp-content/uploads/2015/02/intelligent-machinery-a-heretical-theory.pdf

It’s time to take notice.

June: Holes in the Poles and the right to be wrong

They appeared in the doorway, two middle-aged men in dark suits, white shirts, dark ties. Dick, my boss in the office of U.S. Presidential archives, asked how he could help them. “We know,” one said, “that ships from outer space have landed on the White House lawn in every Administration since Taft and you are hiding the records.” No, Dick replied, space ships had not landed on the White House lawn, there are no records of such events, and the archives was not hiding such records from the public. “You lie,” they said. After a little more discussion, the men explained that there are holes at the North and South Poles that lead to sub-tropical paradises where space ships fly in to refuel. That led Dick to suggest that they talk with the archivist who handled the records of polar explorations. They did. That archivist had just participated in an expedition to Antarctica; he told them he had been to the South Pole and there was no hole there. “You lie,” they said.

Many people are concerned about fake information posted to social media (see https://www.journalism.org/2019/06/05/many-americans-say-made-up-news-is-a-critical-problem-that-needs-to-be-fixed  and items below in the technology section). But at least as worrying is the trend to believe things that are demonstrably wrong, disbelieving government (space ships did not land on the White House lawn), experience (I was at the South Pole), or professionalism (we did not hide records).

A core human right is the freedom of belief. But does that entail the right to be wrong, to believe an untruth in the face of truth? A representative of the British Red Cross Society said that since the August 2018 outbreak of the Ebola virus in the Democratic Republic of Congo its workers have heard “more than 33,000 individual rumours, observations and beliefs related to Ebola,” such as “The Ebola virus doesn’t exist; it’s a virus that was made to eliminate the Congolese.” How, he asked, “do you fight a disease people don’t believe in?” http://news.trust.org/item/20190620142457-zkby8/

The Wellcome Global Monitor polled people in 144 countries on beliefs about vaccines, which again and again have proven effective. It found that in France one in three people think vaccines are unsafe--the highest rate in the world--and nearly one in five believe they aren’t effective. “According to the World Health Organization (WHO), reluctance or refusal to vaccinate is now one of the top ten major threats to global health. One manifestation of this is that even people in high-income countries, with good healthcare systems, are dying from easily preventable diseases.” https://mosaicscience.com/story/how-france-persuading-its-citizens-get-vaccinated-measles-antivax-vaccines-vaccination/?utm_source=STAT+Newsletters&utm_campaign=6d5d1a258a-MR_COPY_08&utm_medium=email&utm_term=0_8cab1d7961-6d5d1a258a-149736437

To be sure, there is an enormous difference between believing in holes in the Poles and believing that Ebola does not exist. The critical test for the right to be wrong must be whether acting on the belief hurts others. Believing in space ships is unlikely to harm anyone, but failure to treat a communicable disease surely can. There are limits to the right to be wrong.

Archivists know that the records we manage contain both truths and untruths, and when we provide a certified true copy of a document we only assure the recipient that it is a true copy, not that the information in the document is true. But we do hold records that are demonstrably true: that a treaty exists, that a person was appointed to a university post, that the efficacy and safety of a vaccine was tested before it was put on the market. And we hold records showing that an action or transaction was based on false information, prejudice, and fear. Our task is to ensure that the original record is protected, knowing that a copy of it can be manipulated in many ways and its information can be believed, disbelieved or ignored. But if you do happen to have a reliable, original image of a subtropical paradise at either Pole, let me know.

July: “As only archivists can do” 

“As only archivists can do,” said the prosecutor. The case was in Italy, but it could have been in Guatemala or Bangladesh or anywhere. Here is the story:

In January 2017 a tribunal in Rome sentenced two former heads of state and two ex-chiefs of security forces from Bolivia and Peru, two military officers from Chile, and a former Uruguayan foreign minister to life imprisonment for their involvement in the coordinated, cross-border system of repression known as “Operation Condor.” The case involved the “disappearance” of 42 dual citizens – 33 Italian-Uruguayans, 5 Italian-Argentinians and 4 Italian-Chileans. And although the court convicted the five, it acquitted all other defendants (14), of whom eleven were Uruguayan.

During that trial Giulia Barrera, senior archivist at the national archives of Italy, was an expert witness for the prosecution. At the beginning of the trial, the prosecutor encouraged the court to read at least a few crucial documents regarding the creation of Operation Condor and suggested the court also read the transcript of the testimony of “historian and archivist” Giulia Barrera, who provided tools for understanding the value of such documents “as only archivists can do.” The prosecutor said Dr. Barrera analyzed the documents with “specific technique and made an assessment of the value of sources” so that the documents could be incorporated in the trial with full confidence about their value. The prosecution then presented U.S. declassified documents and documents from the archives of Paraguay, Uruguay and other sources. The court considered these documents crucial evidence of the existence of Operation Condor and of its criminal nature.

The decision in the first trial was appealed, and the Court of Appeal combined it with other related cases, several of which concerned persons who were kidnapped and killed in international illegal repressive operations carried out in the framework of Operation Condor. Archival documents again played a crucial role. During the appeal trial no witness was admitted, but the lawyer for the State of Uruguay was able to present new archival documents that were recently declassified in Uruguay, including the personal military file of Nestor Troccoli, a Uruguayan Navy officer with dual Italo-Uruguayan citizenship who fled Uruguay to escape trial and took refuge in Italy.

On 9 July 2019 the Court of Appeal sentenced all 24 defendants to life imprisonment for the murder of Italian citizens (Italo-Chilean and Italo-Uruguayan) who were “disappeared” in Chile, Argentina and Uruguay in the 1970s. Only one defendant, Troccoli, was present; the rest were sentenced “in absentia.” Finally, justice.

As only archivists can do, indeed.

https://nsarchive.gwu.edu/briefing-book/southern-cone/2017-01-17/operation-condor-condemned-life;  https://www.republica.com.uy/plan-condor-uruguay-da-vuelta-juicio-en-roma-y-logra-prision-perpetua-para-trece-represores-id718206/;  https://www.presidencia.gub.uy/comunicacion/comunicacionnoticias/sentencia-tribunal-apelaciones-italia-plan-condor ; https://www.theguardian.com/world/2019/jul/08/italian-court-jails-24-over-south-american-operation-condor The entire trial was recorded by “Radio Radicale” and is available here https://www.radioradicale.it/processi/1266/processo-dappello-contro-i-responsabili-delloperazione-condor

Note: The June commentary suggested that the “critical test of the right to be wrong must be whether acting on the belief hurts others.” Antoon De Baets wrote to say that the right to be wrong is supported in General Comment 34 on States parties' obligations under Article 19 of the International Covenant on Civil and Political Rights (ICCPR). The only legitimate grounds for restricting the right to freedom of expression listed in the ICCPR are (a) For respect of the rights or reputations of others; and (b) For the protection of national security or of public order, or of public health or morals. Paragraph 49 of the General Comment says, “The Covenant does not permit general prohibition of expressions of an erroneous opinion or an incorrect interpretation of past events.”

August: Before the Water Comes: Mapping for Preservation

After the heart-breaking reports of Hurricane Dorian’s devastation in the Bahamas, I emailed Patrice Williams, the director of the National Archives, and asked, “Are you and your colleagues okay after hurricane Dorian? Did you have damage to the archives?” She replied that both the colleagues and the archives are safe, as they were out of the direct path of the storm. “Whew,” I thought. But we know that a national archives does not hold all important records: business records, archives of faith-based institutions, school records, archives of all sorts of nongovernmental institutions, local notary and land transaction records, personal papers in homes and bank boxes—these are all vulnerable and the damage to them cannot be determined with a quick email.

It is not clear what effect global warming had on the violence of the Category 5 hurricane that was Dorian, but it is unquestionable that climate change is real, with no cessation in sight. The Intergovernmental Panel on Climate Change’s 2018 report showed oceans warmer than estimated (see HRWG News 2018-10 and 2019-01); for a recent analysis of the warming world, see https://www.washingtonpost.com/graphics/2019/national/climate-environment/climate-change-world/. Along with warmer oceans, climate change brings the melt of ice caps and glaciers, leading to sea level rise. As the National Geographic explains, “The most recent special report from the Intergovernmental Panel on Climate Change says we can expect the oceans to rise between 10 and 30 inches (26 to 77 centimeters) by 2100 with temperatures warming 1.5 °C. . . . Another analysis based on NASA and European data skewed toward the higher end of that range, predicting a rise of 26 inches (65 centimeters) by the end of this century if the current trajectory continues.” That will mean permanent flooding in thousands of populated areas, not only on the coasts but also along the rivers that lead to the sea. https://www.nationalgeographic.com/environment/global-warming/sea-level-rise/

We know that in the wake of disasters people need documents. The foresighted Syrian project called The Day After copied court and land records in Aleppo, Syria, and took copies out of the country to save them from manmade disaster. But people also need records of marriages, education, employment, affiliations, health. And communities need the documents of heritage in order to root themselves in their culture.

Archivists have thought a great deal about coping with disasters, such as floods and hurricanes that result in (usually) temporary displacement. And archivists have given some thought to disaster preparedness, too. But inexorable climate change requires a longer strategy. Archives of all kinds will have to assess the risk, decide how to mitigate that risk, and take action, which may take years to accomplish. Does the archives move? Does it stay in place but send security copies to another location, either in the country or outside? Does it need evacuation plans? Will building changes, like a seawall, be enough?

To begin, archivists must to understand the scope of the changes that are coming. One way to do this is to map. The first step would be to map the locations of the archives in the country or province, including in government offices, major businesses, faith-based organizations, schools, and so forth. No mapping project will find all of them, but it should be able to locate the major ones. Next overlay that map with the best projections of sea level rise, such as in the forthcoming IPCC publication Special Report on the Ocean and Cryosphere in a Changing Climate (https://www.ipcc.ch/). With that information in hand, a council of stakeholders can assess the nature of the risk and decide on actions that need to be taken to prevent mass loss of archives.

As the world’s climate continues its rapid change, we can be certain that not all archives will be as lucky as the National Archives of the Bahamas was this time. We archivists need to get ready to preserve the records of our civilizations.

September: Who are you? The tattoo solution

In the 18th century Jeremy Bentham, an English philosopher, suggested that people should tattoo their name, address, and date of birth on their wrists: “Who are you, with whom I have to deal? The answer to this important question would no longer be liable to evasion.” While Mr. Bentham’s suggestion was ignored—and today’s tattoo fashion is far from name and address—the identification of a person is an enduring problem. Documents—passports, identity cards, medical records, driver’s licenses, marriage contracts, birth certificates—many people have one or all of these. 

Except when they don’t, or when the documents they have are not trusted by the person who asks, “Who are you?”

For example, in Berlin a man was arrested for killing a former Chechen separatist commander on 23 August. According to the New York Times, he had a Russian passport and, yes, arm tattoos but “investigators believe the name is fake.” An anonymous email to the Berlin police suggested the man is a former major in the St. Petersburg police department named Vladimir Alekseevich Stepanov; the Times found his name in “court and government records in Russia” and “also ran searches through millions of images on numerous photo databases and located two potential photographs of him,” but then Fontanka.ru, a Russian news website, said Mr. Stepanov was in prison and published a “current photo of Mr. Stepanov, which does not seem to resemble the suspect in custody in Berlin.” So who is he?  https://www.nytimes.com/2019/09/26/world/europe/berlin-murder-russia.html?rref=collection%2Fbyline%2Fkatrin-bennhold&action=click&contentCollection=undefined&region=stream&module=stream_unit&version=latest&contentPlacement=2&pgtype=collection

For another example, migrants of all ages often have few and sometimes no documents. Human Rights Watch issued a report on the treatment of unaccompanied migrant children in the French Hautes-Alpes. It conducted interviews between January and July with 61 juvenile migrants as well as others who interacted with the children and reviewed the records of evaluations of 36 children by the government, 13 juvenile court judgments, and 2 guardianship offers. The children told them that they “felt they had not been heard” during their interviews with French authorities, “a conclusion reinforced when they saw the reports prepared by the examiner.” HRW found that “many [of the children] are refused formal recognition as children after flawed age assessments” and “police have also harassed aid workers, volunteers, and activists who take part in search-and-rescue operations in the mountains.” Among other recommendations, HRW urges the government to presume that the “birth certificates and other identity documents obtained abroad” that the child has “be presumed valid in the absence of substantiated reason to believe they are not” and to treat the children as the juveniles they are. https://www.hrw.org/report/2019/09/05/subject-whim/treatment-unaccompanied-migrant-children-french-hautes-alpes

And then there is this: “A new Chinese app that lets users swap their faces with celebrities . . in a video clip racked up millions of downloads,” Reuters reported, but sparked “new concerns surrounding identity verification.”  https://www.reuters.com/article/us-china-tech-zao/chinese-face-swapping-app-goes-viral-sparks-privacy-concerns-idUSKCN1VN0G9

Governments hold a monopoly on issuing documents of legal identity, and government archives around the world hold literally billions of examples. The UN’s Sustainable Development Goal 16.9 is “By 2030, provide legal identity for all, including birth registration.”  It does not say where and how that registration is to be maintained and made available to the person asking, “Who are you?” Tattooing is looking better all the time.

October: Human dignity and the dead in Caesar photographs

On the evening of October 31, I walked into a Hong Kong hotel seeking food and was confronted with a shining white skull—artificial, but startlingly realistic. It was, of course, decoration for Halloween, the night when certain traditions say spirits rise from graves and cavort in the world. From apparently pagan roots, Halloween in various countries has become a festival, a commercial celebration, a costume party, a time to watch horror movies: in other words, fun.

It is a testament to the ability of humans to compartmentalize that when we see a skull on a reception desk we smile but we demand that photographs of the dead are handled with the utmost discretion. Consider the issue of the Caesar photographs. In 2014 a Syrian military police photographer, given the cover name “Caesar,” managed to leave Syria, bringing with him on a computer thumb drive 53,275 images of approximately 11,000 dead bodies of people tortured and killed while in Syrian military detention. He told a three-person Inquiry of eminent jurists that the reasons he was ordered to take the photographs were “[f]irst to permit a death certificate to be produced without families requiring to see the body thereby avoiding the authorities having to give a truthful account of their deaths; second to confirm that orders to execute individuals had been carried out.” At that time of the Inquiry’s report, the photographs were entrusted to the “Syrian National Movement.” https://static.guim.co.uk/ni/1390226674736/syria-report-execution-tort.pdf

On 21 September 2017, the European Center for Constitutional and Human Rights (ECCHR) and a number of Syrians called the “Caesar Files Group” filed a criminal complaint with the German Federal Prosecutor in Karlsruhe against senior officials from the Syrian intelligence services and the military police for crimes against humanity and war crimes. The Group gave the Prosecutor “a set of high-resolution images and metadata” that “can be used to verify the photographs and provide further information about them. This adds to the evidentiary value of the images and paves the way for further investigatory steps.” In June 2018, the “German Federal Court of Justice (Bundesgerichtshof) issued an international warrant against Jamil Hassan on the basis of the so-called Caesar Files, their metadata as well as witness statements by Syrian torture survivors. Hassan was the head of the Syrian Air Force Intelligence Service until July 2019 and therefore responsible for torture in thousands of cases.”  https://www.ecchr.eu/en/case/caesar-photos-document-systematic-torture/

Meanwhile, the nongovernmental Syrian Network for Human Rights (SNHR) obtained “about 6,189 Caesar photographs” and is working to determine the identity of the people photographed (the images have only numbers, not names). So far SNHR has identified 801 persons, including 2 children and 10 adult females. It decided not to publish the photos it has because, it wrote, this “would involve many violations, perhaps the most prominent of which is the violation of victims’ and family members’ privacy . . the publication of such distressing photos may cause further trauma and pain to the tens of thousands of families whose children are still forcibly disappeared. In addition to this, most of these graphic photos of individuals killed under torture contain shocking and distressing scenes and we believe that disseminating them without very good cause is a violation of human dignity.” http://sn4hr.org/blog/2019/10/21/54362/

Atrocity photographs are, unfortunately, increasingly common, from videos of Islamic State murders published on line to images of police brutality captured by cellphone cameras. They are important as potential legal evidence, for resolving the fates of persons, and for the history of the event and the human community. Some of them are public immediately, such as the images broadcast by the gunman who killed two people and injured two more in Halle, Germany (see below). But managing the records of undisclosed atrocity photographs such as those Caesar had requires a sensitive, serious consideration of their impact when made public, the privacy rights of the families of the persons pictured, and the need to show the public the evidence of crimes. Surely if it is possible to bring closure to a family by making the photos available to the family for review while protecting their privacy, that is the just course of action, while denying access to the general public. SNHR and others who hold such archives have a most serious responsibility when they grant access.

November: News at 10! 

It began this way: At the 2009 meeting of the International Council on Archives, national archivists were wary of the 6-year-old Human Rights Working Group. They seemed fear that if a body with the ICA’s name pointed to human rights abuses by governments, it would make it difficult for them to continue supporting ICA. As the incoming chair of the HRWG, I took the stage at the annual business meeting and promised that the Group would look at human rights issues in all sectors of society, not just governments. The way I thought to keep my word was to send out regular reports about human rights in international news. I put out the first issue of HRWG News in December 2009 which, as you look at the issue number above, means this issue completes a 10-year run of monthly releases.

That first issue was only two pages in length, and it announced that the next issues of the newsletter would discuss the Articles of the Universal Declaration of Human Rights and highlight examples of records essential to exercise those rights; those became commentary topics through July 2012. The next set of commentaries focused on the Principles of Access to Archives, which the ICA adopted at its August 2012 annual meeting. Since that run was completed in June 2013, the commentary has simply focused on a topic in the news. To mark the 10-year anniversary, a list of commentary topics will be posted to the SAHR website. The compilation of the commentaries on the Universal Declaration of Human Rights, which I issued in 2018 for the 70th anniversary of the UDHR, can be found there also.

Early on I began to separate items into sections for international, general, bilateral/multilateral, and national news. Individual country and bilateral items form the most prominent part of the News; over 150 countries have been featured at least once in the 10 years. But increasingly human rights in business and in medical treatment and the related records have assumed greater importance in the coverage. I always include news from international organizations, as that information is often lacking or buried in national news media yet has broad impact.

Deciding how to characterize a news item is difficult. Do you, for example, think an item on how DNA is used in research on criminal cases should be listed under privacy, technology or medical news? Is an item on the war in Yemen part of the general wars in the Middle East or is it separate (right now it is separate)? Early issues had all news about UN Special Rapporteurs under the UN heading, but as I heard from people that they read only the news items on the countries in which they were interested, I started moving UN and other international news that applies only to one country to the country item. The yearly indexes for the News, which I began keeping in 2013, show how shockingly inconsistent I have been. Yearly indexes for 2016-2018 will be posted to the SAHR website.

After a reader told me that some of the summaries were too brief to allow him to decide whether to read the whole story, I started adding more text to some items, adding work for the translators. Coverage changes; for instance, a few years ago I dropped reporting on any but extraordinary data breaches—there were just too many. I try to avoid using links that lead to sites for paying subscribers only; often I can find an open site that carries the same story and I will cite that.

Over the years I have been asked how I put the issue together. I am always grateful for leads to articles, and I thank the tipsters. But mostly it comes from reading: a dozen daily newspapers in paper or on line and several dozen other electronic news sources, some daily, some weekly, some biweekly, some monthly. I always use and am enormously thankful for Peter Kurilecz’s RAINbyte, Documentary Heritage News from Library and Archives Canada, and the monthly Crisis Watch from the International Crisis Group; without them this News would be poorer.

The News has many unseen helpers. Until her untimely death in 2017 Cristina Bianchi translated it into French. Since that time the major work of French translation has been done by Remi Dubuisson and Myriam Erwin. Before 2015 some of the News was translated into Spanish by Roman Lescano; since that time Paloma Beneito Arias, Valentina Rojas and Blanca Bazaco Palacios share that task. A number of people have served as webmaster, getting the News onto the ICA page, including Teresa Fallon, Kate Blalack and, currently, Roman Lescano. Thanks to all of them for this time-consuming, unrecognized but incredibly devoted work.

Distributing the News has been complicated. I post the News to the ICA listserve, but the ICA is unable to maintain a subscription list for non-members. Consequently, UNESCO, through the good offices of Jens Boel, made an important contribution by distributing the issues through 2017 to a mailing list it maintained. Since then, thanks to Giulia Barrera, the National Association of Italian Archives’ online archival magazine Il Mondo degli Archivi has taken over, reformatting and distributing the News to a mailing list it maintains. Thanks to all these people and groups.

And, above all, my thanks to all readers everywhere. May the next ten years find more examples of archives affecting positively the human rights of each of us, anywhere we live and work and have our being.

December: 2019 in Review

We, Janus-like, both look forward to a new decade and look back at the events of the year just past. Here are items from each month of the News in 2019 that, taken together, illustrate the diversity of human rights issues that involve archives. Best wishes for the year ahead!

January.  Some U.S. police departments are finding it too expensive to manage and store the records of the body cameras their officers wear. 

February.  Facebook employs about 15,000 persons as “content reviewers” to moderate posts and delete those containing hate speech, violent attacks, graphic pornography and other images; this review takes a psychological toll on the reviewers.

March.  The European Court of Human Rights, citing Soviet KGB documents, issued a landmark ruling that Soviet repressions against Lithuanian partisans can be treated as genocide. The case is on appeal.

April.  The president of the recently concluded Tunisian Truth and Dignity Commission said she regretted very much the “sore lack of documents” provided to the Commission from the archives of the political police.

May.  In Guatemala the Historical Archives of the National Police (AHPN) was under threat from the Minister of the Interior; the situation has moderated since May but remains unstable.

June.  The nongovernmental Syrian Legal Development Programme published “The Human Rights and Business Toolkit for Syria” to help human rights defenders identify human rights issues linked to business activity and hold “perpetrators of business-related human rights abuses to account.”

July.  Akevot, a nongovernmental organization in Israel, published a report on the “Ministry of Defense mechanism to conceal archival records in various archives,” including those needed for understanding the 1948 displacement of Palestinians.

August.  The High Court of Bangladesh ruled that “women need no longer declare if they are virgins on marriage certificates.”

September.  Studies using criminal history records from the U.S. and Denmark found that a significant percentage of offenders who gave a DNA sample upon arrest were less likely to reoffend after release.

October.  A court in Northern Ireland ruled that oral history interviews of former Irish Republican Army members about events during the “Troubles” could not be used as evidence because both interviewee and interviewer had a “clear bias.”

November.  Climate research using satellite imagery, LandScan population data, and artificial intelligence found that within a mere three decades rising sea levels could regularly flood lands currently home to 300 million people.

December.  Records of the University of Cape Town’s medical school enabled researchers to find the living descendants of 9 San and Khoe persons whose 100-year-old skeletal remains are housed there. At the request of the families, the University facilitated research into the native San and Khoe people and will return the remains to the families.

Archival commentaries 2020

January: Archives and archivists in danger

Some days a mighty wave of dread washes up. I’m not alone in the feeling, it seems: in his 4 February press conference, United Nations Secretary-General Antonio Guterres said, “I have spoken recently about winds of hope. But today a wind of madness is sweeping the globe.” He was talking, of course, about the realm of peace and security, but the unpredictable instability affects archives and archivists, too. Here are some of the current situations where archivists are in danger or where archives are in danger or both.

A case where both archives and archivists are in danger is in Lebanon. UMAM Documentation & Research, a nongovernmental organization in Lebanon, holds materials relating to the 1975-1990 civil war, including the missing persons from it, as well as significant cultural records (newspapers, film, business records and personal papers). During the recent civil unrest and due to UMAM D&R’s overt political stands in favor of the popular protests, anti-protest rioters broke into the compound where UMAM D&R is located in Beirut’s southern suburb. They were restrained by the intervention of local people and persuaded not to damage the building and its contents. Threats have been made against the UMAM founders. (Personal communication)

Archivists are also in personal danger. In Chile Alajandra Araya, the director of the archives at the University of Chile (Archivo Central Andres Bello), a history professor, and a member of the human rights group at the university, is being prosecuted as an “accomplice of disruption and burglary” at the public school Liceo 7 Teresa Prats in Santiago. As part of the ongoing social revolt that started in Chile in October, students were occupying the school (a “toma”). Araya went to the school on 5 November to mediate, but during the event the police, acting with the authorization of the director of the school and the municipal authorities, entered, shooting. See below the declaration of solidarity with Professor Araya. Thanks to Valentina Rojas for the information. Declaración de solidaridad con la académica Alejandra Araya, profesora de la Cátedra de Derechos Humanos, Universidad de Chile; https://www.latercera.com/la-tercera-pm/noticia/acab-la-sigla-la-polemica-una-escuela-autodefensa-archivo-andres-bello-la-u-chile/974746/ ; https://ecoledeschartes.tumblr.com/post/190494197307/archives-archivistes-et-crise-au-chili-quelques 

In Guatemala, as reported in SAHR News 2019-11, former national archivist Anna Carla Ericastilla and former police archives head Gustavo Meono are both under pressure. Currently, Ericastilla is asking a labor tribunal to order compensation for her unjustified dismissal from the archives; in a separate action, a hearing on her request for dismissal of the criminal complaint against her was held in November, but a decision has not been made. (Personal communication)  

Also in Guatemala there is a hovering danger to personnel who worked for the former UN-sponsored International Commission against Impunity in Guatemala (CICIG). A legislative commission issued a 17-page report saying CICIG had violated rights and exceeded its mandate to investigate. The commission president called CICIG staff members “criminals.” UN Secretary-General Guterres responded with a statement saying both CICIG and the Guatemalan justice sector officials who worked with it “contributed to the eradication of corruption and impunity.” He urged the Guatemalan authorities to protect the safety of former staff members of CICIG, which would include those who worked on managing the documentation of crimes. Fortunately, a digital copy of the CICIG records is in the United Nations Archives in New York. https://www.prensalibre.com/guatemala/politica/informe-de-comision-pide-que-el-mp-gestione-ordenes-de-captura/ ; https://www.un.org/sg/en/content/sg/statement/2020-01-10/statement-the-spokesman-for-the-secretary-general-efforts-support-the-fight-against-impunity-guatemala-scroll-down-for-spanish

Then there are archives in danger. In Quito, Ecuador, the building housing the archaeological and art collections, the library and photographic collections of the Ministry of Culture was declared at risk of collapse. Plans were already drafted for a new facility in the outskirts of the city, but a broad coalition of groups demand that the government promptly transfer the materials to another building in the center of Quito. Thanks to Antoon De Baets for the information. https://www.elcomercio.com/opinion/patrimonio-peligro-opinion-columna-columnista.html

There are the unknown, uncertain dangers to archives, too. The Mission to Support the Fight against Corruption and Impunity in Honduras (MACCIH) ended on 19 January, as the Organization of American States, which had supported the program, was unable to reach agreement with the government for its renewal. The OAS issued a statement saying that together with the Attorney General’s Office, the activities of MACCIH resulted in the prosecution of 133 people in 14 cases and “above all, in strengthening national capacities to combat corruption and impunity.” However, the fate of the sensitive records of MACCIH was not specified.   https://www.oas.org/en/media_center/press_release.asp?sCodigo=E-003/20

Similarly, in Sri Lanka new president Gotabaya Rajapaska explained that “missing persons are actually dead” and that “after the necessary investigations” the families of missing persons will be given a death certificate. In 2015 a temporary presidential commission on the missing said it had received 23,568 submissions, including approximately 5,000 from families of security forces personnel. An Office of Missing Persons was established in 2018 to investigate the disappeared; with the arbitrary issuance of death certificates, what will happen to the Office and its records is not clear.  https://www.presidentsoffice.gov.lk/index.php/2020/01/17/un-resident-coordinator-delighted-with-presidents-sustainable-development-programs/?lang=en; http://nirmin.gov.lk/web/index.php?option=com_content&view=article&id=127:office-on-missing-persons-omp&catid=9:projects&lang=en&Itemid=208; https://www.icj.org/sri-lanka-presidents-remarks-on-missing-persons-are-an-affront-to-victims/  

So what are we to make of this wind? Does it reflect a growing understanding by political elites that archives have power? Or does it simply reflect the international zeitgeist, the authoritarianism that seems to be increasing? Whatever it is, we cannot simply shake our heads and move on: our colleagues, their archives and their institutions need support.

February: Guatemala and archives in danger 

From its first meeting in January 1946 until 13 February 2020 the UN Security Council never had a debate focusing solely on transitional justice. Thanks to the Belgium government, which presided over the Council in February, this long drought is ended. And, said the International Center for Transitional Justice, “The high turnout of member states was positively surprising, as more than 60 speakers signed up to present their official statements. A few minutes before the debate started at 10 am, the Security Council chamber was filled for a session that lasted into the evening.” https://www.ictj.org/news/landmark-unsc-discussion-transitional-justice

Michelle Bachelet, the UN High Commissioner for Human Rights, opened the session with a statement she delivered by video from Geneva. She began by saying, simply, “We know that lasting peace is interlinked with justice, development and respect for human rights.” She noted the recent developments in Sudan (see below) and referred to her own experience in Chile. Then she turned to the situation in Guatemala, saying:

Guatemala stands out for its landmark final report of the truth commission “Memoria del Silencio’ (1999). The report provided an authoritative record of human rights violations during the conflict, giving a voice to the victims and analyzing the dynamics underlying 36 years of conflict. It was instrumental in advancing victims’ rights, including in several high-profile judicial cases on conflict-related sexual violence and other crimes, which have resulted in orders for victim-centered and transformative reparations. Sadly, much of this progress is now at risk."

https://www.ohchr.org/en/NewsEvents/Pages/DisplayNews.aspx?NewsID=25552&LangID=E

As readers of this News know, the situation of archives in Guatemala is precarious. Court cases still entangle the former national archivist and the former director of the police archives. The records of the truth commission and the records of the International Commission against Impunity in Guatemala (Comisión Internacional contra la Impunidad en Guatemala, CICIG) are both in the United Nations archives in New York with no public research access to them. In Guatemala the Archivo General de Centroamerica (the national archives) continues to be cruelly under-resourced in staff, funds, and facilities. The police archives (Archivo Histórico de la Policía Nacional, AHPN) is moribund. 

In July 2019 Guatemala’s Human Rights ombudsman filed an amparo (a request for the protection of legal rights) with the Supreme Court of Justice to ensure preservation of and access to the police records. When no decision was forthcoming, on 3 February 2020 the Ombudsman together with representatives of the prosecutor for human rights and the Association of University Students, in a public hearing renewed the request.

To the surprise of many people, on 3 March the Supreme Court announced its judgment in favor of the Ombudsman’s position. Basing its reasoning on Article Two of the American Convention on Human Rights, it said that the Ministry of the Interior must not “threaten the integrity” of the police archives. The Ministry of Culture, which is the home of the Archivo General, must develop a plan within four months to restore the archives staff to numbers sufficient to carry on the work, the Congress must work on a revised archives law, and the government should obtain advice from national and international archivists. As human rights activist Kate Doyle commented, it is a very good resolution, but “we have to remember that (1) The government still has the option to appeal and (2) There is a big difference in resolution and action (within the AHPN).”

http://www.prensacomunitaria.org/archivo-historico-de-la-policia-nacional-hay-una-disputa-silenciosa-para-que-no-se-conozca-el-pasado/?fbclid=IwAR061EbU6sZwYGbhYZ3fjc9A8hay6Vvl7OcGptA_lS8wnkwUa9vLOeAa4So;

https://www.prensacomunitaria.org/csj-ordena-al-ejecutivo-resguardar-y-garantizar-el-funcionamiento-del-archivo-historico-de-la-policia-nacional/?fbclid=IwAR3WqxpZ3T6CAxbyEyawWWtIvvO38wxaDjOhXZi-ZehX4KDBym8A58vuGnY

If you wonder, as I often do, whether all the writing and policy statements on archives and human rights make a difference, the decision will reassure you. On page 42, footnote 68, the Court cites the 16 June 2019 statement published by the International Council on Archives on the Guatemalan police archives; on page 49, footnote 78, the judges cite the Rule-of-Law Tools for Post-Conflict States: Archives published by the United Nations High Commissioner for Human Rights in 2015; and on page 51, footnote 79, the judges refer to “The Administration of Justice and the Human Rights of Detainees:  Question of the impunity of perpetrators of human rights violations (civil and political)” known commonly as the  Joinet-Orentlicher principles. So to all of us concerned with archives and human rights: Keep writing. And thanks to all the colleagues who sent information on the Court and the decision.

March: COVID-19 and archives

Universal Declaration of Human Rights. Article 25 (1)Everyone has the right to a standard of living adequate for the health and well-being of himself and of his family, including food, clothing, housing and medical care and necessary social services, and the right to security in the event of unemployment, sickness, disability, widowhood, old age or other lack of livelihood in circumstances beyond his control.

“Circumstances” are beyond control around the world, as COVID-19 continues to rage. To regain control we need data, created as data or extracted from textual or cartographic or audiovisual records and evaluated statistically. As Paul Brodeur, a U.S. science reporter, wrote, “Statistics are human beings with the tears wiped off.” The underlying records are full of tears.

The World Health Organization’s Regional Office for the Western Pacific published a very helpful “Medical Records Manual: A Guide for Developing Countries,” and one on electronic health records. It emphasizes that medical records are essential for a patient’s present and future care but also for “the management and planning of health care facilities and services, for medical research and the production of health care statistics.” How each country compiles the statistics varies and to whom the data are made available varies, too.  https://apps.who.int/iris/handle/10665/208125https://apps.who.int/iris/handle/10665/208125 ; https://b-ok.cc/book/1126572/864b5e

As the nature of the COVID-19 spread became apparent, the head of the World Health Organization said to the WHO Executive Board, “Firstly, all member states need to share detailed information of the outbreak as part of their responsibilities under the International Health Regulations (IHR).” WHO collects health data from countries worldwide to make projections and analyses. It has tried to harmonize reporting by creating an International Classification of Diseases (ICD-11) which is “used to code and classify mortality data from death certificates” and a number of supplements, including the International Classification of Diseases, Clinical Modification, used “to code and classify morbidity data from the inpatient and outpatient records, physician offices” as well as for surveys and research. Around the world, countries are collecting and sending data on corona cases to WHO, which publishes a daily update. But there are difficulties with the data. Partly it is a coding question; while there may be cases of deliberate under-reporting (see China below) or difficulties of communication, at least some of the problem is misidentification of cases of COVID-19 as pneumonia or another illness. And yet the data is all researchers have for epidemiological research to find cures and vaccines and all administrators have for health-management purposes. (For a comparison of three main sources of data on COVID-19 deaths, see https://ourworldindata.org/covid-sources-comparison.) http://www.china.org.cn/world/2020-02/05/content_75675069.htm; https://icd.who.int/browse10/Content/statichtml/ICD10Volume2_en_2016.pdf 

The UN High Commissioner for Human Rights Michelle Bachelet, herself a doctor, warned on 6 March, “”COVID-19 is a test for our societies, and we are all learning and adapting as we respond to the virus. Human dignity and rights need to be front and centre in that effort, not as afterthought.” https://www.ohchr.org/EN/NewsEvents/Pages/DisplayNews.aspx?NewsID=25668&LangID=E

Many human rights organizations are concerned about the widespread use of the data being generated by the COVID-19 crisis, both as a danger to privacy and an excuse for dictatorial powers to impose restrictions on essential freedoms.

*European Digital Rights, an association of civil and human rights organizations across Europe, on 20 March called “on the Member States and institutions of the European Union to ensure that, while developing public health measures to tackle COVID-19, they: Strictly uphold fundamental rights; Protect data for now and the future; Limit the purpose of data for COVID-19 crisis only; Implement exceptional measures for the duration of the crisis only; Condemn racism and discrimination; Defend freedom of expression and information.” https://edri.org/covid19-edri-coronavirus-fundamentalrights/

*A coalition of 13 U.S. human rights organizations wrote to all members of the U.S. Congress, “Individuals must retain certain fundamental rights over the data collected from them during or as a result of the crisis, and whatever increased access to personal data is allowed to companies and the government during the emergency should be removed once the emergency has passed.” https://www.citizen.org/wp-content/uploads/Covid-Response-Privacy-Protections-Letter-3-20-with-Signatories.pdf 

*Privacy International announced it is tracking the global response to COVID-19 because, “Tech companies, governments, and international agencies have all announced measures to help contain the spread of the COVID-19 virus. Some of these measures impose severe restrictions on people’s freedoms, including to their privacy and other human rights. Unprecedented levels of surveillance, data exploitation, and misinformation are being tested across the world.” https://www.privacyinternational.org/examples/tracking-global-response-covid-19

*Business and Human Rights Resource Centre created a “Depth Area” on its website to report “the latest news on the implications of the outbreak for business and human rights.”

https://www.business-humanrights.org/en/covid-19-coronavirus-outbreak?mc_cid=35a0fc334b&mc_eid=151854dc7e 

Each of these groups could point to UDHR Article 29 (2) in support: In the exercise of his rights and freedoms, everyone shall be subject only to such limitations as are determined by law solely for the purpose of securing due recognition and respect for the rights and freedoms of others and of meeting the just requirements of morality, public order, and the general welfare in a democratic society. 

Keeping records is an essential service during this pandemic. The data generated will save us, now and in the future. Perhaps as never before, we recognize recordkeeping is a public good.

 

April: Prison records of releases during COVD-19

Prison sentences are shortened for many reasons: commuted, pardoned, paroled. The COVID-19 pandemic has added a new one: furloughed. Governments around the world, worried about the spread of the virus to crowded prison populations, are freeing prisoners. They seemed to have support for this from the High Commissioner for Human Rights, who in late March said prison authorities should “examine ways to release those particularly vulnerable to COVID-19, among them older detainees and those who are sick, as well as low-risk offenders.” Governments heard that—and expanded on it. 

The International Crisis Group’s April “Crisis Watch” shows, for example, that:

*Cameroon’s president released prisoners “to limit spread of COVID-19 in prisons;”

*Iran “extended furlough of prisoners temporarily released in March to 20 May;”

*Nicaragua released “1,700 prisoners ahead of Easter celebrations;”

*Myanmar’s president “announced [the] country’s largest ever prisoner amnesty, releasing some 25,000, more than a quarter of total prison population, very few political prisoners included,” and released “hundreds of detained Rohingya who faced court cases for travelling within the country without permission” but then “returned [them] to displacement camps in Rakhine;”

*Somaliland’s president “ordered release of 574 prisoners;”

*South Sudan “ordered release of 1,400 inmates to reduce prison overcrowding;”

*in Eritrea the UN special rapporteur on human rights in Eritrea and Amnesty International both “called for release of prisoners from overcrowded prisons amid COVID-19 pandemic.” https://www.crisisgroup.org/crisiswatch#overview

It is one thing to release “regular” prisoners, but quite another to release those accused of crimes against humanity. In Chile, in what the Council on Hemispheric Affairs said was “an extraordinary step backward,” the Court of Appeals in Santiago “granted release and sentence reductions to 17 State actors convicted of crimes against humanity perpetrated against thousands of Chilean citizens during the Pinochet dictatorship.” This was immediately condemned by human rights groups, and well over 100 people signed an open letter protesting impunity in Chile; they worried that more releases would follow: “Pinochetista legislators are pressuring the . . government to grant those among these prisoners who are over 75 years old the benefit of house arrest, measures presently being studied with regard to the coronavirus.” https://www.eurasiareview.com/24042020-open-letter-with-100-signatures-opposes-release-of-pinochet-era-perpetrators-of-crimes-against-humanity/

In late March 2020, the Association of Defense Counsel practicing before the International Courts and Tribunals urged the UN International Residual Mechanism for Criminal Tribunals to grant the early or provisional release of persons sentenced to imprisonment by the International Criminal Tribunals for the former Yugoslavia and Rwanda (ICTY and ICTR) in light of the COVID-19 pandemic. Three persons convicted by ICTY of war crimes during the Balkan wars of the 1990s requested early release; the president of the Mechanism rejected the request, which was “applauded” by representatives of Bosnian war victims. A man convicted by ICTR of crimes against humanity and genocide argued that “the coronavirus pandemic requires that the Early Release Application be granted without further delay.” The Mechanism rejected that also. https://balkaninsight.com/2020/04/08/hague-court-denies-early-release-to-unrehabilitated-convicts/; https://jrad.irmct.org/view.htm?r=246957&s=

The issue came into sharp focus on 6 April when former Chad president Hissene Habre was given a “60 day leave” from prison in Senegal where he has been serving a life sentence for crimes against humanity imposed by a special Senegal/African Union court. A Senegalese judge ordered him to stay “at his home in Ouakam, a district of Dakar, and . . to return to prison on its expiry.” An association of victims of the Habre regime strongly objected.  https://www.aljazeera.com/news/2020/04/chad-president-temporarily-released-jail-due-covid-19-200407070630471.html

The UN Special Rapporteur on the promotion of truth, justice, reparation and guarantees of non-recurrence waded into this controversy, issuing a statement and advice to governments on 29 April: “Urgent measures to protect against COVID-19 in overcrowded jails should not lead to impunity for persons convicted in many countries for serious violations of human rights, crimes against humanity, genocide, or war crimes.” He noted that individuals convicted of such acts “usually enjoy conditions of detention established for security reasons that avoid mass contact, which places them at an advantage in terms of safety and health compared to other persons deprived of their liberty.” He concluded that if it is impossible to have “safe and healthy detention conditions,” as a last resort “temporary house arrest should be granted, with appropriate controls. . . . However, the individuals must return to prison once the emergency situation has passed, to serve the remainder of their prison term.”  https://www.ohchr.org/EN/NewsEvents/Pages/DisplayNews.aspx?NewsID=25840&LangID=E ; https://www.ohchr.org/EN/Issues/TruthJusticeReparation/Pages/infonotecovid.aspx

Thinking through the documentation of these mass releases, permanent or temporary, is instructive. With smaller releases, such as the Chilean case, it is possible to add the Appeals Court decision to the file of each individual. But releasing hundreds or even thousands based on a presidential order means careful individual documentation is unlikely. Does a lack of documentation pose a danger for the person released, because existing records will show that he or she should be in prison but is not? Could this lead to re-arrest? If the situation is one of conditional release, as with Habre, what documentation is created to show where he is? Is a tracking system in place that will trigger officials to bring him back to prison on the specified date? And the Rohingya, freed from prison but sent to a camp—what records exist of this?

Prisoner records cannot, of course, tell the full story of the releases; that will be in the files of the politicians and administrators. But it is essential that both the decision to release and at minimum a list of those to whom it applies and what conditions it imposes are documented. In the future these are the records that will allow the public to know what the government did and to hold it accountable for its actions in the time of COVID crisis.

May: Archives in the age of COVID-19 and public protest

It was hard to decide how to treat the massive coverage of the coronavirus and the protests, from Hong Kong to New York and beyond, in this issue of SAHR News. You will find some items on both topics below, but they cannot and do not represent anything like complete coverage of the linkage between human rights and the convulsions of medical and social and economic upheaval. To keep track of the many statements made by “56 United Nations special procedures, 10 UN human rights treaty bodies, 3 principal regional human rights systems (each with various components), and their respective ‘parent’ intergovernmental organizations” on issues of human rights in the face of the COVID-19 pandemic, the International Justice Resource Center created a webpage that very helpfully provides links to them all.  https://www.justsecurity.org/70170/mapping-the-proliferation-of-human-rights-bodies-guidance-on-covid-19-mitigation/

Many archives and historical organizations are documenting the worldwide social impact of the coronavirus pandemic, from Singapore to Sao Paulo, from memoirs to street signs, and historians are urging on these plans (see, for example, the presentation by Georgetown University history professor Ananya Chakravarti). And just as this effort was well underway came the immense movement spurred by the killings of innocent black men in the United States and the insistence that Black Lives Matter and the desperate need to document this, too. As the Society of American Archivists said, “Archives workers should follow current guidance on ethical recordkeeping and archiving of social movements during this time of crisis, with special care taken toward the protection and safety of Black Lives amidst anti-Black violence perpetrated by the police.” These dual extraordinary efforts, now stretching over weeks and months, both stress and energize the collecting institutions, especially when many staff members of these organizations have been self-isolating during the pandemic and now find themselves in huge crowds of demonstrators exercising, as Article 20 of the Universal Declaration of Human Rights says, their “right to freedom of peaceful assembly and association.” https://www.nlb.gov.sg/GetInvolved/ContributeCreate/DocumentingCOVID-19.aspx; https://duetocovid19.com/; https://speakerdeck.com/ananyachak/archiving-covid-19-a-guidehttps://offtherecord.archivists.org/2020/06/02/saa-council-statement-on-black-lives-and-archives/

As these robust collecting efforts go forward, the records created by existing institutions continue to come to archives. Some of these transfers will simply continue regular practices, but archives will see changes, too. Take, for example, the records of bankruptcies. Bankruptcy is on the rise. Latam, the largest airline in Latin America, filed for bankruptcy in May, as did Colombia’s Avianca, one of the world’s oldest carriers. Fashion retailers, like Canada’s ALDO and the U.S.’s venerable J.C. Penney, filed for bankruptcy. So did the rental car company Hertz and the importer Pier 1 Imports. Travel and tourism, oil and gas sectors all face mounting debts. Add to this the local barber shops and bodegas, pizza places and individuals that face bankruptcy and the stream of bankruptcies we now see may become a flood. Writing in The Conversation a group of professors warned, “Without more aid to individuals soon, U.S. bankruptcy courts will likely face a tsunami of filings, not only from average Americans but companies as well. This will clog up the system.” Other countries may face this also. https://www.bloomberg.com/news/articles/2020-05-28/big-bankruptcies-sweep-the-u-s-in-fastest-pace-since-may-2009; https://www.reuters.com/finance/deals/bankruptcy;  European bankruptcy registers track the spread of filings in the European Union: https://e-justice.europa.eu/content_insolvency_registers-110-en.do;   https://theconversation.com/bankruptcy-courts-ill-prepared-for-tsunami-of-people-going-broke-from-coronavirus-shutdown-137571?utm_medium=email&utm_campaign=Latest%20from%20The%20Conversation%20for%20May%2013%202020%20-%201620515551&utm_content=Latest%20from%20The%20Conversation%20for%20May%2013%202020%20-%201620515551+Version+A+CID_c118a7ec5cf4a27ea808a9c4984dba74&utm_source=campaign_monitor_us&utm_term=Bankruptcy%20courts%20ill-prepared%20for%20tsunami%20of%20people%20going%20broke%20from%20coronavirus%20shutdown

Because bankruptcy in most countries involves a court or a court-like government institution, a wave of new bankruptcies means government archives will need to manage massive new quantities of bankruptcy records. These records currently may be scheduled for destruction or for partial retention in the national system, but given the important role that bankruptcy will play in understanding the effects of the pandemic on people and institutions, government archives need to review the decisions they have made on bankruptcy records to see if these disposal instructions will be adequate for documenting this era. Add to the bankruptcy records the massive increases in medical records of COVID-19 cases (from both private and government facilities) and records of scientific research on the coronavirus, and new accessions will push the capacity of archival storage.

Archives have a central role to play at this critical time. Archivists must ensure that the record of individual and institutional responses to both what nature has done to humankind and what humans have done each other are available for research in the long years ahead.

June: Power to commemorate, power to restrict social media

Who gets to decide? Sociologists and political scientists debate this; historians ask who decided in the past. This question is at the heart of two current controversies: who decides what statues stand and what names are on buildings and who decides what content Facebook and its cousins can carry. The issues are different, but they both go to the nature of power in our societies.

Statues have come down or been defaced or challenged, including those of Christopher Columbus, Belgium’s King Leopold II, and Robert Baden-Powell, the founder of the Boy Scouts. The name of a U.S. President—Woodrow Wilson, internationally known for his role in the League of Nations—was removed from a school at Princeton University (Wilson had been Princeton’s president). Discussions of removing the names of Confederate generals from U.S. military bases is live. The flag of the U.S. State of Mississippi was “retired” because it incorporated a Confederate symbol. Some of these outcomes were the result of direct public action, some by decisions of elected political or, in the case of universities, academic bodies. No matter who is deciding, it is a wave powered by the public.

The major social media companies—Facebook, Twitter, LinkedIn, Instagram, Snapchat, Pinterest, and Reddit—are under pressure to moderate the content on their platforms: to remove hate speech and messages encouraging terrorism, invading privacy, offering pornography and promoting child sex abuse, to name only the most prominent. In the U.S., where all seven companies are headquartered, Section 230 of the Federal Communications Decency Act immunizes website operators against defamation claims arising out of third-party content. (“No provider or user of an interactive computer service shall be treated as the publisher or speaker of any information provided by another information content provider.” 47 U.S.C. §230(c)(1)). The companies have established what Facebook calls “Community Standards” for postings (https://www.facebook.com/communitystandards/objectionable_content). Adherence to the standards is enforced by artificial intelligence algorithms and hired “monitors” whose work exposes them to abusive, violent and just plain gory content. Unlike the direct public pressure in the statue and names cases, public pressure on the social media companies is indirect. For example, Facebook is now under financial pressure from other for-profit companies that are pulling their advertising from the platform because those companies are themselves under pressure from civil rights groups who want hate speech blocked (https://www.cnbc.com/2020/07/01/facebook-frustrates-advertisers-as-boycott-over-hate-speech-kicks-off.html). In sum, the high-level decisions are made by a for-profit social media company answerable to shareholders, and the decisions are implemented by thousands of laborers whose work exposes them to both burnout and long-term psychological trauma.

While it is clear that hateful, abusive material increasingly has been removed, problems have arisen. Facebook famously took down the iconic photograph of a Vietnamese girl running from napalm burns (https://www.theguardian.com/technology/2016/sep/09/facebook-reinstates-napalm-girl-photo) and an Australian photograph from the 1800s of aboriginal men in chains (https://www.theguardian.com/technology/2020/jun/15/facebook-blocks-bans-users-sharing-guardian-article-showing-aboriginal-men-in-chains); both were restored after press exposure. Thomson Reuters Foundation reported on the growing concern by human rights groups that war crimes evidence on social media is “threatened by AI [artificial intelligence] moderation” on the sites. A researcher for the Syrian Archive, an NGO that preserves video from conflict zones in the Middle East, said, “Our research suggests that since the beginning of the year, the rate of content takedowns of Syrian human rights documentation on YouTube roughly doubled [from 13 to 20 percent].” (https://www.sightmagazine.com.au/features/16164-lost-memories-war-crimes-evidence-threatened-by-ai-moderation)

What have archives to do with all this? In the statuary and naming matter, archives hold the documentation of the erection of the statue or the naming ceremony, usually replete with glowing encomiums of the life of the person honored. But archives also hold the records of the larger life of the person, including evidence of actions and attitudes that may not be reflected in or may be at odds with the public tributes. Archives have to make these larger materials publicly available for research, allowing a reasoned decision-making process for determining whether the commemoration of the person meets contemporary community moral principles. And archives provide the evidence that can contextualize a statue or name that is allowed to remain in place and hold the records of the reconsideration of the placement or the public actions that led to the removal.

The institutional archives of the social media companies will hold the records of the development of the community standards and the pressures that lead to revisions of the terms. Governments, businesses and other institutions may preserve in their archives the social media posts of the staff members; individuals may keep a copy of private postings. Other archives, such as the Syrian Archive mentioned above, will try to capture and preserve content critical for understanding crimes against humanity. But just as the social media companies take down a certain kind of posts, the commercial companies are also the arbiters of how long they will maintain the cat and dog pictures, the vacation snaps, and the daily chats. If you want it saved, they seem to say, do it yourself.

So, we are left with public power, spontaneous or deliberative, to decide on the commemorations with which we live. And we co-exist with the private power that decides which messages we receive via social media. Two current concerns and two powers, public and private, separate and unequal.

July: Equality, equity, and equal access to archives

“Do you know the difference between equality and equity?” the young teacher asked. When no one responded, she flashed on the screen a picture of two children, one taller than the other, trying to see over a solid board fence. “If you give them both equal stools, this happens,” she said, showing the taller one peering over the fence, while the shorter one was still below the top. “That’s equal treatment.” Then she showed an image of the two children, standing on stools of different sizes, both able to peek over the fence. “That’s equity,” she said. In other words, equal does not always compensate for inherent differences.

Equal access to records is an archival mantra—and one of the profession’s most misunderstood phrases. The ICA Principles of Access to Archives clarifies it, saying in Principle 5:

5. Archives are made available on equal and fair terms. 

Archivists provide users with just, fair and timely access to archives without discrimination.  Many different categories of persons use archives and access rules may differentiate between categories of users (for example, the general public, adoptees seeking information on birth parents, medical researchers seeking statistical information from hospital records, victims of human rights violations), but the rules apply equally to all persons within each category without discrimination.  When a closed item is reviewed and access to it is granted to a member of the general public, the item is available to all other members of the public under the same terms and conditions.

This statement is amplified in Principle 8, reading in part:

8.  Institutions holding archives ensure that operational constraints do not prevent access to archives.

The equal right to access archival records is not simply equal treatment but also includes the equal right to benefit from the archives.

Archivists understand the needs of both existing and potential researchers and use this understanding to develop polices and services that meet those needs and minimize operational constraints on access.  In particular, they assist those who are disabled, illiterate or disadvantaged and would otherwise have significant difficulties in using archives.  . . .

Users, whether visiting the archival institution or living at a distance from it, can obtain copies of archives in the variety of formats that are within the technical capacity of the archival institution.  Institutions may make reasonable charges for copying service on demand.  . . .

The COVID-19 pandemic requires archives—like other public service institutions—to rethink the way services are provided. With travel restricted, either by government edict or by personal choice, the numbers of researchers able to visit those research rooms that are open will certainly diminish, at least for the duration of the health crisis. If archival holdings are already digitized, there is no problem. But vast quantities of archives are still in their original formats. What then?

Assuming that at least a few staff members are available to retrieve records, a plausible answer is to scan on demand and provide the records either by posting to a website or by providing direct personal delivery. Limited staff members will necessitate establishing service priorities (many archives already have these, but they may need review in the present circumstances), and here’s where equal access comes in.

*If the archives is within the institution whose records it preserves—for example, the archives of a government, the archives of a corporation—normally service to the parent institution comes first, and that priority is likely to persist during the pandemic.

*Then there is the requester who needs a copy of  records to establish rights and benefits; she needs timely access (see below, for example, the U.S. item on the problems a man just released from prison had in trying to get basic documents and the Syrian item on the impact of closure of the civil registry system). This category includes researchers and attorneys working on human rights cases for groups as well as for individuals.

*And we have research by academic users and the general public. Here the travel problem—always a consideration, but usually because of cost not disease—becomes a critical factor. Some researchers want access to a single file while others need access to a plethora of series and fonds. If these researchers are not able to physically come to the archives, telling them, “The reading room is open; come on in,” may be equal treatment but not equitable treatment.

Protocols for handling all these researcher needs, multiplying as the virus wears on, are essential. The COVID conflagration causes us to reflect on the real roots of equal access to archives.

August: Uncertain statistics

Nearly 100 years ago, an English judge was quoted as saying, “The government are very keen on amassing statistics. They collect them, add them, raise them to the Nth power, take the cube root and prepare wonderful diagrams. But you must never forget that every one of these figures comes in the first instance from the village watchman, who just puts down what he damn pleases.”  (Sir Josiah Stamp, Some Economic Factors in Modern Life. London, P.S. King and Son, 1929)

The COVID-19 pandemic has heightened public awareness of the importance of statistics. How many positive cases were reported today? How does that compare with yesterday or a month ago? What is the percentage of tests that find a person who has COVID? How does my city compare with another, my country with another? How many people have had to be hospitalized? How many intubated? And, finally, sadly, how many people died? To these will soon be added questions about the statistical results of trials of vaccines: How many people took trial vaccines? How many had adverse reactions (side effects)? Is that enough information to be sure the product is safe to use? How many doses of an approved vaccine can be manufactured quickly and safely?

With these questions comes uncertainty about the answers to the statistical questions. For instance:

*El Faro reported that a leak of official information from Nicaragua’s Ministry of Health showed that 9,683 citizens were infected between February and July, “three times more than what was officially reported by the Government.” A doctor who analyzed the data said he was sure the government had the data on the cases but “for whatever reason that we cannot easily understand, they chose to lie to the population, change the data, and include different data.”

https://elfaro.net/en/202008/internacionales/24765/Data-leak-reveals-that-Nicaraguan-government-lied-about-the-impact-of-COVID-19.htm?utm_source=DB+El+Faro+_English&utm_campaign=c367ab3feb-EMAIL_CAMPAIGN_2020_04_22_01_08_COPY_01&utm_medium=email&utm_term=0_3ec9190c89-c367ab3feb-363082696

*BIRN reported that the head of the Turkish Medical Association in Ankara accused the Turkish government “of not releasing the real numbers of daily COVID-19 registered cases and deaths related to the virus,” saying the health ministry “announces 1,500 daily cases . . but this is even less than the numbers in Ankara alone.” Medical associations were quoted as saying “one of the major problems was that doctors and other medical workers have become physically and psychologically exhausted,” implying that recordkeeping is not given priority. A member of the junior opposition party in the country said simply, “The government chose the economy instead of health.” https://balkaninsight.com/2020/08/28/turkish-government-accused-of-hiding-real-covid-19-figures/?utm_source=Balkan+Insight+Newsletters&utm_campaign=4f99b38ec4-BI_DAILY&utm_medium=email&utm_term=0_4027db42dc-4f99b38ec4-319725265 

*The United States “offers vanishing few details on how the disease is spreading,” Nature said, with experts arguing that “political meddling, privacy concerns and years of neglect of public-health surveillance systems are among the reasons for the dearth of information in the United States.” The director of the University of Alabama at Birmingham’s Division of Infectious Diseases said “she had concerns that potential COVID-19 vaccines are being rushed through the approval process.” She feared that the push to release a vaccine is creating a “data-free zone or data-arguable zone.” https://www.al.com/news/2020/09/uab-expert-says-rushed-covid-vaccine-is-pushing-scientists-into-data-free-zone.html

*By contrast, South Korea has “a coordinated network of public-health centers in 250 districts that send information rapidly to the Korea Centers for Disease Control and Prevention. Almost every day for the past seven months the Center “updated its website with near-real-time information on local outbreaks.” Its “attention to data correlates with its overall success at controlling the outbreak,” Nature wrote.  https://www.nature.com/articles/d41586-020-02478-z?utm_source=STAT+Newsletters&utm_campaign=04a35670e2-MR_COPY_01&utm_medium=email&utm_term=0_8cab1d7961-04a35670e2-149736437

Political choice, economics, exhaustion, privacy, failure to fund the health statistics system: all of these factors are in play. What is not in question is the importance and necessity of statistics, used today and preserved for future study. While as recently as 25 years ago some archivists argued that statistical databases were not real records to be preserved by an archives, that position has largely, if not entirely, faded. Archivists realize that saving data is critical, not only to support studies of health, social structures, police behaviour, and an endless list of issues, but also to show what policymakers knew and what they did with that knowledge. Archivists must preserve and protect the statistics of that village watchman. Our very lives may depend upon it.

September: Treaties and agreements with non-state bodies

Treaties, accords, pacts and compacts, covenants, agreements: the world is awash in formal unanimity. If it seems that treaties, pacts and the like are becoming more frequent, that’s probably because we have more States to accommodate: 51 when the UN was established in 1945, 193 UN members today. (Of course, going back even further, at the end of the 19th century about 70% of the world’s population lived in empires--British, French, Austro-Hungarian, Russian and so forth—so there were many fewer entities to contract with each other and their provisions would cover wide swaths of the earth, in contrast to many agreements today.)

The month of August 2020 saw the United Arab Emirates, Bahrain and Israel sign “normalization” agreements for greater future cooperation; the media variously called the three documents a pact, peace treaty, accord, declaration, and normalization treaty.  https://www.axios.com/trump-israel-united-arab-emirates-bahrain-016fa0c6-24e8-41fa-bdc1-00eb0546d636.html; for the texts: https://search.aol.com/click/_ylt=A0geKIzb6XxfgUUAv0RpCWVH;_ylu=Y29sbwNiZjEEcG9zAzIEdnRpZAMEc2VjA3Ny/RV=2/RE=1602050651/RO=10/RU=https%3a%2f%2fwww.cnn.com%2f2020%2f09%2f15%2fpolitics%2fisrael-uae-abraham-accords-documents%2findex.html/RK=0/RS=Jgarp.l_ITMSsI.q5i6SJ0Qg9nw-

The month of September saw Kosovo and Serbia sign separate statements agreeing to “economic normalization” between them. Exit News wrote, “It is unclear whether leaders provided each other with a copy of their respectively signed document. It is also unclear what kind of powers these documents would hold, beyond an informal understanding between parties.” For the texts see https://exit.al/en/2020/09/04/kosovo-and-serbia-signed-separate-pledges-not-an-agreement/

The Vienna Convention on the Law of Treaties, which went into force in 1980, defined “treaty” as “an international agreement concluded between States in written form and governed by international law, whether embodied in a single instrument or in two or more related instruments and whatever its particular designation.” That would seem to cover both the Bahrain-Israel-UAE and the Kosovo-Serbia “agreements.”  https://legal.un.org/ilc/texts/instruments/english/conventions/1_1_1969.pdf

August and September also saw existing treaties at the center of a number of debates over their terms:

*Mexico needed to use troops to defend the release of water from two dams, water which under a 1944 treaty must be provided to the United States.  https://www.latimes.com/world-nation/story/2020-09-11/mexican-water-wars-dam-seized-troops-summoned-at-least-one-killed-in-dispute-about-water-sharing-with-u-s

*China and Japan disputed ownership of the Senaku/Diaoyu Islands, which a scholar at the Japan Institute of International Affairs, writing in Japan Forward, said “were legitimately transferred to Japan through the Okinawa Reversion Treaty of 1971.” She pointed to “the fundamental importance of archival records and data to study territorial histories” because “they play a pivotal role in confirming identities, long after memory has faded.” https://japan-forward.com/archives-shows-chinas-claims-on-senkaku-islands-are-rooted-in-distortions-of-history/

*Negotiations between Egypt, Ethiopia and Sudan on the operation of the Grand Ethiopian Renaissance Dam on the Nile River are stalled and tensions are high over the water rights Egypt claims was granted to it by the 1929 Anglo-Egyptian Treaty and the 1959 Agreement between Egypt and Sudan. https://www.brookings.edu/blog/africa-in-focus/2020/08/05/the-controversy-over-the-grand-ethiopian-renaissance-dam/

*In 2015 China, France, Germany, Russia, the United Kingdom and the United States made an agreement with Iran to limit Iran’s movement towards developing nuclear arms, known as the Joint Comprehensive Plan of Action (JCPOA). Although the United States withdrew from the JCPOA in 2018, in August it announced that it is reimposing sanctions under a JCPOA provision known as “snapback,” arguing that Iran has not kept the commitments it made under the agreement. https://www.cfr.org/article/flawed-us-effort-revive-iran-sanctions

After treaties are signed, what happens to the record copies, the ones needed when controversies arise? Article 102(1) of the United Nations Charter says, “Every treaty and every international agreement entered into by any Member of the United Nations after the present Charter comes into force shall as soon as possible be registered with the Secretariat and published by it.” Article 80 of the 1980 Vienna Convention on the Law of Treaties reiterates the provision for UN registration and provides the option that the contracting parties may designate a depository to hold the official copy. The two options also are found in the 1986 Vienna Convention on the Law of Treaties Between States and International Organizations or Between International Organizations (for example, agreements between the World Bank and a State). https://legal.un.org/ilc/texts/instruments/english/conventions/1_2_1986.pdf

The requirement to “register” a treaty with the United Nations usually has meant depositing a copy. Shelf after shelf of treaties are stored in the United Nations Archives, rarely used but secure.

A plain reading of Article 102(1) suggests the provision also applies when a member State “agrees” with a non-State body. For example, in late August a “peace agreement” was signed (formally adopted 3 October) between the transitional government of Sudan and “the Sudan Revolutionary Front (SRF), an umbrella organization of rebel groups from various Sudanese conflict zones, but was not fully signed as two key groups had not added their signatures,” Middle East Eye reported. Since the government of Sudan is a signatory, if no depository is mentioned (the agreement does not appear to be on line at the time of writing), the agreement should be deposited in the UN Archives. https://www.middleeasteye.net/news/sudanese-leaders-and-rebel-groups-agree-peace-deal  For another example, what about the 2016 peace accord between the government of Colombia and the FARC? The two parties have copies of the agreement; the government presumably keeps its copy in the national archives or foreign ministry archives, but where does the FARC keep its copy? Should a copy be at the United Nations? Or, for a third example, in 2012 Myanmar signed a treaty with the Chin National Front. Assuming again that the government has a secure copy, is there a copy with the United Nations? Where is the Chin copy?

The reason a State would deposit a copy of a treaty with the UN is found in Article 102(2): “No party to any such treaty or international agreement which has not been registered in accordance with the provisions of paragraph 1 of this Article may invoke that treaty or agreement before any organ of the United Nations.” Without the “registration” the State would be barred from appealing for recourse for violation of the contract provisions to the International Court of Justice, the World Trade Organization, and similar bodies. (The International Criminal Court is an “independent judicial body” not part of the UN, so this would not apply to initiating proceedings before the Court.)

In the late 20th and early 21st centuries, States have signed numerous treaties with non-State actors. These agreements are often made in the aftermath of civil war or other social conflict, aiming to create a framework for managing future relations and a path for orderly problem-solving. In these cases, if the State chooses not to file its copy of the agreement with the UN (for example, if it does not want an external party adjudicating the execution of its provisions) or if the non-State party does not trust the State to register the treaty, the non-State party would rely on its copy to determine whether the State is faithfully executing the provisions. Today there is no officially recognized third party to hold that non-State copy. Such State/non-State agreements are not the type of documents that generally fall under an “archives at risk” category, and yet they need a safe haven. It may be too much to expect the United Nations Archives to hold compacts submitted by non-State entities, but a security archives does need to exist in a trusted location, safe from tampering. Can a security guarantor be found?

October: Memorialization: dividing and healing

Elon Musk is one of the world’s richest people. He owns Tesla, which makes electric autos and is developing self-driving ones, and SpaceX, which not only puts satellites in orbit but is trying to make travel to Mars feasible. According to a recent issue of The Economist, he has another firm called Neuralink which aims to make it possible to move objects by the power of thought and to allow “a future in which memories can be downloaded and stored elsewhere, and human beings can form a ‘symbiosis’ with artificial intelligence.” https://www.economist.com/science-and-technology/2020/09/02/elon-musks-vision-of-the-future-takes-another-step-forward

Downloaded memories is something archivists know a lot about. Memory is what a living person holds in the mind about people and events. Preserving those memories can be spontaneous—think of the millions of people documenting their experiences with the COVID-19 pandemic—or carefully planned, such as the Montenegrin Parliament opening a Documentation Centre to “collect material related to the 1990s Balkan conflict and the role played in them by Montenegro” and the project by the Srebrenica Memorial Centre and BIRN Bosnia and Herzegovina to film interviews with 100 surviving witnesses of the July 1995 genocide of Bosniaks from Srebrenica by Bosnian Serb forces. Archives preserve documented “downloaded” memories. https://balkaninsight.com/2020/10/05/montenegro-parliament-opens-war-crimes-documentation-centre/?utm_source=Balkan+Insight+Newsletters&utm_campaign=0d6d2c7238-BI_DAILY&utm_medium=email&utm_term=0_4027db42dc-0d6d2c7238-319725265; https://balkaninsight.com/2020/10/29/srebrenica-memorial-centre-and-birn-launch-genocide-testimony-project/?utm_source=Balkan+Insight+Newsletters&utm_campaign=8d211fa61f-BI_DAILY&utm_medium=email&utm_term=0_4027db42dc-8d211fa61f-319725265

When evaluating and responding to contemporary atrocities and defending human rights, a central issue is obtaining and preserving the sources needed. While information can be oral, information as a long term source is physical: paper, photographs, email, desktop productions, databases, satellite images, video and audio recordings. Memories can certainly be transmitted orally; indigenous groups show that multigenerational transfer of memory is a vibrant tradition. But to use memory as part of the sources for history and for human rights justice processes, it must be converted into one of these formats—an interview, a testimony, a survey form, the wiretap of a conversation, for example. A lawyer who draws up a contract based on an oral agreement will say she “memorializes” it. Once memory is captured, it can be used and reused far into the future after the person is no more. There are many considerations in documenting memories, including importantly not retraumatizing people who have experienced great violence. But there is an immutable time value to it: memories fade, people die, some people experience temporary amnesia.

Memorialization is different from memory per se: it is a structural representation, a trigger for the memory of the past. It is usually a public expression--a statute, a memorial marker (like a tombstone), a museum, a commemorative event, among others--whereas memory is inherently an individual attribute; its representation can be entirely private, as a diary, or public as a social media posting. A recent report by the UN Special Rapporteur on the promotion of truth, justice, reparation and guarantees of non-recurrence provides examples and recommendations for memorialization (see item below).

The insistent problem, however, is that memorialization can divide as well as heal. Across the world in 2020 we have seen untold numbers of memorialization features torn down: statues of racists tumbled, buildings renamed, tombstones defaced. One generation’s or one group’s memorialization may be anathema to another. Downloading memories, especially if they are turned into a public memorialization, is more complex than Elon Musk’s high tech initiative might realize.

November: Archives affected by climate change—an ICA demonstration project

December 10 is Human Rights Day. This year’s theme, as designated by the United Nations, is “Recover Better–Stand Up for Human Rights.” The UN explains: “This year’s Human Rights Day theme relates to the COVID-19 pandemic and focuses on the need to build back better by ensuring Human Rights are central to recovery efforts. We will reach our common global goals only if we are able to create equal opportunities for all, address the failures exposed and exploited by COVID-19, and apply human rights standards to tackle entrenched, systematic, and intergenerational inequalities, exclusion and discrimination. 

Building back better means facing up to climate change and its impact on us all. And facing up is hard to do: a professor at the University of Kassel, Germany, told DW, “In evolutionary terms, are not built for this kind of danger. We react to a rustling in the bushes with lightning speed. But the threat posed by climate change is abstract.” https://www.dw.com/en/how-can-we-wrap-our-brains-around-the-climate-crisis/a-55497883?maca=en-newsletter_en_bulletin-2097-xml-newsletter&r=6716266686607715&lid=1668615&pm_ln=59965

One way we may all wake up to the facts of climate change is when it starts affecting our sleep. Sleep, you say? A team of researchers from Denmark, Germany and the U.S. obtained “sleep entries collected over a two-year period from September 2015 through October 2017 from 47,628 anonymous fitness band users who electronically consented for their data to be processed for research purposes.” They matched this data to that of the nearest weather stations in 68 countries and obtained local daily meteorological data from 2015 to 2017. They found that “increasing night time temperatures amplify the estimated probability of obtaining a short night of sleep, measured with standard definitions for insufficient sleep.” https://arxiv.org/abs/2011.07161

So sleepy archivists around the world will have to face the risk to archives from the various effects of climate change. The ICA Section on Archives and Human Rights, concerned about the risk that climate change poses, decided to develop a pilot project as a demonstration of what archivists can do to understand the impact on their institutions and holdings. We believe it will help archivists develop a climate-focused planning process for mitigating the effects of climate change on archives.

The pilot project began with mapping all known archives in one climate danger area. Vitor Fonseca and Silvia Moura, two distinguished Brazilian archivists, used public sources to create a spreadsheet listing all 81 known archives in Rio de Janeiro, recording the information elements of the International Standard for Describing Institutions with Archival Holdings (ISDIAH) and the latitude and longitude (geophysical coordinates) for each institution. This was meticulous work, for which we thank them most heartily.

The second stage of the project will, with the assistance of a geographer, plot the locations on a map and overlay the maps of predicted sea level rise onto the maps of the archives, using estimates from the Intergovernmental Panel on Climate Change (IPCC), the United Nations body for assessing the science related to climate change. Other overlays could include maps of predicted temperature rise and precipitation change (both drought and deluge). https://www.ipcc.ch/ Yet another overlay may use the  World Bank Global Carbon Atlas map showing the country’s emissions, which in turn predicts the rapidity of the climate crisis. http://www.globalcarbonatlas.org/en/CO2-emissions Additional maps could be created matching predicted climate change effects to the physical type of materials held (for example, to look at the impact of increased dust on electronic records holdings).

Archives are at risk. Archives—at the heart of the work of institutions, cultural heritage and memory of people—need to be protected from the effects of climate change, whether inundation or increased dust from desertification. Archivists, wide awake, can begin to take effective steps—if we know where the archives are located and the type of risk climate change brings to them.

December: 2020 in review

It was a difficult year all right, old 2020. While the December issue’s commentary usually looks at important items—often sad--from the year just past, this year’s commentary reports only good news stories from the year or ones that may bring a smile. Here’s to a better 2021!

January.  In a landmark ruling, the United Nations Human Rights Committee said the effects of climate change may trigger the non-refoulement obligations of states where climate refugees seek shelter.

February.  The European Court of Human Rights ruled in a Romanian case that a spouse’s breach of internet privacy is a form of domestic violence.

March.  In Argentina, public access to the archives of the Ministry of Interior led to an appeals court ruling that the claim of the Pilaga people that the National Police and Air Force committed genocide against them in 1947 was true. 

April.   The International Conference of Information Commissioners, while recognizing that during the COVID-19 crisis resources may be diverted away from usual information rights work, stressed the importance of the right of access to information and the need for good recordkeeping in what will be a much analysed period of history.  

May.  After more than two decades, the Amazon rainforest’s Ashaninka indigenous community finally won a lawsuit against the timber companies who illegally deforested the tribe’s land in the 1980s, gaining both money and an official apology.

June.  A county sheriffs’ department in the U.S. State of Maryland has an Electronic Storage Detection dog trained to sniff out storage devices like flash drives and cell phones. 

July.  When Haiti’s chief prosecutor said he didn’t have any documentation about Emmanuel Constant’s part in the 1994 Raboteau massacre or his previous conviction, human rights groups supplied copies of the judgment against Constant and the 23 November 2000 Monitor (the country’s official gazette) where it was published.  

August.  The United Nations Convention 182 on Worst Forms of Child Labour (such as slavery, prostitution and trafficking) went into effect when the last of the 187 countries that are members of the UN International Labour Organization ratified it.

September.  At the opening of a new Malaysian archives building, Sultan Nazrin reflected on the importance of archives, referring to the 2002 International Court of Justice ruling that Malaysia owns the Sipadan islands, which said Malaysia’s Turtle Preservation Ordinance of 1917 showed Malaysia intended “to exercise State functions with respect to the two islands.”

October.  No matter what the Brexit agreement said, a document issued to Flanders (Belgium) in July 1666 by Britain’s King Charles II gives 50 Flemish fishing boats access to British waters in perpetuity.

November.  Countries of Latin America and the Caribbean committed to a “Regional Agreement on Access to Information, Public Participation and Justice in Environmental Matters in Latin America and the Caribbean,” which UN human rights Special Rapporteurs termed a ground-breaking pact to fight pollution and secure a healthy environment.

December.  Peruvian police filmed a raid in which police drug-squad members disguised as Santa Claus and an elf swooped into a house in Lima, not to deliver gifts but to capture a suspected cocaine and dope dealer.

Archival commentaries 2021

January: The assassination of Lokman Slim

This commentary was going to be about the importance of business records in understanding the COVID-19 pandemic: the manufacture of vaccine and glass vials and packaging, the transport of all those products, the distribution to governmental and commercial stations for inoculation. But then, on the morning of 4 February, I learned that Lokman Slim, a Lebanese activist, thinker, and committed archives advocate, had been assassinated.

The famous question is “If a tree falls in the forest and no one is around to hear it, does it make a sound?” Lokman Slim was a giant redwood, and his fall has made a sound in political, social, and cultural circles from the Middle East to the U.S. Midwest. You can read about him in newspapers from Al Arabiya https://english.alarabiya.net/features/2021/02/04/Who-is-Lokman-Slim-A-profile-on-Lebanese-activist-Hezbollah-critic-shot-to-death to France 24 https://www.france24.com/en/middle-east/20210204-lokman-slim-prominent-hezbollah-critic-shot-dead-in-south-lebanon to the New York Times https://www.france24.com/en/middle-east/20210204-lokman-slim-prominent-hezbollah-critic-shot-dead-in-south-lebanon and more.

Lokman Slim knew two important things about archives: he knew that records have to be preserved and he knew that they must be made accessible. With his wife, Monika Borgmann, he created the institution UMAM Documentation and Research to gather as much information as possible about the Lebanese civil war (1975-1990) and the persons who were still missing from it. In recent years, he helped many Syrian groups collect important materials on the still raging war in Syria. And he knew that documenting Lebanese culture was important, too: he would take posters off trees on the sidewalk for preservation, he acquired the film footage of a major producer of Lebanese motion pictures and advertising, and he even rescued the records of one of the famous Beirut hotels, commandeering them from a truck on the way to a dump.

As UMAM’s documentation on the missing from the civil war grew to thousands of cases, Lokman Slim realized that it was essential to have a copy of those files located far from the UMAM archives. After securing that safe place in the National Archives of Finland, he became one of the founding members of the group that developed the international Guiding Principles for Safe Havens for Archives at Risk, coordinated by swisspeace and endorsed by the International Council on Archives as official guidance. He served on the Advisory Committee for Safe Havens for Archives at Risk from its inception.

Lokman Slim’s death reminds us all of the danger that human rights activism entails. And for those of you holding sensitive human rights documentation, whether in an archives or in the offices of an advocacy group or your home, make sure your documentation has a safe haven somewhere. That will be a tribute to the tree that just fell in the human rights forest.

February: Archives in danger

The SAHR News commentary in January 2020 described a number of archives and archivists around the world that seemed to be at serious risk of harm, among them in Lebanon, Chile and Guatemala. It is time to look again at these and other situations.

An article in a February 2021 issue of The Economist was headlined “Global democracy has a very bad year” with a subhead “The pandemic caused an unprecedented rollback of democratic freedoms in 2020.” The accompanying map shows great swaths of orange and red, designating countries with authoritarian regimes.  https://www.economist.com/graphic-detail/2021/02/02/global-democracy-has-a-very-bad-year Also in February, Human Rights Watch (HRW) “reviewed national government responses around the world to the Covid-19 pandemic and found that unlawful interference with free speech has been one of the most common forms of overreach,” with at least 83 government using the pandemic to “justify violating the exercise of free speech and peaceful assembly.” Journalists, peaceful protesters, opposition activists and lawyers were physically assaulted by “security forces or state officials in a least 18 countries.” And “at least eight governments temporarily suspended or restricted the right to request and receive public health information, or limited press accreditation for Covid-19-related press briefings to pro-state media outlets,” citing Turkey, El Salvador and Bangladesh as among these abusers. HRW’s finding is “based on its own research, as well as outside sources including the Covid-19 Civic Freedom Tracker of the International Center for Not-For-Profit law and European Center for Not-For-Profit Law, reports by other nongovernmental organizations and the United Nations, and international and local media.”  https://www.hrw.org/news/2021/02/11/covid-19-triggers-wave-free-speech-abuse

So how is this rollback affecting archives and archivists? Readers of the January 2021 issue of SAHR News know the incredibly sad story of the assassination of Lokman Slim, the co-founder of the UMAM Documentation and Research center in Beirut, Lebanon, which has important holdings on the Lebanese civil war (1975-1990). In Chile, University of Chile archivist Alejandra Araya was the subject of a criminal complaint against her which was dismissed, due to lack of evidence, on 24 November 2020.[1] In Guatemala, the case against the former national archivist, Anna Carla Ericastilla, drags on with no end in sight. In a war-torn African country, an archivist no longer responds to email messages, raising concerns. One bright spot was the protective order issued for the Guatemala police archives (see item below).

As democratic systems crumble or evolve toward an authoritarian system, worry rises about risks to entities such as Sri Lanka’s Office of Missing Persons, which holds documentation on the civil war, and civil society organizations in Myanmar whose existence is under threat. In Nicaragua, a law passed in December “requires people and organizations receiving funds from outside Nicaragua to register as ‘foreign agents’ with the Interior Ministry and provide detailed reports of their income and expenditures to the government or face hefty fines, jail time and seizure of their property,” AP reported. Both PEN-Nicaragua and the press freedom organization Violeta Barrios de Chamorro Foundation said they were closing rather than comply. https://www.taiwannews.com.tw/en/news/4121526  What will happen to all these records?

Backsliding occurs; it is not easy to build or to maintain a democratic system. In 1867 the wise Tunisian reformer Khayr al-Din al-Tunisi, viewing European politics, wrote that sometimes a dictator “would be accepted by the people for the purpose of extinguishing [national] helplessness, delivering the kingdom from danger, and making her conditions viable by smoothing out the people’s rough spots and straightening their crookedness. However, the people usually do not get what they hoped for.” (Quoted in Leon Carl Brown, The Surest Path: The Political Treatise of a Nineteenth Century Muslim Statesman, Harvard University Press, 1967, p. 177.)

Straightening crookedness is hard. Documenting it is even harder and more dangerous. As we watch the worldwide evolution of state systems, we must hope that documentation of regimes—so necessary for diagnosing the state—however difficult, will prevail.

March: CORRUPTION!

CORRUPTION! In Italy a corruption case against Royal Dutch Shell, Eni, several of their current and former executives and the former Nigerian Minister of Petroleum ended with their acquittal on corruption charges related to a Nigerian oil deal to secure an offshore oil prospecting license. Global Witness, the NGO which had developed the evidence for the case, urged an appeal. https://www.bloomberg.com/news/articles/2021-03-17/eni-ceo-descalzi-is-acquitted-in-nigeria-bribery-case; https://www.globalwitness.org/en/press-releases/shell-and-eni-verdict-not-final-word-scandal/  Even more troubling, two former employees of Afriland Bank “who exposed the institution’s potential involvement in a suspected global money laundering network,” were tried and given death sentences by a court in the Democratic Republic of Congo, which Global Witness says seem “to have been based on misleading or false information.” The two had “shared a trove of data and documents with the Platform for the Protection of African Whistleblowers (PPLAAF), a nongovernmental organization based in France,” said HRW which, with other NGOs, called for the sentences to be overturned. https://www.globalwitness.org/en/press-releases/statement-global-witness-judgement-handed-down-congolese-whistleblowers-koko-lobanga-and-navy-malela-mawani-relation-their-involvement-providing-information-used-investigations-carried-out-pplaaf-and-global-witness/; https://www.hrw.org/news/2021/03/09/dr-congo-quash-whistleblowers-death-sentences The International Center for Transitional Justice said corruption in Tunisia was due to “mutually reinforcing impunity”: “government officials engaged in corruption were immune to prosecution because they were able to silence those who would denounce them. At the same time, members of the regime engaging in human rights violations were immune to prosecution, because holding them accountable would threaten those profiting from corruption schemes.” https://www.ictj.org/publication/measuring-results-and-monitoring-progress-transitional-justice-processes  

Turning to Latin America, in El Salvador the employees’ union of the Legislative Assembly denounced the existence of at least 1,000 ghost jobs in Congress. The Attorney General’s Office opened an investigation and searched the Assembly “gathering more than a thousand documents,” reported International Crisis Watch. https://www.crisisgroup.org/crisiswatch#overview In neighboring Honduras, the President’s sister “routed public funds through shell companies to pay off over 70 journalists, mostly television editors and broadcasters, for favorable coverage of the ruling National Party,” according to Contracorriente. https://contracorriente.red/2021/03/07/vehiculos-sandwiches-y-periodistas-el-desfalco-de-hilda-hernandez/  A new book in Brazil, O Organizacao, tells the history of the Odebrecht case in which the construction company paid bribes in many Latin American countries for decades; the author called it a “tale that illustrates how influence slowly faded into corruption, which then became a central plank in the growing conglomerate’s business model.” https://brazilresearchinitiative.org/the-organization-corruption-and-business/

Corruption is nothing new, of course. It can infect government, business, faith-based organizations, NGOs, but government corruption is particularly pernicious. Aristotle is often quoted as writing in Politics, “to protect the treasury from being defrauded, let all money be issued openly in front of the whole city, and let copies of the accounts be deposited in various wards.” The United Nations Convention against Corruption, which entered into force on 14 December 2005, is the only legally binding universal anti-corruption instrument. https://www.unodc.org/unodc/en/treaties/CAC/  187 nations have now signed it, including all six countries mention in the paragraphs above. In its Corruption Perceptions Index for 2020, released in late January, Transparency International found that “from the perspective of business people and country experts” who were surveyed, more than half of the countries in the world are viewed as having a corrupt public sector. https://images.transparencycdn.org/images/2020_CPI_FAQs_ENv2.pdf  This points to the serious lack of enforcement of the Convention.

In his foreword to the Convention, then-UN Secretary General Kofi Annan wrote, “Corruption is an insidious plague that has a wide range of corrosive effects on societies. It undermines democracy and the rule of law, leads to violations of human rights, distorts markets, erodes the quality of life and allows organized crime, terrorism and other threats to human security to flourish.” Human rights is front and center in the need to combat corruption. And so are records. National courts prosecuting corruption rely on business and government records; for example, the massive research undertaken in Guatemala by CICIG, an international commission against impunity 2006-2019, “helped jail some 650 individuals for corruption and related crimes.”  https://www.newyorker.com/news/daily-comment/biden-can-revive-latin-americas-most-successful-anti-corruption-project?utm_source=nl&utm_brand=tny&utm_mailing=TNY_Daily_030421&utm_campaign=aud-dev&utm_medium=email&bxid=5c48efcf2ddf9c4807adf975&cndid=53684912&hasha=8fcd7efd9e9d6389b9f914ad34a5948d&hashb=be86af3880f5d49a71f804266e79b70bb4fa408d&hashc=f553fa26cd5d27697a335ab74e22a11c9b48c47784712d14145ae3c0ed4aad10&esrc=bounceX&mbid=CRMNYR012019&utm_term=TNY_Daily

Truth commissions sometimes include an examination of cases of corruption. The Liberian truth commission, for example, investigated economic crimes, which it found perpetuated the armed conflict, and the Timor-Leste commission not only looked at corruption and economics but also in its final report asked multinational companies who supported Indonesia during its brutal rule to fund reparation programs. Reparations, too, have focused on wealth obtained by corruption. For example, Switzerland returned to the Philippines $627 million in assets held in Swiss bank accounts of the ex-dictator Ferdinand Marcos; the government had to agree to use the funds for reparations to victims of human rights violations. Use of records was key: “The Philippines was able to recover Marcos diaries and documents in Malacañang when the family fled Manila on February 25, 1986. Such documents revealed the existence of secret bank accounts in Switzerland.” https://newslab.philstar.com/31-years-of-amnesia/never-convicted

Corruption tilts the scales against the welfare of the public. It siphons money from public use and drives policies that are not in the public interest. Corruption around the supply of COVID-19 vaccines is a serious risk “that may threaten vital public health goals,” the UN Office on Drugs and Crime recently warned. https://www.unodc.org/documents/corruption/COVID-19/Policy_paper_on_COVID-19_vaccines_and_corruption_risks.pdf  Good recordkeeping, sound access policies, thorough research use can weigh the scales toward anti-corruption. Records can help nations tilt towards justice.

 

April: Talking about law

Want to stop a conversation? Say two words: archives law. Although government archives are a public good, not much attention is paid to them until a crisis occurs and the information the archives holds is essential. Of course, there are laws and laws: out of date, limited, over-ridden by other laws, not enforced, and even sometimes good. Here are a few of the problems with current national archives laws.

For example: India’s 1993 archives law says, “No public records bearing security classification shall be transferred to the National Archives of India or the Archives of the Union Territory.” That means, of course, that no records of military, intelligence, foreign relations, or police (at minimum) can be transferred to the national archives until they are declassified. And, therefore, the easiest way to keep records from being available to researchers at the archives is simply not to declassify them. Efforts have been made to revise the law, but so far with no success.

For example: Honduras has no current archives law. The national archives was created in 1880. A decree on the “protection of the cultural patrimony of the nation” was issued in 1984, but it is oriented principally to anthropological concerns, with just a few articles on documents and libraries. It says that creating offices hold their records for 50 years before passing them to the national archives, a passive statement that permits transfer but does not require it. Consequently, when the Honduras truth commission finished its work, there was no requirement that it transfer its records to the national archives, and they have since disappeared into other offices.

For example:  In Ireland, the National Archives Act was amended in 2018. It makes possible, under certain procedures, to transfer to the national archives records from departments that are 20 years old (regular transfers occur at 30). But there is no provision that allows the accession of records less than 20 years old. Consequently, when the Commission of Investigation into Mother and Baby Homes completed its work this year, with important, sensitive records, there was no possibility to transfer them to the national archives without special legislation—although the archives law specifically states that the records destined for the archives include those made by the “any body which is a committee, commission or tribunal of enquiry appointed from time to time by the Government, a member of the Government or the Attorney General.” The Commission’s archives were transferred to the Ministry of Children, not to the national archives that can provide professional preservation, access review, and reference service. (See SAHR News 2021-02 for background.)

The last international survey of archives legislation was published by the International Council on Archives in 1995; an update is sorely needed. In 2004 the Committee on Legal Matters of the International Council on Archives published “Principles for Archives and Records Legislation.”  It is the most current international statement of the desirable characteristics of national archival legislation, but also needs a review and possible updating.  https://www.ica.org/en/draft-principles-archives-and-record-legislation-2004

Ensuring preservation of the records of temporary bodies, such as the truth commission of Honduras or the Baby Homes Commission of Ireland, requires both adequate coverage by an archives law but also a track of their disposition when the commission ends. The Section on Archives and Human Rights, in cooperation with swisspeace, is starting a project to create a central, online source of easily updatable information on the current location of the archives of closed truth commissions. We believe it will benefit both archivists who may be accessioning the archives of a truth commission and want to be in contact with institutions that have already done so and persons seeking to do research in truth commission records for legal, humanitarian or academic purposes. A steering committee of 3-5 persons, representing both institutions, will establish the parameters of data to be collected, organize the collection of data, ensure the consistency of data collected, and ensure the entry of the data into the dataset. The steering committee will contact colleagues in the respective countries to obtain data. In some countries it may not be possible to locate the truth commission archives, but this also is important information for the potential user and will be documented.

So, at your post-COVID dinner party, when the conversation lags, do not say “archives law” but talk about the remarkable records like those of births and those of bombs, of truth commissions and military tribunals, that need to be preserved for us all.

May: Apologies required

Apologies made, apologies needed: that seemed to be May’s flavor.

*Mexico embarked on a year-long “sorry” program. President Andrés Manuel López Obrador issued an apology to the Maya people of Mexico “for what he described as five centuries of abuse committed by foreign and Mexican authorities and longstanding discrimination that continues to the present day;” later in the month he apologized for the 1911 massacre of 303 Chinese in the northern Mexican city of Torreon during the Mexican Revolution.  https://mexiconewsdaily.com/news/mx-apologizes-for-1911-killings/

*Canada’s Prime Minister Justin Trudeau formally apologized “for the internment of Canadians of Italian descent during the Second World War.” He said “31,000 Italian Canadians were labelled ‘enemy aliens’ and then fingerprinted, scrutinized and forced to report to local registrars once a month.” https://torontosun.com/news/national/trudeau-delivers-apology-to-italian-canadians-for-internment-during-second-world-war 

*Germany “formally recognized as genocide the crimes committed by its colonial troops at the beginning of the 20th century against the Herero and Nama people in what is now Namibia.” When President Frank-Walter Steinmeier travels to Namibia later this year he will issue a formal apology. https://www.dw.com/en/germany-officially-recognizes-colonial-era-namibia-genocide/a-57671070 ; https://www.worldpoliticsreview.com/articles/29698/germany-s-and-the-west-s-insufficient-reckoning-with-the-herero-genocide 

*In a phone call to Northern Ireland’s first and deputy first ministers, U.K. Prime Minister Boris Johnson apologized for the “British army operation that resulted in the death of 10 innocent civilians in the est Belfast neighborhood of Ballymurphy in 1971.” https://www.theguardian.com/uk-news/2021/may/12/boris-johnson-apologises-unreservedly-over-ballymurphy-deaths 

*And in Rwanda, French President Emmanuel Macron said, “I have to come to recognize our responsibilities” for the 1994 genocide, not quite an apology but Rwanda’s President Paul Kagame said, “His words were something more valuable than an apology, they were the truth.” https://www.npr.org/2021/05/27/1000872505/frances-macron-admits-some-guilt-for-rwandas-genocide  

The German apology is part of the resolution, many years in the making, of claims against Germany by the victims, some of whom still were not satisfied. The U.K. apology came a day after an inquest in Northern Ireland “found the use of force had been unjustified” and the coroner delivered a “blistering report” rejecting army claims that “troops had opened fire only when they perceived they were under threat.” The daughter of one of the victims said, “His apology means nothing. We need him to go back to the MoD [Ministry of Defense] and tell them to tell the truth, tell our legal team the names of the soldiers who murdered our loved ones and ask them why.” The French move came after both an official French report and a Rwanda one laid out the French role in the leadup to and during the 1994 massacre. Pressure from civil society and, in the cases of Namibia and Rwanda, a country, created recognition by a government that acknowledgement and apology were part of the social justice that was required.

At the same time as these reparative acts were in the news, so too were signs that civil society was under threat. Across the world during the pandemic, CIVICUS Monitor “documented a range of restrictions on rights introduced by governments under the pretext of protecting people’s health and lives.”   https://monitor.civicus.org/COVID19May2021/

*In Nicaragua, police raided the offices of the independent news outlets Confidencial, Esta Semana, and Esta Noche, facilities where, a police officer said, “the coup mongers meet and work.” The police briefly arrested two reporters and confiscated internal documents, personal possessions, and professional equipment. Nicaraguan prosecutors opened an investigation into “money laundering” against Cristiana Chamorro, the former head of the Violeta Barrios de Chamorro Foundation, a human rights organization that closed in February rather than register as a foreign agent; she is a presidential primary candidate and “anyone under criminal investigation cannot run for political office.” https://mailchi.mp/elfaro.net/el-faro-english-political-arrests-nicaragua-guatemala-6212872?e=b68035e8b1; https://www.npr.org/2021/05/20/998795586/ortega-targets-opposition-figures-as-nicaraguan-elections-approach

*In neighboring Guatemala, the Constitutional Court upheld a law that forces NGOs “to register, report their donations and allow their accounts to be inspected. Under certain circumstances, it would also allow NGOs to be dissolved, controlled and monitored.”  https://kfgo.com/2021/05/12/guatemalas-top-court-backs-controversial-ngo-law-overturns-past-ruling/?emci=b8d1be8a-afb4-eb11-a7ad-0050f271b5d8&emdi=eabdda87-b0b4-eb11-a7ad-0050f271b5d8&ceid=4606001;   https://mailchi.mp/dist/la-cidh-y-su-rele-rechazan-entrada-en-vigor-de-reformas-a-la-ley-de-organizaciones-no-gubernamentales-en-guatemala?e=bee49d752c

*On April 29, the Venezuelan Ministry of Interior, Justice and Peace issued an ordinance requiring all non-governmental organizations (NGOs) in the country to register with the national anti-terrorism office, implying a link between NGOs and terrorism. http://spgoin.imprentanacional.gob.ve/cgi-win/be_alex.cgi?Documento=T028700035845/0&Nombrebd=spgoin&CodAsocDoc=2526&TipoDoc=GCTOF&t05=png&TSalida=I&Sesion=164964439&T05=PDF&T04=0&utm_source=WOLA+Mailing+List&utm_campaign=e489addbfb-EMAIL_CAMPAIGN_2021_05_19_07_51&utm_medium=email&utm_term=0_54f161a431-e489addbfb-133911529

*On the other side of the Atlantic Ocean, police in Belarus raided the office of the independent news site TUT.BY and the homes of several of its editors, some of whom were arrested, “accusing the organization of avoiding tax.” The Ministry of Information said the General Prosecutor’s office had “established numerous facts of violations of the law” by TUT.BY “in terms of posting prohibited information in a number of publications on the TUT.BY website” including content about the “unregistered” BYSOL foundation, which aims to support victims of repression in the country. “It is prohibited to disseminate information on Internet resources on behalf of organizations that have not undergone state registration in the prescribed manner,” the Ministry said.    https://www.euronews.com/2021/05/18/tut-by-independent-belarus-media-website-blocked-after-series-of-raids 

*In Israel, the Observatory for the Protection of Human Rights Defenders said Israel was acting to “delegitimize” human rights non-governmental organizations in Israel, the occupied West Bank, and the Syrian Golan. “The strategy put in place by the Israeli Government is threefold: one, delegitimizing civil society critical voices through ‘naming and shaming’ and associating them with terrorists or anti-Semitics; two, pressuring any one giving a platform for their discourse; three, lobbying actively to cut their sources of funding. . . . These trends have reached alarming proportions, and significantly undermine the ability of human rights defenders and NGOs to carry out their legitimate and crucial work.” https://target-locked-obs-defenders.org/IMG/pdf/obs_palestine2021ang-1.pdf

Without the pressure of civil society, without the work of NGOs, the apologies would not have happened. The United Nations Declaration on Human Rights Defenders, adopted in 1998, affirmed, “Everyone has the right, individually and in association with others, to solicit, receive and utilize resources for the express purpose of promoting and protecting human rights and fundamental freedoms through peaceful means.” https://www.ohchr.org/EN/Issues/SRHRDefenders/Pages/Translation.aspx  The Inter-American Commission on Human Rights, concerned about the Guatemala NGO law, pointed out “the free and full enjoyment of freedom of association imposes on states the duty to create legal and factual conditions through which human rights defenders, media and journalists can freely exercise their work.” https://www.oas.org/en/IACHR/jsForm/?File=/es/cidh/prensa/comunicados/2021/128.asp

Raids on offices, seizures of computers and documents, onerous compulsory registrations, complex permits required for public gathering: documentation of all these show the limits on the right of association promoted by repressive states. Preserving these documents, by nongovernmental bodies, individuals, and, yes, the states themselves, can lead the way to a future date in which the state says, “We were wrong. We apologize.”

June: Where are the records of informed consent?

What is informed consent? Many people, perhaps most of us, routinely click on “accept” when confronted with a website that requires acknowledgement of our user data to access the site. Similarly, we may not read all the information on a rental agreement for a car or the lease of an apartment, but we sign anyway. We consent, and the record shows that we were indeed informed.

The traditional understanding of informed consent was about medical practices. A patient would be asked to consent to a medical procedure only after being told about all the possible consequences of taking the drug or having the procedure and the informed consent would be recorded in the patient’s medical record. Today the application of the concept of informed consent has expanded mightily. Some examples:

*In its first global report on the use of artificial intelligence (AI) in health care, the World Health Organization issued 6 guiding principles, saying AI “holds great promise for improving the delivery of health care and medicine worldwide, but only if ethics and human rights are put at the heart of its design, deployment, and use.” The first principle says “patients must give valid informed consent through appropriate legal frameworks for data protection.”  https://www.who.int/news/item/28-06-2021-who-issues-first-global-report-on-ai-in-health-and-six-guiding-principles-for-its-design-and-use

*The Inter-American Court of Human Rights ruled that Ecuador violated the rights of Eduardo Guachala Cimbo, “a person with a disability who suffered from epilepsy” who disappeared from a hospital in 2004. In a suit brought by his mother, who had signed his “committal authorization,” the Court found that he had not given informed consent to his treatment and further “that the use of the victim’s disability to argue that his informed consent was not necessary for his committal and medication, and the lack of access to the necessary medications, amounted to discrimination based on disability.” https://www.corteidh.or.cr/docs/comunicados/cp_36_2021_eng.pdf

*In December 2020 the High Court of England and Wales ruled that person under 16 years of age was unlikely to be able to consent meaningfully to taking puberty blocker hormone to promote development of the physical characteristics of the opposite sex. https://www.economist.com/science-and-technology/2021/05/13/doubts-are-growing-about-therapy-for-gender-dysphoric-children

*In just one of many cases in which a doctor used his own sperm to inseminate a woman having fertility treatments, a woman, told by her son that the sperm used was not her husband’s, said she “certainly never consented to anyone else’s material being used.” Through DNA testing the son’s sister found she had been conceived by the same process. The doctor’s family, who was of a different faith than the mother, did not welcome the half-siblings.   https://www.desmoinesregister.com/story/life/2021/05/14/iowa-fertility-doctor-used-own-sperm-donor-fraud-artificial-insemination/5075444001/

*The UN High Commissioner for Refugees came under sharp criticism from Human Rights Watch, which said UNHCR “improperly collected and shared personal information from ethnic Rohingya refugees with Bangladesh, which shared it with Myanmar to verify people for possible repatriation.” UNHCR responded, explaining that during registration in Bangladesh, “refugees were separately and expressly asked whether they gave their consent to have their data shared with the Government of Myanmar by the Government of Bangladesh. . . refugees were free to refuse the data sharing . . Each family’s consent was confirmed at least twice and consent signatures were only obtained following this double-confirmation.” https://www.hrw.org/news/2021/06/15/un-shared-rohingya-data-without-informed-consent#https://www.unhcr.org/en-us/news/press/2021/6/60c85a7b4/news-comment-statement-refugee-registration-data-collection-bangladesh.html

*YHRD is the world’s largest database containing Y-chromosome profiles from men across the world. Forensic scientists use it to compare DNA from human material collected at a crime scene with the profiles stored there. YHRD has come under fire from some geneticists, who believe “thousands of the profiles it holds were obtained from men who are unlikely to have given free, informed consent,” including “from minority ethnic populations such as the Uyghurs in China and the Roma in eastern Europe.” https://www.nature.com/articles/d41586-021-01584-w

So how do we think about the records of our informed consent when data about us can spread so widely without our understanding? Is it different if it is a one-on-one relationship, such as a patient with a doctor and the patient’s records stay with the medical facility where the patient is treated, from Y chromosome data in a database that is shared worldwide, making family links possible but also identifying possible perpetrators of crimes?

In all cases, it is essential to preserve the records of consent. Who is responsible? Medical facilities keep records of informed consent of patients, and patients should also be given a copy of the agreement. For self-submitted consent, such as for permission to access a website or to post information to social media or to lease a car, both the institutional host of the website and the person are responsible. It is more complicated when three parties are involved: the person, the entity that collected the original consent and the entity that now holds data that it did not originally collect. Should the third party, whether Bangladesh or the YHRD database managers, hold a copy of the record of informed consent or is that responsibility only with the information provider? Does it matter if that provider to a third party is a state (presumably China for Uyghur material) or a medical or other nongovernmental institution? We all need to understand who is responsible for the archives of our informed consent.

July: The "at least" problem

We have an “at least” problem. In the June issue of SAHR News, I quoted media 15 times as saying “at least” so many people died, crimes were committed, firearms were lost. Why this lack of precision?

Calls for better data—from information on the onset of COVID to excessive use of force by police to the number of missing persons—abound. For example, the ALLIED Data Working Group, consisting of a dozen NGOs, released a joint briefing in July on “the limits to official data on attacks against [human rights] defenders and why it’s concerning.” The group wrote that official data on killings is “extremely limited, while even less data is available on the physical and death threats that often precede lethal attacks . . . few countries are monitoring the situation adequately, if at all.” Of the 162 countries that have submitted voluntary national reviews (VNRs) of their implementation of the UN Sustainable Development Goals since 2015, “only 3—fewer than 2%--indicated that at least one HRD [human rights defender] had been killed or attacked. Seven countries reported zero cases and 94% of countries did not report at all.” It noted, and the items in the monthly SAHR News confirm, that the “overwhelming majority of cases reported . . come from civil society data collectors and not from state-led reporting or human rights mechanisms.” https://www.business-humanrights.org/en/from-us/briefings/a-crucial-gap-the-limits-to-official-data-on-attacks-against-defenders-and-why-its-concerning/?mc_cid=517ad7ba9f&mc_eid=f1f6556540

Looking at some of the reasons for the “at least” qualification helps understand the problem. Sometimes it is simply the difficulty of getting the information; for example, how many people were killed in remote parts of the Congo during conflicts is hard if not impossible to document. Sometimes the relevant records were destroyed, whether by accident, neglect, or intention. Wars, fires, and termites all bear responsibility. Sometimes the information was intentionally not recorded; see Russia/Ukraine below for situations when Ukraine did not record an initial detention. Sometimes the information comes only from the national level, excluding information from local sources that might be different—and sometimes the local sources do not report regularly or at all to the central authority. There may be distrust of existing information; for example, knowing that the number of COVID deaths in child care facilities is underreported and, perhaps, to save embarrassment, the number is reported as “at least.” And sometimes it is sloppy recordkeeping. Nearly a century ago Sir Josiah Stamp quoted an English judge on the subject of Indian statistics: “The government are very keen on amassing statistics. They collect them, add them, raise them to the Nth power, take the cube root and prepare wonderful diagrams. But you must never forget that every one of these figures comes in the first instance from the village watchman, who just puts down what he damn pleases.” Sir Josiah Stamp, Some Economic Factors in Modern Life, pp. 259-259, P.S. King and Son.  London, 1929. 

Archives are, of course, full of data, raw and refined. Researchers using archival holdings need always to be aware of the limitations that numbers—seemingly so precise—elide.  When archives certify copies of records for researchers they are only certifying that this is an exact copy of the record in question; they are not certifying the numbers in it. At least, researchers should be aware of that limitation.

August: The digital records paradox

Any doubts that information security is the current crisis should have been answered by the Taliban takeover of Afghanistan in August. The frightening messages came quickly: The Taliban have captured U.S. military databases. The Taliban have access to the government’s database of employees and would use that to hunt them down. The Taliban have access to the government website and is planning to shut it down. Hundreds of people seeking to leave were on cellphones, not sure if the messages they were sending were being intercepted. The worries multiplied by the minute.

The issues surrounding the Afghan digital crisis are many and complex. They include access to: electronic records created by the former Afghan government that are now in the hands of the new governors (digital identity cards for an estimated 6.2 million of the 40 million Afghans, for example), records created by the U.S. and other coalition partners that were captured by the Taliban (including employee records and drone targeting information), biometric information in the hands of intergovernmental and humanitarian agencies that work or worked in Afghanistan, personal information on social media and on cellphones. It is beyond the scope of this commentary to discuss all of these, but reading some of the links listed at the end will introduce the wide-ranging discussions.

A particular concern was that digital IDs and databases would be used to target people, with special worry about the use of biometrics such as iris scans and fingerprints. As a scholar who studies security commented, “With biometrics, the concern is, you can take a new name but you can’t really take a new iris.” This led to a two-fold discussion: what information should be collected (interestingly, the Afghan National Police’s ID card application form shows the names of father and grandfather of the applicant but not of the mother; an Afghan involved with the police explained to MIT Technology Review, “Some people don’t like to share their mother’s name in our cultures”) and when should the collected information be deleted. Karl Steinacker, formerly at the United Nations High Commissioner for Refugees where he “for several years” was “in charge of registration, biometrics, and the digital identity of refugees,” argued that if there is no longer an operational need “it makes no sense” to keep the biometric data, whether anonymized or not. He called for “an inventory of data: what data is there, what is needed and what is not needed, where are the copies . . . and is this data potentially damaging to people in the database?” This argument slights the possible use of personal information, whether biometric or not, for other than operational purposes, such as searches for the missing, family reunion, identity clarification, and historical analysis. Here is where archivists must be a part of the decision-making before the records are destroyed.

As the Taliban advanced, individuals scrambled to delete information from cellphones and personal computers. The NGO Human Rights First published guides in Dari and Pashto to teach people how to delete their social media accounts, but following that good advice was clearly a problem for the estimated “13.5% of Afghans who have access to the internet at home” if there was no or poor access to electricity and the internet. LinkedIn, Facebook and Twitter all said they had “taken steps to help” secure data on their platforms. Four important human rights organizations—Access Now, Amnesty International USA, Human Rights Watch, and Mnemonic—while acknowledging the need of the online platforms to “restrict content that unlawfully incites or promotes violence,” called on the technology companies “to preserve and archive removed content that may have evidentiary value of human rights abuses, including content identified by human rights organizations, while ensuring the privacy and security of vulnerable individuals associated with that content.”

As you skim the items in this issue of SAHR News, note the entries about the use by governments of information in registration systems, which presumably are digital, to enforce or deny services (Iran, Nigeria, Pakistan, UAE, Lebanon/Syria). And see the items on the businesses—diet programs and the T-Mobile telecommunications company—that seem to collect more personal digital information than they need. Then think about the security of those systems and the privacy of the people whose information resides in them. The benefits of electronic records and registration systems are real, but so are the risks. That is the digital records paradox.

HRF Fact Sheet (humanrightsfirst.org); https://restofworld.org/2021/afghans-social-media-taliban/;

https://www.hrw.org/news/2021/08/30/preserve-evidence-potential-rights-abuses-afghanistan;

https://news.trust.org/item/20210817111442-4d73x/; https://news.trust.org/item/20210820080622-5wjww/; https://theintercept.com/2021/08/17/afghanistan-taliban-military-biometrics/; https://theintercept.com/2021/08/17/afghanistan-taliban-military-biometrics/?utm_medium=email&utm_source=The%20Intercept%20Newsletter;

https://www.vice.com/en/article/jg89kk/afghanistans-government-websites-are-frozen-in-time?utm_source=email&utm_medium=editorial&utm_content=news&utm_campaign=210831; https://www.technologyreview.com/2021/08/30/1033941/afghanistan-biometric-databases-us-military-40-data-points/; https://www.thenewhumanitarian.org/interview/2021/2/9/the-risks-of-biometric-data-and-the-taliban; https://www.nytimes.com/2021/08/29/world/asia/afghanistan-taliban-revenge.html;

https://blogs.prio.org/2021/08/contingency-planning-in-the-digital-age-biometric-data-of-afghans-must-be-reconsidered/

September: White flags of COVID-19

White flags—nearly 700,00 of them—fluttered on the Mall in Washington, D.C. in September, one for every person in the U.S. who has died of Covid-19. https://i.natgeofe.com/n/4822dc08-0db8-4499-b752-2ab308e510b0/20210917_DC_FLAGS_NIKON_Z7_CARD_3_0036_b_16x9.jpg?w=1200 These mass illnesses and deaths, in the U.S. and around the world, have generated an equally massive volume of records.

The records story begins with the records of research, as scientists raced to develop a vaccine. Other researchers tried to find the source of the virus, a search that continues, with one group believing it came from a lab in China and another believing it derives from a natural origin such as bats. Still other researchers are working to find a drug that can be taken orally at home at the onset of a Covid illness to prevent developing serious disease and hospitalization.  https://theintercept.com/2021/09/06/new-details-emerge-about-coronavirus-research-at-chinese-lab/?utm_medium=email&utm_source=The%20Intercept%20Newsletter;    https://www.nature.com/articles/d41586-021-02596-2/

Along with the race for a vaccine, manufacturing turned to production of everything from vials to carry the vaccine, syringes and needles to administer it, cartons and refrigeration equipment to store and transport it, and personal protective gear for medical workers and, well, just everyone. The business records for this switch in manufacturing or acceleration of production must be enormous. Then came the challenge of transporting vaccines from the factory to the place where the injection can be given: trucks and planes, shipment and delivery, tracking and monitoring. (For a U.S. view, see https://theconversation.com/how-covid-19-vaccines-will-get-from-the-factory-to-your-local-pharmacy-151362)

Now, with vaccines available, although unevenly across the world (for a look at what is called “vaccine apartheid,” see https://abcnews.go.com/Technology/wireStory/african-leaders-highlight-vaccine-inequity-speeches-80189809) other issues have arisen: Who gets the vaccine? How can we know someone has been vaccinated? How many people have died? All are questions that involve documents.

Who gets the vaccine, in countries where it is available? The Bureau of Investigative Journalism and the Daily Telegraph reported on the administrative barriers in Europe that are “blocking access to Covid-19 vaccines for nearly 4 million undocumented migrants. Countries including Germany, Spain, Norway and Bulgaria require some form of ID, health card or a residency permit. In Hungary, Belgium, Slovakia and Greece, vaccinations are officially available only to people with a social security number.”  https://www.thebureauinvestigates.com/stories/2021-09-01/red-tape-keeping-covid-vaccine-out-of-reach-for-nearly-4m-undocumented-migrants-across-europe?utm_source=STAT+Newsletters&utm_campaign=26db4f08a1-MR_COPY_12&utm_medium=email&utm_term=0_8cab1d7961-26db4f08a1-149736437

How do we know who is vaccinated? “Medics in Bulgaria are increasingly concerned about what they believe is a thriving black market in fake documents that purport to prove that the holder is vaccinated against or has tested negative for COVID-19,” BIRN reported. Bulgaria is the country with the lowest vaccination rate in Europe, with only 20% of the population vaccinated by the end of September. (See also the item on slavery, below, for another instance of certification fraud.) https://balkaninsight.com/2021/09/29/fake-vaccination-certificates-add-to-bulgarias-covid-19-woes/

And in the hard-hit U.S., a former director of the U.S. Centers for Disease Control and Prevention warned, in an essay published in the New York Times, that “without a unified approach to verify compliance” with vaccination requirements, “verification will be inaccurate, inconsistent and potentially insecure.” Further, he wrote, “without clear safeguards, digital verification systems could be compromised: Vaccination status could be falsified, and private health data could be shared publicly.”    https://www.nytimes.com/2021/09/21/opinion/cdc-coronavirus-vaccine.html

And how do we know who has died? As Covid swept through India, the “shortcomings” of its death records “were suddenly on display,” Undark reported. India simply did not know how many people were dying of Covid. Although a government survey in 2018 suggested that India “registered 86% of all its deaths in its civil registration system,” only 1 in 5 deaths were “medically certified by a physician” and even those doctors are not all “well trained to certify deaths.” Cause of death data is like the “thermometer of a health system,” an Indian public health doctor said, and an epidemiologist at the University of Toronto explained, “Counting the dead helps the living. The main benefit of having data on who dies, and when, is to be able to understand what can be done about it today.”  https://undark.org/2021/09/01/the-struggle-to-keep-track-of-indias-dead/

Archivists in many parts of the world are actively seeking to document the impact of Covid-19 on communities, families, and individuals. Archivists in business, government, and scientific and medical facilities, too, urgently need to capture the records of the response to the pandemic. Just as the president of Tanzania told the UN General Assembly, “We tend to forget that no one is safe until everyone is safe,” no one body of records or personal materials will tell the whole story of the pandemic and the responses to it. Also at the UN, the president of Bolivia said, “Access to the vaccine should be considered a human right.” Archivists, as duty-bearers for human rights, must ensure that the records of the complex response to Covid-19 are selected, preserved, and made available to ensure that the world, now and in the future, knows that all these things happened among us.

October: Meta? 

Meta? No more Facebook; now it’s Meta. Mark Zuckerberg, the owner of the company, thinks we want to live in a virtual world, at least part of the time. He says the Meta world will provide “immersive experiences like augmented and virtual reality to help build the next evolution in social technology.”  https://about.fb.com/news/2021/10/facebook-company-is-now-meta/

Changing a name is a big step, whether for a corporation or a person. When I married years ago, it was assumed you would take your husband’s name. I remember how hard that was, how different it seemed to be when I was referred to by a name that had a different ethnic ring than my own, how much paperwork was associated with changing all my bank accounts and insurance and voting registrations. But at least I had all those documents to change. And while the change upset my sense of self for a while, it did not break my fundamental sense of identity.

UN Sustainable Development Goal 16.9 is, “By 2030, provide legal identity for all including birth registration.” https://sdgs.un.org  That goal clearly refers to a person’s name and, probably, citizenship and perhaps property ownership, but identity is more than that. As Psychology Today writes, “identity encompasses the memories, experiences, relationships, and values that create one’s sense of self.” https://www.psychologytoday.com/us/basics/identity  In what it termed a “landmark ruling” in a case brought by the Ava Guarani people of the Campo Agua’e indigenous community, the UN Human Rights Committee said “for Indigenous people, ‘home’ should be understood in the context of their special relationship with their territories, including their livestock, crops and way of life” (for fuller discussion, see item on Paraguay below). For the Ava Guarani, as for other Indigenous people, their identity is rooted in place.

In her report to the UN General Assembly, Karima Bennoune, the Special Rapporteur in the field of cultural rights, called for greater recognition of human rights-respecting cultural mixing and syncretism and increased respect for mixed cultural identities. The report does not specifically discuss archives, but Recommendation J is “Make available to all education about and documentation of the diversities and hybridities of cultural practices, cultural heritages and histories of cultural borrowing and mixing.”

https://undocs.org/en/a/76/178  Archives have a part in that.

Looked at in this broad scope, archives hold truly vast volumes of records relating to identity. Beyond citizenship, beyond identification cards, records of the treatment of women, Indigenous peoples, religious minorities, LGBTQ+ individuals, mixed-race, adoptees, migrants, victims (with all the complications of that term), all are documented in archives holdings. And, as we are learning, artificial intelligence is driving predictive policing, often based on the presumed link between some element of identity and criminal behavior (see below under Technology). Archivists must be alert to the need to acquire and describe and responsibly provide access to records that relate to identity.

Meta? Archivists have enough challenges in the real world.

November: Preserving archives, protecting peace

As we come to the end of the calendar year, many of us engage in stocktaking, reflecting on our lives and our community and our world and how peaceful or not we think they are. We are all involved, one way or another, in keeping peace.

Peace is a never-ending process, but there are distinct differences between the peace that is being built after a conflict, whether civil or international, and peace keeping, which is part of the vigilance we all need to exercise in our daily lives. Peace-building after societal conflict must both address the causes of the conflict and build a way to handle future disagreements without recourse to violence. At its heart, peace-building is a local matter. Many, many studies have been made of the efficacy of top-down peace-building institutions such as peace accords, truth commissions, special courts, and restitution processes, with the answers varying. What is assuredly true, however, is that issues that directly affect people’s lives must be handled if peace is to prevail. Two of these issues are almost universal: resolving property disputes (housing and farm land, particularly) and locating missing persons. Archives—those valuable records of institutions and families and individuals--can play a role in clarifying both.

Land records have been a part of government record-keeping for millennia. While they may not be accurate, they are an essential first step to demonstrate title. But titles or claims to property can also be documented by copies of deeds kept by a person, a mortgage or a rental agreement or an insurance policy, records of water rights and maps of traditional grazing lands and sacred places, for example.

Not knowing what happened to a loved one is traumatic. Many different forms of documentation showing fate exist, from records of refugee-supporting organizations, such as the UN High Commissioner for Refugees or NGOs such Refugees International, to records of military units or paramilitaries detaining persons, records of hospitals, including police and military hospitals, death certificates and records of morgues and cemeteries.

The difficulty in all these cases, of property and persons, is gaining access to the relevant records. Governments and paramilitaries may deny records exist or deny access to them, even if a court orders access. Business records are hard to get. Corruption, too, is part of the problem: refusal to recognize land title unless a bribe is paid, for instance. And, of course, records may have been destroyed during conflict with no possibility of recovery, leaving oral testimony as the only recourse.

None of this is easy, not gaining access nor looking at an image of destruction or death. But records--of governments, businesses, religious bodies, non-governmental institutions, and individuals—can give us a foundation to use for peace-building and peace-keeping. Archivists are duty-bearers for human rights, protecting records for the promise of peace.

December: Archives: a potent bulwark against human rights violations

December’s commentary is usually a list of important or simply interesting items, chosen from the year’s monthly issues. I had already started compiling the list when staggering events pushed away all thought of the usual: the death of Archbishop Desmond Tutu in South Africa and the Russian court-ordered liquidation of Memorial International, its Human Rights Center, and the extension of the prison term of Yuri Dmitriev, an historian who had chaired Memorial’s regional branch in the province of Karelia. Make no mistake: these are blows.

Archbishop Tutu was the keynote speaker at the 2003 world meeting of archivists in Cape Town, South Africa. In his quiet, charismatic way, he challenged those of us fortunate enough to be in the room. “We are ashamed of that part of our history but it is our history nonetheless,” he said. “And it stands there recorded in our National Archives. . . . The records are crucial to hold us accountable . . .They are a potent bulwark against human rights violations. We must remember our past so that we do not repeat it.” Out of that encounter, a small group of archivists formed a human rights working group within the International Council on Archives. No one had any thought about an enduring function; we just wanted to do something. Now, almost 20 years later, the Section on Archives and Human Rights is a stable, recognized part of the ICA world, and the issue you are reading is a direct result of the inspiration of the late Archbishop. (For a fuller appreciation of the archival impact of Archbishop Tutu, see the statement written for the Section by former South Africa national archivist and organizer of the 2003 meeting Graham Dominy: https://www.ica.org/en/obituary-desmond-tutu)

Memorial was founded in Russia in 1989, growing out of a popular movement to expose the political repression in the Soviet Union, particularly during the dark years of Stalin’s rule. It grew into a major human rights organization, Memorial International, with 60 affiliate organizations across the country and in Europe and an associated Human Rights Center that assists migrants, refugees and internally-displaced people, as well as maintaining lists of political prisoners and obtaining critical records from the government that uncover the nature and extent of persecution in the past. According to the Washington Post, the Human Rights Center “has helped more than 1,500 Russians take their cases to the European Court of Human Rights . . to challenge rights abuses by Russian authorities.”  https://www.washingtonpost.com/world/2021/12/28/russia-rights-memorial-liquidated/

From its beginning, Memorial acquired documentation to create a record of the crimes of the state against its citizens. Its archives now contains at least 60,000 case files on victims of Soviet state repression, a database containing 3 million names of victims, and another database with “the names of nearly 42,000 people who worked for the Soviet secret police from 1935 to 1939, when repression peaked,” the Post also reported. Memorial also collects physical objects—from clothes to paintings to typewriters--which it displays in a museum in Moscow. People donate items to Memorial; the New York Times reported on a November 2021 donation of papers of a woman who had been imprisoned in the Russian labor camps. https://www.nytimes.com/2021/12/28/world/europe/russia-memorial-human-rights.html

In the same week that the courts ruled on the two parts of Memorial, a Russian court extended the prison term of Yuri Dmitriev, the former Memorial regional chair, to 15 years from 13. “Mr. Dmitriev, who discovered mass graves resulting from Stalin’s brutalities, was convicted of sexually abusing his adopted daughter, a charge he denied,” the New York Times explained. For background on the lengthy Dmitriev case, see SAHR News 2020-4, HRWG News 2018-01, 04.

The world reacted with sorrow to the death of the Archbishop; dozens of governments and non-governmental organizations issued strong protests over the closing of Memorial. Archivists everywhere worry about the fate of Memorial’s irreplaceable holdings. The archives needs to be protected; the physical documents and objects can’t be moved easily to a safe haven outside Russia (although copies of its databases are surely preserved outside the country), and the information the archives contains must continue to be available to the Russian people and all others whose fate is recorded there. As an appeal of the court’s ruling goes forward, it is essential to create a “safe haven in place” for the archives. Governments and all concerned organizations must work with Memorial and with Russian officials to find a way forward. As the director of the Auschwitz-Birkenau museum and memorial in Poland tweeted about the closing of Memorial, in an echo of the Archbishop, “A power that is afraid of memory will never be able to achieve democratic maturity.”

[1] Correction: sentence revised after consultation with Ms. Araya. Sincere apologies for the error.

Archival commentaries 2022

January: That flying horse, the Pegasus software

“Little pitchers have big ears” was a common saying in my childhood when parents were amazed by what a child had overheard. Now big ears are everywhere, thanks to spyware like Pegasus, manufactured by the NSO Group, an Israeli company. NSO claims that it only sells its software to governments, not to individual or companies. According to the New York Times, one of its “main pillars” is that “it would cooperate with Israel’s Defense Export Controls Agency, or DECA, to license every sale.” The program allows surveillance of smartphones, viewing “every email, every photo, every text thread, every personal contact” as well as seeing the phone’s location and allowing the operator to “even take control of its camera and microphone.” http://www.kashmirtimes.com/newsdet.aspx?q=113781

But the sales! Mexico and Panama, Poland and Hungary, India and Saudi Arabia and more. And now come reports of the targets of Pegasus surveillance. A sample:

* The Guardian reported that the mobile phones of a Bahraini human rights defender and a woman who works with human rights and feminist groups in Jordan had been hacked using NSO’s Pegasus software. https://www.theguardian.com/news/2022/jan/17/two-female-activists-in-bahrain-and-jordan-hacked-with-nso-spyware 

*In El Salvador, the phones of 22 team members of the media group El Faro were found to be infected with Pegasus, with “a total of 226 infections . . detected, as well as evidence of the existence of a Pegasus operator in Salvadoran territory,” and another 13 people from Salvadoran civil society organizations had their phones targeted. https://elfaro.net/en/202201/el_salvador/25936/22-Members-of-El-Faro-Bugged-with-Spyware-Pegasus.htm

*Four Kazakh activists had their phones infected.  https://thediplomat.com/2021/12/kazakh-activists-phones-infected-with-pegasus-spyware/ 

*Phones of French ministers and those of at least nine U.S. State Department officials who were either based in Uganda or involved in matters associated with the African country were infected, too. https://www.ndtv.com/world-news/phones-of-five-french-ministers-infected-by-pegasus-malware-report-2552979; https://www.msn.com/en-us/news/technology/pegasus-spyware-on-state-department-phones-what-you-need-to-know/ar-AAMl60a 

Last December the United States, Australia, Denmark and Norway announced an “Export Controls and Human Rights Initiative to help stem the tide of authoritarian government misuse of technology and promote a positive vision for technologies anchored by democratic values.” Placed on the U.S. “Entity List” of companies whose tools are used for repression is the NSO Group. https://www.whitehouse.gov/briefing-room/statements-releases/2021/12/10/fact-sheet-export-controls-and-human-rights-initiative-launched-at-the-summit-for-democracy/

At the end of January, the Inter-American Commission on Human Rights, its Office of the Special Rapporteur for Freedom of Expression, and the Regional Office of the United Nations High Commissioner for Human Rights for Central America and the Dominican Republic and the Caribbean issued a statement expressing “concern at the new findings on the use of malicious Pegasus software, used for illegal surveillance purposes against journalists and civil society organizations in El Salvador.” It said the Special Rapporteur had previously “warned about the use of such software in other countries of the Americas.” “This type of practice not only violates the right of privacy,” the group wrote, “but also has the potential to affect the rights inherent to the exercise of journalism, including confidentiality and integrity of sources.”  http://www.oas.org/en/IACHR/jsForm/?File=/en/iachr/media_center/PReleases/2022/022.asp

The human rights abuses, the invasion of privacy, the harassment of legitimate civil society organizations and journalists is despicable. But here’s a question: are the governments (or other users who obtained the spyware illegally) keeping these vast amounts of data that the use of Pegasus provides to them? Even a surveillance organization with a well-established records and information management program would have to think carefully about its retention regulations in the face of the stream of data. So as discussions of export control and due diligence of possible clients go forward, stop and think for a minute about the data already collected, who has access to it, how long is it retained, and what servers hold it all. When people demand to see the data taken from their phone, what will they see? If they ask that data taken from their phone be returned to them, what if anything will they get? If they ask that the data be destroyed, what assurances will be given? We know that when people ask security agencies for records about themselves, they usually get one of four answers: we never had it, we can’t find it, we destroyed it, or you can’t see it. What will the answers be in this time of flying horse Pegasus who, according to Greek mythology, was born of an act of violence: Perseus beheaded the Gorgon Medusa and Pegasus sprang from her blood?

February: Archives against denialism

The past five years have been a tutorial on lying. Fact-checkers in the U.S. toiled constantly to combat the untruths of President Donald Trump, from his harmless but untrue claim about the size of the crowd at his inaugural to the vicious lie that Barak Obama was born in Kenya, not the United States, and therefore could not be a legitimate President. Photographs of the crowd in the first case, the birth certificate in the second, disproved both. Vladimir Putin lies, such as saying that modern Ukraine was entirely created by Russia or that Ukraine was perpetuating genocide in the eastern regions of Donetsk and Lugansk. Again, documents contradict: archives of Ukraine are filled with evidence of the centuries-old Ukrainian culture and the mid-1800s Ukrainian nationalist movement, while Ukraine is providing evidence to the International Court of Justice that the allegations of genocide are “an absurd lie.” https://balkaninsight.com/2022/02/28/ukraine-challenges-russias-genocide-claim-at-hague-court/

It is not only leaders of major countries that have continual, public, problematic lies. “Denialism”—a refusal to admit facts—is all too common among us. After what he called an “explosion of denialism” about the mass murders of some 8,000 men and boys at Srebrenica, Bosnia, in August 1995, by the Bosnian Serb military, the UN High Representative in Bosnia last July made genocide denial illegal in Bosnia. Explaining his decision, he wrote, “Hate speech, the glorification of war criminals, and revisionism or outright denial of genocide and war crimes prevent societies form dealing with the collective past, constitute renewed humiliation of the victims and their loved ones, while also perpetuating injustice and undermining interethnic relationships. All this causes frustrations, makes the society chronically ill, and prevents the emergence of desperately needed reconciliation.” And, he added, “Everyone becomes a victim of the verbal warfare over the interpretation of the past war, and this has to stop now!” http://www.ohr.int/high-representative-valentin-inzko-introduced-today-amendment-to-the-bh-criminal-code/

Interpretations of the past vary, and historians propose and debate them rigorously. But facts matter, and so do reliable, accessible records. The 1997 United Nations Set of Principles to Combat Impunity, updated in 2005, has as Principle 3 the duty to preserve memory: “A people’s knowledge of the history of its oppression is part of its heritage and, as such, must be ensured by appropriate measures in fulfillment of the State’s duty to preserve archives and other evidence concerning human rights violations and to facilitate knowledge of those violations.  Such measures shall be aimed at preserving the collective memory from extinction and, in particular, at guarding against the development of revisionist and negationist arguments.”

The International Council on Archives is deeply worried about the fate of the Memorial archives in Moscow and the archives throughout Ukraine. Statements on both are found on the ICA website: https://www.ica.org/en/statement-of-the-international-council-on-archives-on-the-situtation-of-the-archives-of and https://www.ica.org/en/solidarity-with-ukrainian-archives-and-records-professionals  After the war in Bosnia ended, ICA with UNESCO sent a mission to examine the situation in archives and records centers in the country. After Russian troops departed Afghanistan ICA members developed a set of survey questions to be used by Afghans to survey and map the conditions of archives and active records holdings.  Similar steps will be necessary when the war in Ukraine ends, because restoring archives in the aftermath of conflict creates a path for responsible, if messy, public recognition that these events truly did happen among us.

March: Ukraine’s archives in war

March’s most frequent question from archivists and advocates and activists was: do you know what is happening to archives in Ukraine? And the answer always was, “Not really.”

According to UKRINFORM on 25 March, “Russian invaders destroyed the archives of the Security Service in Chernihiv region, where documents had been stored on Soviet repression of Ukrainians. That’s according to the Ministry of Justice, referring to the head of the State Archival Service, Anatoliy Khromov.” https://www.ukrinform.net/rubric-society/3439490-in-chernihiv-region-russians-destroy-archived-documents-on-soviet-repression-against-ukrainians.html 

Some archives buildings in Kharkiv are said to be damaged, but the extent of damage to the records is not reported. The Guardian said the Slovo building built to house prominent writers, scholars and artists “lost every window and part of its roof when a missile landed nearby,” and the Fine Arts Museum has been damaged, too. https://www.theguardian.com/commentisfree/2022/mar/15/ukrainian-heritage-under-threat-truth-soviet-era-russia  Geneva Solutions said the Assumption Cathedral was seriously damaged. Archives within these structures may have been suffered. https://genevasolutions.news/global-news/un-agencies-geneva-heritage-fund-mobilise-to-protect-ukrainian-cultural-sites

And there is implied destruction. Euromaidan reported on 29 March, using information from the Hybrid Warfare Analytical Group, that “more than 60 Ukrainian churches and religious buildings were destroyed by the Russian army during the month of the full-scale Russo-Ukrainian war.” https://euromaidanpress.com/2022/03/29/russo-ukrainian-war-day-34-irpin-is-liberated-russia-is-trying-to-completely-destroy-the-infrastructure-and-residential-areas-of-ukrainian-cities/  The UN High Commissioner for Human Rights, in a speech on 30 March, said her staff members “verified 77 incidents in which medical facilities were damaged to various degrees,” of which 10 were completely destroyed. https://www.ohchr.org/en/statements/2022/03/update-human-rights-council-ukraine And the images of damaged and destroyed government buildings, like the churches and medical facilities, suggest major destruction of archives.

But major bodies of records are being created, too. Refugee operations, both by international bodies such as the High Commissioner for Refugees (UNHCR) and local and national programs, official and volunteer, are creating records at an enormous pace, trying to make sure the identities and locations of the refugees are known while providing assistance of every kind. Humanitarian groups, too, such as the International Committee of the Red Cross, are creating records of efforts to feed and to relocate people from danger zones such as Mariupol. Medical facilities and groups such as Médecins Sans Frontières are creating substantial bodies of records, too.

However, one set of records that almost surely will be incomplete is the registration of identities of the dead. With mass graves, hasty burials, and chaos in the streets, the recording of identities—even if known—is not likely to be complete. Getting the dead off streets and into graves is a priority; reports of mobile cremation vans raise the spector of massive future identification problems, with solutions available only through scientific methods.

The International Council on Archives has suspended Russian and Belorussian state archives bodies from participation. Many organizations are assisting archives in Ukraine, from copying extant online digital materials (for example, Saving Ukrainian Cultural Heritage Online https://www.sucho.org/) to sending in boxes and packing materials to sponsoring digitization programs. (https://www.zyri.net/2022/03/23/russo-ukrainian-war-race-against-time-to-save-the-scores-of-ukrainian-composers/). UNESCO, the International Committee of the Blue Shield, and others have emergency programs.

As Hennadi Boriak, the former national archivist of Ukraine, wrote on 5 April, “We do hope that God will preserve Ukrainian archives!” Amen, but God is going to need some help from humankind.

April: Destruction, damage and documentation in the Ukraine war

In 2010 Politorbis, the journal of the Swiss Federal Department of Foreign Affairs, published a chart illustrating a conceptual framework for dealing with the past. It identified four principal issues that must be addressed in a transitional justice period: right to know, right to justice, right to reparation, and a guarantee of non-recurrence. This formulation was so explanatory that ever since it has been used in discussions of the needs of a transitional period. (Jonathan Sisson, “A Conceptual Framework for Dealing with the Past,” Politorbis 50, https://www.ihrb.org/pdf/Politorbis_50_Dealing_with_the_Past.pdf)

And now Ukraine. To be sure, it is not yet in a post-conflict transitional period. But we can look at the news coming from that war-torn land and see how this framework might be applied. Here are some examples from April:

Civilian casualties.  In an interview with PassBlue, the head of the UN’s Human Rights Monitoring Mission in Ukraine pointed out that it has been “recording civilian casualties in Ukraine since 2014” when Russia invaded Crimea. The Mission collects “information from a broad range of sources that are evaluated on credibility and reliability, including interviews with victims and witnesses, satellite imagery, official information, open-source information and reports.” It documents “civilian casualties, damage to infrastructure, torture and ill treatment and other grave human rights violations.” As of 28 April at midnight, it had recorded 6,134 civilian casualties, of which 2,899 were killed (including 210 children) and 3,235 injured (including 309 children), euromaiden reported.  https://www.passblue.com/2022/04/21/the-un-human-rights-team-in-ukraine-recording-the-hardship-that-people-are-going-through/?utm_source=PassBlue+List&utm_campaign=3987795e19-RSS_PassBlue&utm_medium=email&utm_term=0_4795f55662-3987795e19-55008469; https://mailchi.mp/c2a5ab98591c/russo-ukrainian-war-day-14973773?e=6aa3678926

Missing persons.  The International Commission of Missing Persons (ICMP) is building a “central database cataloguing evidence and the identities of the missing, AP reported. ICMP’s director-general said it wants to make sure the sites are properly excavated “to identify the mortal remains so that evidence can be provided in the future for criminal trial purposes, not only potentially to the ICC, but also potentially within domestic courts in Ukraine,” and “are properly documented, the proper chain of custody is obtained.” ICMP has “an online portal where people . . can anonymously report locations of bodies, and will help family members of the missing to provide DNA samples to help identify them.” Asked about claims that there have been forced evacuations to the Russian Federation, the UN Monitoring Mission said on 21 April, “So far, OHCHR has not been able to corroborate a factual basis of forced evacuations and will continue to monitor the situation, look into allegations and publish its findings.” https://apnews.com/article/russia-ukraine-kyiv-business-europe-the-hague-4a3671e63feea6a7743a4353f6bf03a4?user_email=f553fa26cd5d27697a335ab74e22a11c9b48c47784712d14145ae3c0ed4aad10&utm_source=Sailthru&utm_medium=email&utm_campaign=Russia-Ukraine&utm_term=Morning%20Wire%20Subscribers

Cyberwar on individuals.  On the eve of the 24 February invasion, the electronic systems of the Ministry of Internal Affairs were breached (it oversees the police, national guard, and border patrol), and in January the “national database of automobile insurance policies was raided during a diversionary cyberattack that defaced Ukrainian websites,” AP reported. The hacks provided “extensive details on much of Ukraine’s population” which “Russia can use to identify and locate Ukrainians most likely to resist an occupation, and potentially target them for internment or worse.” Ukraine’s State Service for Special Communications and Information Protection said that just ahead of the invasion “hackers serving Russia’s military [were] increasingly targeting individual Ukrainians.”  https://apnews.com/article/russia-ukraine-technology-business-border-patrols-automobiles-fa3f88e07e51bcaf81bac8a40c4da141?user_email=f553fa26cd5d27697a335ab74e22a11c9b48c47784712d14145ae3c0ed4aad10&utm_source=Sailthru&utm_medium=email&utm_campaign=April30_Weekend_Reads&utm_term=Morning%20Wire%20Subscribers

Destruction and looting of cultural property.  The war has brought massive destruction and damage to housing and infrastructure of all kinds. But damage to cultural property is special because a large part of the justification for the war has been Russian President Putin’s insistence that there is a “historical unity of Russians and Ukrainians,” there is no separate Ukrainian culture, and that Ukraine must be cleansed of Nazi influences. His rhetoric exposes the cultural dimension of the invasion and fuels the resistance to it. https://en.wikisource.org/wiki/On_the_Historical_Unity_of_Russians_and_Ukrainians

In an interview, the director of UNESCO’s World Heritage Centre pointed out that in 2017 the UN Security Council “unanimously adopted resolution 2347 which for the first time made the protection of cultural heritage a security imperative and condemned the deliberate destruction of cultural property as a war crime.” Geneva Solutions said that by 20 April, “damage or destruction of nearly 100 culturally important sites in Ukraine have been verified” by UNESCO.  However, on 19 April the Ministry of Culture said it had “already recorded 200 damaged cultural heritage sites,” euromaidan reported.  https://genevasolutions.news/peace-humanitarian/unesco-deliberate-destruction-of-ukraine-s-cultural-heritage-could-be-considered-a-war-crime?utm_source=newsletter&utm_medium=email; https://euromaidanpress.com/

“Ukrainian military intelligence reported on March 24 that Russian occupying troops in the country were confiscating books and other materials that the Russian government has deemed ‘extremist’,” RFL/RL wrote on 10 April. The troops “have a whole list of names that cannot be mentioned” in the titles of books. RFE/RL also reported that “according to Ukrainian officials, state archive buildings in Kharkiv, Mykolayiv and Lysychanck have been targeted by Russian shelling” and “the SBU (Ukraine’s security agency) archive in Chernihiv burned down after being targeted, with the loss of some 12,000 folders of KGB documents about repressions in Ukraine.”

https://www.rferl.org/a/russia-ukraine-destroying-identiy-putin-historians/31795956.html

Writing on Twitter on 22 April, the First Deputy Minister of Foreign Affairs of Ukraine said “Russian invaders are looting archives & cultural funds of #Mariupol museums. They take everything to occupied Donetsk, and then, after evaluation, send the most valuable” onward.  Thanks to Andras Riedlmayer for this information.  https://twitter.com/EmineDzheppar/status/1518968365347479552?cxt=HHwWgIC9mcbrupQqAAAA  

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Many efforts are being made to collect evidence for future use in transitional justice processes.

Ukraine’s Ministry of Foreign Affairs announced it has created, with partners, an “online archive of Russian war crimes in Ukraine,” reported euromaiden. “The site documents war crimes committed by the Russian army in Ukraine during the full-scale invasion on February 24, 2022. Crimes are divided into 7 categories: (1) Murder of innocents, (2) Attacks on civilians or civilian objects, (3) Destruction of settlements, (4) Hostages and torture, (5) Illegal deportation, (6) Attacks on religion and culture, and (7) Rape.”  Meanwhile, investigators from the State Bureau of Investigation are documenting crimes of the Russian occupation, euromaiden also reported, including the use of munitions prohibited by the Geneva Convention, unjustified cruelty, and mass extermination of the population. https://euromaidanpress.com/

The Office of the Prosecutor of the International Criminal Court signed an agreement to become part of a joint investigation team with Eurojust, the European Union Agency for Criminal Justice Cooperation, and Lithuania, Poland and Ukraine “to facilitate investigations and international judicial cooperation” and “effectively gather evidence on core international crimes committed in Ukraine and bring those responsible to justice.”  https://www.eurojust.europa.eu/news/icc-participates-joint-investigation-team-supported-eurojust-alleged-core-international-crimes

Nongovernmental groups also are actively working to preserve evidence. Mnemonic, an NGO, has software “that downloads social posts from different platforms and generates a cryptographic hash to show the material has not been altered.” This software is being used by a team of volunteers in western Ukraine “who gather online material and also contact witnesses to alleged atrocities to gather testimony,” WIRED reported. Bellingcat, the forensic NGO, is also “feeding links of posts from Ukraine that merit further investigation to Mnemonic.”  https://www.wired.com/story/open-source-russia-war-crimes-ukraine/?bxid=5c48efcf2ddf9c4807adf975&cndid=53684912&esrc=sign-up-page&source=EDT_WIR_NEWSLETTER_0_DAILY_ZZ&utm_brand=wired&utm_campaign=aud-dev&utm_content=WIR_Daily_041122&utm_mailing=WIR_Daily_041122&utm_medium=email&utm_source=nl&utm_term=P6

“Hundreds of historians, librarians and IT specialists from around the world have joined forces  . . to form an online army to backup everything from websites to libraries, before buildings and servers are hit,” Thomson Reuters Foundation wrote. One of the most active groups is Saving Ukrainian Cultural Heritage Online (SUCHO), which is preserving “at-risk websites and digital content, with help from about 1,200 volunteers.” SUCHO pointed out that “these digital records could be used to document potential war crimes, for example, if catalogued items were looted or destroyed.” The American Folklore Society (AFS), a U.S. NGO, is “providing individual cloud storage links” for folk culture materials held by museums, academics, and private individuals in Ukraine. AFS said “the material they receive is often littered with malware, which takes time to clear.” https://news.trust.org/item/20220425155755-jvh6k/ 

Finding the missing, holding perpetrators accountable, demanding reparations for damage and destruction: records on all of these are being created. Preserving the evidence collected and ensuring its validity as legal evidence is essential. This is a war about history, and the history of the war must be preserved.

May: Government archives: alike and unlike

Blood red, poppies bloom along the train tracks between Vienna and Budapest. The once heavily fortified border passes with only an announcement on the train’s public address system that you are entering Hungary. But anyone with a memory or knowledge of the second half of the 20th century will feel a prickle of unease as you move from a democracy to one that Hungarian President Viktor Orban calls an “illiberal democracy.”

In its annual Freedom in the World report for 2022, the NGO Freedom House said there have been “16 consecutive years of decline in global freedom. A total of 60 countries suffered declines over the past year, while only 25 improved. As of today, some 38 percent of the global population live in Not Free countries, the highest proportion since 1997. Only about 20 percent now live in Free countries.” Finland, Norway and Sweden stand at the top of the Freedom House list and Turkmenistan, South Sudan and Syria sit at the bottom, with North Korea and Eritrea just above them.

https://freedomhouse.org/report/freedom-world/2022/global-expansion-authoritarian-rule; https://freedomhouse.org/countries/freedom-world/scores

A look at the NGO Reporters without Borders’ World Press Freedom Index shows a similar pattern. Of the 180 countries ranked, the top five are Norway, Denmark Sweden, Estonia, and Finland, and the bottom five are Myanmar, Turkmenistan, Iran, Eritrea, and North Korea.  https://rsf.org/en/index; https://rsf.org/en/rsfs-2022-world-press-freedom-index-new-era-polarisation

What is the difference in government records in a country like Finland and, say, Turkmenistan? I know of no systematic study of the similarities and differences. From the ancient world, Ernst Posner said there were six “basic types of records that may be called constants in record creation, whatever the nature of governmental, religious, and economic institutions”: laws of the land, evidence of administrative actions, financial records, land records, control of persons for purposes such as military service, and notorial records of private business transactions. (Ernst Posner, Archives in the Ancient World, p. 3). Interestingly, he did not include police or military records per se, although these surely existed, as did records of courts. But if we look at the list, we find those records in governments today, with “administrative actions” expanded to include records of social services, border control, and elections, to name a few.

If the basic records are pretty similar in all governments, what—if any--are the differences? In a police state, are police more likely to document fully their actions, knowing no outsider will ever see the records, or is it the other way around, with police in democratic states wearing body cameras and dashboard cameras on cars? Do we have better internal documentation of military violence in less democratic countries because the soldiers have no need to hide their acts (see the Syria item below)? Is there a difference in records disposal: who gets to decide what to save and what to throw away and when? Is the difference in how carefully the records are maintained, particularly the records of the head of state? Counter examples can be found for most of these suggestions.

What we do know is that public access to government records differs dramatically, and access is crucial for defending and seeking accountability for the violations of human rights. It is no surprise that of the five lowest ranked countries in the Freedom House list, only Iran has an access law, passed in 2009. All the top ranked countries have a government access law, as do the majority of countries rated as fully free (see http://www.freedominfo.org/?p=18223). To be sure, there is a gulf between having a law and administering it effectively in accordance with its provisions. But laws are a start, both access to information laws and archives laws. They are the foundation for the right to know.

June: Out of Business, the temporary international courts

Out of business. No, that is not a sign on a clothing store or a coffee shop. It is, instead, the news from the hybrid courts for Cambodia and Lebanon.

In June the Special Tribunal for Lebanon announced that it “will close after July because of a funding crisis.”  https://liberties.aljazeera.com/en/special-tribunal-for-lebanon-to-close-its-doors/ Just days later, Cambodia’s Deputy Prime Minister “informed foreign diplomats representing 10 donor countries that the Extraordinary Chambers in the Courts of Cambodia (ECCC), commonly known as the Khmer Rouge Tribunal, will finish its last case by the end of this year and will focus on archiving thereafter.” https://www.phnompenhpost.com/national-kr-tribunal/eccc-closing-final-case-years-end

After the International Tribunals for the former Yugoslavia and Rwanda were in operation, with international prosecutors and judges, questions arose about the participation of the countries where the crimes occurred. Out of this concern grew the first “hybrid” court, the Special Court for Sierra Leone, with a mix of international and Sierra Leonean judges and prosecutors. Set up in 2002, it finished its cases in 2013 and a Residual Special Court was created, with its “principal seat” in Freetown, Sierra Leone, but carrying out its functions “at an interim seat in The Netherlands with a sub-office in Freetown for witness and victim protection and support.” After negotiations, a digital copy of the publicly available records was made and given to the government of Sierra Leone, while the originals of all formats were shipped to the new interim seat in The Hague.

The International Criminal Court was established on 1 July 2002 when 60 countries had ratified the Rome Statute creating the Court. And although there was now a true international criminal court, hybrid courts continued to be created:

*The Extraordinary Chambers in the Courts of Cambodia were established by agreement between the United Nations and the government of Cambodia in 2003 to try serious crimes committed during the Khmer Rouge period (1975-1979), crimes that predated the establishment of the International Criminal Court (the ICC can only try cases when the crimes were committed after 1 July 2002). It sits in Phnom Penh with both Cambodian and international judges, prosecutors and staff.

*The Kosovo Specialist Chambers and Specialist Prosecutor’s Office were established in 2016 following an agreement between Kosovo and the European Union, and Kosovo amended its national constitution to incorporate this court into the Kosovo judicial system. It tries cases arising from the conflict in Kosovo between 1 January 1998 and 31 December 2000, a period also predating the International Criminal Court. It sits in The Hague with judges and prosecutors drawn from the European Union and other financially contributing countries but not from Kosovo.

*The Special Tribunal for Lebanon was established by the United Nations Security Council in May 2007. The primary mandate of the Tribunal is to try the people accused of carrying out the attack of 14 February 2005 in Beirut which killed 22 people, including the former Lebanese Prime Minister Rafik Hariri, and injured many others. It sits in The Netherlands with both Lebanese and international judges and staff.

So where will the original, sensitive records of the Extraordinary Chambers in the Courts of Cambodia and the Special Tribunal for Lebanon go? Although a prosecutor in one of the international hybrid tribunals once argued to me that the court’s only important records were those of the official proceedings in court, the prosecutor’s records contain a wealth of information that, for reasons of proof or time, was never entered into the court record yet has great historical significance. Records of the registrar, such as those on the protection of witnesses and victims, public information activities, and operating procedures, are likewise significant, as are records of judges’ chambers and judicial conferences. Further, these courts try international crimes, and while the records are most critical to a country’s or region’s history, they have worldwide precedential and historical value. And, after the millions of dollars and Euros and yen poured into the courts, will there be money now to make digital copies, at least of public proceedings, and make those available to the public in the most affected countries?

A decade ago there was active interest in erecting in The Hague a building for the archives of international courts. This plan seems to have evaporated, and once again there will be a scramble to find a secure, yet accessible place to hold these internationally important records. All parties need to agree, and the public has to be informed. A sensible solution must be found. Now. Will the international community meet the challenge?

July: Organized threats to nongovernmental organizations

Expulsion seems to be in vogue with today’s authoritarian governments. Often cited as “foreign agents” or accused of misusing funds, nongovernmental organizations from Russia to Nicaragua, Hungary to Indonesia and the Philippines have had governments arbitrarily close or impede or expel them.

For instance, on 28 June Russia’s foreign ministry announced that two Swedish organizations must cease operations, and the next day the State Duma passed a bill expanding criteria for individuals and organizations who can be listed as “foreign agents” and susceptible to expulsion. In May, Amnesty International reported, activist Mikhail Iosilevich was sentenced “to one year and eight months in a penal colony” for “collaborating with an ‘undesirable organization’--the now defunct Otkrytaya Rossiya (Open Russia) movement founded by Kremlin critic Mikhail Khodorkovsky.”  https://www.crisisgroup.org/crisiswatch; https://www.amnesty.org/en/latest/news/2022/05/russia-activist-mikhail-iosilevich-jailed-for-collaborating-with-so-called-undesirable-organization/ 

Or consider Nicaragua. On 19 July Human Rights Watch wrote, “Since June 6, 2022, Nicaraguan authorities have passed laws and resolutions canceling the legal registration of over 770 nongovernmental organizations and foundations, effectively forcing them to shut down their operations in the country. These include medical associations and organizations working on a range of issues from child protection to women’s rights to climate change mitigation. The government has canceled the registration of more than 950 organizations since 2018. Many of these decisions are based on abusive legislation, including a ‘foreign agents’ law.” https://www.hrw.org/news/2022/07/19/nicaragua-government-dismantles-civil-society  Among the latest expulsions was that of the Missionaries of Charity, the group founded by Mother Teresa. https://www.eurasiareview.com/01072022-nicaragua-ortega-government-orders-dissolution-of-missionaries-of-charity/

Nongovernmental organizations, particularly those focused on human rights issues, often depend on foreign funds to exist. In May Cuba adopted a new penal code which, said the Washington Office on Latin America, includes “Article 143 . . in the section of the code that targets violations of state security and is punishable with sentences ranging between 4 and 10 years in prison. It targets individuals who receive foreign funding that may be acting on their own or on the behalf of ‘non-governmental organizations, international institutions, associations or any natural or legal person of the country or of a foreign state’—criminalizing both public and private funds.” https://www.wola.org/analysis/5-concerns-about-cuba-penal-code/ On the first anniversary of the 11 July 2021 mass protests in Cuba, the Inter-American Commission on Human Rights condemned “persistent State repression of individuals who took part in social demonstrations or supported participants,” identifying “six waves of State repression,” one of which was “shutdowns of democratic platforms” and another “bills aimed at monitoring and punishing dissident views and government criticism, as well as at criminalizing the actions of independent civil society organizations.” https://www.oas.org/en/IACHR/jsForm/?File=/en/iachr/media_center/PReleases/2022/153.asp

Providing social services, enhancing community cohesion, providing an alternative route to influence government behavior, allowing personal growth: these are some of the benefits of nongovernmental organizations, for individuals and for the entity as a whole. Archival organizations, whether local, national, or international, fall into this category. And while there have been no reports of a professional archival organization shut down by a government, in the past some governments have interfered with the operation of archival associations. Next month the International Council on Archives, founded in the wake of World War II, will meet in Rome. The ICA’s Forum of Professional Associations could well consider how to protect archival associations in countries where the very existence of nongovernmental organizations is threatened. 

August: The August lull

Readers of SAHR News know that news from international organizations leads the four sections of items. But not this month. August is summer in the Northern Hemisphere when work generally slows, in international bodies as well as in national governments and private sector operations. International organizations did take a few broadly applicable actions in August; one was the UN Committee on the Elimination of Racial Discrimination which published its findings on the situations in Azerbaijan, Benin, Nicaragua, Slovakia, Suriname, the United States of America, and Zimbabwe, all of which make dismal reading (“deeply regretted,” “deeply concerned,” “disturbed”).  https://www.ohchr.org/en/press-releases/2022/08/un-committee-elimination-racial-discrimination-publishes-findings-azerbaijan  And the Organization of American States scolded the entire international community for its failures in Haiti, writing in a searing statement, “The last 20 years of the international community’s presence in Haiti has amounted to one of the worst and clearest failures implemented and executed within the framework of international cooperation.”  https://www.oas.org/en/media_center/press_release.asp?sCodigo=E-045/22

However, significant reports pertaining to specific states were released by international bodies, and links to these items are found in the sections below. Perhaps the most anticipated was the UN High Commissioner for Human Rights’ report on the “human rights concerns in the Xinjiang Uyghur Autonomous Region, People’s Republic of China.” Also important are the UN report on missing people in Syria, which includes a recommendation for a new international institution, and a UN report presenting evidence that Rwanda is supporting a rebel group in the Democratic Republic of Congo. The Inter-American Commission on Human Rights reviewed its four years of monitoring Nicaragua, and the International Labour Organization published an assessment of the resilience of trade unions and civil society organizations in Myanmar, with useful suggestions on how international organizations can effectively provide support.

With the opening of the 77th United Nations General Assembly on 13 September and the appointment of Volker Turk as the new UN High Commissioner for Human Rights, the September issue of SAHR News will surely be full of reports of new initiatives and assessments of existing conditions and actions by international tribunals. Stay tuned.

September: The bottom of a deep well, speech by Judge Rosario Salvatore Aitala

[The following summary is based on notes taken during the speech of Judge Aitala. I hope ICA will make a recording of his significant discussion available on line. In her introduction to the Judge’s remarks, Giulia Barrera pointed out that 2022 marks the 20th anniversary of the entry into force of the Rome Statute of the International Criminal Court, which had been adopted at a UN Diplomatic Conference in Rome on 17 July 1998.]

“Truth lies at the bottom of a deep well,” Judge Rosario Salvatore Aitala told the plenary session opening the ICA Rome conference in September. It is a Sicilian saying, the Judge said, and it is the shared responsibility of judges and archivists “to jump into the well.”

Judge Aitala is a judge of Pre-Trial Chamber II at the International Criminal Court. He opened his remarks with a brief history of international law, noting that traditionally the fundamental unit in international law was the state, which carried the “legal fiction” that when individuals were acting on behalf of a state or organization, their acts were attributed to the entity—in other words, individuals were shielded by the state. The Nuremburg Tribunal changed that, with its insistence that crimes against international law are committed by people, not abstract entities. This “expressed a promise” to victims and “changed the shape of the international community.” However, he said, that promise has “steadily deteriorated” with the fragmentation of the international order and the decline of multilateralism. Today’s international community, he said, “tolerates violations of international criminal law.”

Turning to the International Criminal Court, Judge Aitala said that he believes archives are “one of the most important categories” of cultural heritage that must be protected. At the time the genocide convention was written, a compromise left out cultural genocide. He argued that cultural heritage represents the “deepest identity” of a people and therefore its damage or destruction should be a crime in international law. The International Criminal Court has begun to prosecute individuals responsible for the destruction of cultural heritage; he pointed to the case of the destruction of religious structures in Timbuktu, Mali, which was the first case concerning damage to cultural property that was heard at the Court.

Archives, he said, are the “means to know” and “extremely important” to the Court. To be useful in judicial proceedings, a document must satisfy two elements: the document is authentic and the content in the document is provable. Documents in a case, he said, can link atrocity crimes to high levels of state organization, shedding light on the usual situation in which leadership creates the conditions that allow persons at the lower level to conduct atrocities. “You archivists are custodians of truth,” he concluded, and judges are responsible for the “guidance” of truth. It is a shared responsibility, one that requires members of both professions to jump into the well.

October: Fuel and climate change

Fuel. Climate change is all about fuel. Well, not quite, because there are other causes of climate change, but fossil fuels--especially big oil, natural gas and coal extraction and use--are a key part of it. Combustion of these fossil fuels releases the greenhouse gases that are causal factors in global warming.

The news on climate change is dire. In a report released before the current Conference of the Parties of the United Nations Framework Convention on Climate Change, the World Meteorological Organization (WMO) said, “The three main greenhouse gases—carbon dioxide, methane and nitrous oxide--all reached new record highs in 2021.” It was the “biggest year-on-year jump in methane concentrations . . since systematic measurements began nearly 40 years ago.” There is a “need to strengthen the greenhouse gas information basis for decisions on climate mitigation efforts,” WMO argued, and confirmed it is working on developing “a framework for sustained, internationally coordinated global greenhouse gas monitoring, including observing network design and international exchange and use of the resulting observations.” https://public.wmo.int/en/greenhouse-gas-bulletin 

Melting glaciers, rising sea levels leading to forced migrations of populations, increasing heat are all results of the long-term changes. The projected effect on health is drastic: The 2022 Report of The Lancet Countdown on Health and Climate Change warned that damage will include food insecurity, as crop yields are affected by the changing growing seasons; heat will aggravate chronic health conditions; and diseases like malaria and dengue will spread for more time each year. https://www.thelancet.com/journals/lancet/article/PIIS0140-6736(22)01540-9/fulltext

And we are a long way from shedding our dependence on fossil fuels, as we can see from actions by nation states. For example, in October Israel and Lebanon reached an agreement on a “permanent maritime boundary” that, wrote Al Monitor, resolves “a longstanding territorial dispute over a potentially gas-rich 330-square-mile stretch of the eastern Mediterranean Sea.” Lebanon said that French corporation Total Energies will “immediately” begin work in the declared Lebanese waters. Crisiswatch reported that on 3 October Japan “lodged a protest with China over gas sea development in the East China sea, in [an] area where Beijing and Tokyo in 2008 agreed to jointly develop resources,” but since then “China unilaterally proceeded with development and has installed 18 structures.” And to the south, in the contested South China Sea where several countries claim maritime boundaries, a Chinese oil company “claimed to find the first ‘deep-deep’ gas field in the western” part of the sea.

https://www.al-monitor.com/originals/2022/10/us-touts-historic-breakthrough-israel-lebanon-maritime-border?utm_medium=email&utm_campaign=business%20newsletter%20101222%20October%2012%202022%20118&utm_content=business%20newsletter%20101222%20October%2012%202022%20118+CID_b7cb355f19dab4cffb2b2b16acce207b&utm_source=campmgr&utm_term=reached%20an%20agreement; https://www.crisisgroup.org/crisiswatch

The pressure to reduce the use of fossil fuels has focused on governments, but alongside that are efforts to hold the fossil fuel companies responsible for climate change. An essay by Benjamin Bibas in justiceinfo.net pointed to a 2017 report by U.S. and British NGOs that said “100 fossil fuel companies . . are responsible for 71% of global emissions since 1988, with the 25 most polluting companies responsible for 51 % of the emissions . . the first four places being occupied by Saudi oil company Saudi Aramco, Chinese coal company Shenhua (which became Chinese Energy in August 2017) Russian gas company Gazprom, and the National Iranian Oil Company.” (Note the government ties of these companies.) Several NGOs have filed lawsuits against the fossil fuel companies, including Shell and Total, arguing both that the companies fail to comply with international standards for the reduction of emissions and the “serious humanitarian consequences of their pollution.”  https://www.justiceinfo.net/en/108457-redefining-climate-justice.html ; https://climate-laws.org/geographies/france/litigation_cases/notre-affaire-a-tous-and-others-v-total 

Determining the degree of climate change relies on historical data against which current conditions can be measured. The UN Environment Programs’ recent report acknowledged the need for and uncertainties of historical data, writing, “Historical emissions inventories and emissions projections from global integrated assessment models differ and are associated with uncertainties.” https://www.unep.org/resources/emissions-gap-report-2022  But data is what we have for understanding the recent past, and preserving that data is a responsibility archivists feel keenly. The ICA Section on Archives and Human Rights has a study in progress that seeks to locate the archives of the major fossil fuel companies and is finding it very difficult work. ICA’s Section on Business Archives has no representation from the international fossil fuel sector. It is essential that the records of those companies—not just those of governments--be preserved, managed, and made available for research. After all, the work of those companies that affects us all—existentially.

November: The hole that is Al-Hol

The tents stretch away as far as the eye can see: blue roofs, white roofs, tan roofs blending into the earthen paths between tents. Al-Hol: refugee camp, humanitarian center, internment camp, detention facility, prison?

Located in northeast Syria, as of November 2022 this place known as the Al-Hol camp houses more than 53,000 people of 60 nationalities. During the complex war in Syria in the mid-2010s, Syrian Democratic Forces (SDF), an alliance between Kurdish and Arab militias, captured Al-Hol town from ISIS, and in April 2016 the Autonomous Administration of North and East Syria (AANES) opened Al-Hol camp for refugees. As more territory was seized from ISIS, families of suspected ISIS fighters were taken to Al-Hol, and the population of the camp soared to about 73,000 people. It is now around 57,000, of whom 11,000 are foreign nationals housed separately from the Syrian population. Children are an estimated 64% of the camp’s population.

Al-Hol is administered jointly by AANES and SDF. In a lacerating report in November, Doctors without Borders (MSF) drew on the experiences and testimonials of its patients, staff, and the general Al-Hol population and concluded that Al-Hol is “a detention camp, more than a humanitarian camp setting, where movement in and out of the camp is restricted, rights and entitlements are stripped from people. They lack access to livelihoods, and continue to be held in prison-like conditions with very limited access to basic services and no way out.”  https://www.msf.org/danger-and-desperation-syria%E2%80%99s-al-hol-camp-report-msf

In the future, if a researcher wants to find records relating to this inhumane camp, where would they be? First, of course, there would be records of camp administration maintained by the two operating powers, AANES and SDF. Do they, as required by the 1949 Geneva Conventions, record the personal details of persons deprived of their liberty? Do they register a baby after birth with a name and nationality, as required by the Convention on the Rights of the Child? The camp administration should have records of applications by people seeking to leave Al-Hol, a process that requires the person to be in possession of civil documents, an impossibility for many residents.

Researchers would also find information in the records of the neighboring city of Deir Ezzor, its Civil Council and civil society organizations, all of which have dealt with the impact of a large camp in the area.  https://impactres.org/al-hol-camp/ The provincial and perhaps the national government would also have records.

Turning to the United Nations, at least ten of its constituent parts work in Syria, many in Al-Hol, and the United Nations-administered Syrian Humanitarian Fund allocates money for work in Syria to 21 international NGOs and 21 national NGOs, at least some of whom undoubtedly work in the camp, along with the International Committee of the Red Cross, Syrian Arab Red Crescent and Kurdish Red Crescent, and large international NGOs like MSF, Mercy Corps and the International Rescue Committee (on the dangers to aid workers at Al-Hol camp see https://syrianobserver.com/news/75252/ngos-withdraw-from-syrias-al-hol-camp-following-unidentified-attack.html). All would have relevant records.

And there are records in national governments around the globe. First, of course, are the nations that were part of the U.S.-led Global Coalition against ISIS, all of whom would have records of the camp and its occupants. Other nations are or were donors to the NGOs working in the camps as well as sponsoring their own aid agencies, such as the Norwegian Refugee Council, to work there. Nations whose citizens are among the foreign detainees in Al-Hol will have records of the decision-making on whether to repatriate them and, in some cases, the decision to strip of interned persons of citizenship (see, for example, the U.K. case https://www.theguardian.com/politics/2022/jan/26/uk-unlawfully-stripped-woman-of-citizenship-without-telling-her-court). 

Syrian organizations outside the country, such as the Syrian Observatory for Human Rights, the Syrian Network for Human Rights and the Syria Justice and Accountability Centre, have records, as do university centers for the study of the Middle East. News media that cover Al-Hol and other camps in Syria have both published and unpublished material, as do journalists who were on the story. And, of course, individuals, including Al-Hol detainees, their families and their lawyers (if they have such), and aid workers have personal documentation.

In sum, we have no shortage of resources to tell the Al-Hol story. Do we also have the resources to pressure governments to put an end to the detention of people in the hole known as Al-Hol? https://syrianobserver.com/resources/80009/us-encourages-countries-to-repatriate-nationals-from-ne-syria.html

December: 2022 in review

Here are items from each month of the News in 2022 that, taken together, illustrate the diversity of human rights issues that involve archives; some may bring a smile, too. To a record 2023 

January.  It’s never too late: The parliament of Spain’s Catalan region “formally pardoned hundreds of women executed for witchcraft between the 15th and 18th centuries.”

February.  A database of examples of rapid evolution among plants and animals as climates changed records “everything from the cranial depth of the common chaffinch to the lifespan of the Trinidadian guppy.”

March.  Bravo: For the first time since it began monitoring forced labor, the Uzbek Human Rights Forum confirmed the absence of systematic forced labour in the 2021 cotton harvest season.

April.  The Office of the Prosecutor of the International Criminal Court signed an agreement to become part of a joint investigation team with Eurojust, the European Union Agency for Criminal Justice Cooperation, and Lithuania, Poland and Ukraine “to facilitate investigations and international judicial cooperation” and “effectively gather evidence on core international crimes committed in Ukraine and bring those responsible to justice.” 

May.  A less happy first: The UN High Commissioner for Refugees said that for the first time 100 million people are forcibly displaced worldwide, representing 1% of the global population and equaling the population of the 14th most populous country in the world.

June.  An armed group occupied the court in Port-au-Prince, Haiti, setting fire to the files of the courts in Port-au-Prince and Croix-des-Bouquets.

July.  The Swiss cement company Holcim emitted more than seven billion tons of CO2 from 1950 to 2021, which amounts to 0.42% of all global industrial CO2 emissions since the year 1750.

August.  The Office of the UN High Commissioner for Human Rights released its assessment of human rights concerns about government actions in the Xinjiang Uyghur Autonomous region of China.

September.  The International Labour Organisation’s surveys estimated that 27.6 million people are in situations of forced labor and 22 million are living in forced marriages.

October.  In Guatemala, two groups of Indigenous women proposed a law that would protect their weaving designs, fearing that companies owned by non-Indigenous Guatemalans would patent their traditional designs and prevent them from weaving them.

November.  JBS, the world’s largest meat company, said it was the victim of a cattle laundering fraud for buying cattle from a farm operated by one of the biggest deforesters in Brazil. 

December.  Cheers: In advance of the 75th anniversary of the Universal Declaration of Human Rights (UDHR) on 10 December 2023, on 10 December 2022 the UN launched “a year-long campaign to showcase the UDHR by focusing on its legacy, relevance and activism.”

Archival commentaries 2023, January - April

January: Solely the nature of the crime

Perhaps it was pirates—at least, one theory is that today’s concept of universal jurisdiction originated in the threat pirates made half a millennium ago to the safety of seaborne trade and communication links between States and, therefore, all nations could punish them. Interesting as the historical roots are (see, for example, Yana Shy Kraytman’s “Universal Jurisdiction—Historical Roots and Modern Implications” in the Brussels Journal of International Studies 2005), the modern use of universal jurisdiction emerges in the wake of World War II. Today’s international legal profession is increasingly attuned to the use of universal jurisdiction.

The Princeton Principles of Universal Jurisdiction, published in 2001, define universal jurisdiction as “criminal jurisdiction based solely on the nature of the crime, without regard to where the crime was committed, the nationality of the alleged or convicted perpetrator, the nationality of the victim, or any other connection to the state exercising such jurisdiction.” https://icj2.wpenginepowered.com/wp-content/uploads/2001/01/Princeton-Principles-Universal-Jurisdiction-report-2001-eng.pdf  The Universal Jurisdiction Annual Review 2022 reported that in 2021 there were 125 active charges of international crimes in 16 countries, including 34 charges for war crimes, 66 for crimes against humanity, 25 for genocide. https://www.ecchr.eu/fileadmin/Publikationen/Trial_UJAR_25_03_2022_Digital.pdf   

January brought a striking number of advances in universal jurisdiction cases:

Finland/Liberia/Sierra Leone.  In April 2022 a Tampere, Finland, court dismissed all charges against Gibril Massaquoi, the former Lieutenant-Colonel and spokesman of the Revolutionary United Front in Sierra Leone’s civil war. The prosecution appealed, and the appeal is now underway, with the court moving to Liberia to hear witnesses, the NGO Civitas Maxima reported. For background, see SAHR News 2022-04.  https://civitas-maxima.org/trial-monitoring-gibril-massaquois-appeal/

Germany/Myanmar.  The NGO Fortify Rights and 16 individual complainants submitted a 215-page criminal complaint and “more than 1,000 pages of evidence to assist the Office of the Federal Prosecutor [Germany] to investigate and prosecute those responsible for the Rohingya genocide as well as atrocity crimes related to the [Myanmar] military junta’s coup d’etat launched on February 1, 2021.”  In addition to “more than 1,000 interviews with survivors of international crimes in Myanmar,” the complaint draws on “leaked documents and information provided by Myanmar military and police deserters and others that shed light on the military’s operations, crimes and command structures.”  https://www.fortifyrights.org/mya-inv-2023-01-24/

Germany/Syria.  Justiceinfo.et interviewed Patrick Kroker of the NGO European Center for Constitutional and Human Rights that represents one of the plaintiffs in the German case against Moafak D., a former member of a Syrian militia charged with the war crime of “throwing a grenade at a crowd that had gathered to collect UN aid packages in March 2014” in Yarmouk, a refugee camp and neighborhood in Damascus, Syria. Kroker said that during the trial in Berlin “the testimonies of the nine eyewitnesses were the most important. They are supported by a fairly large amount of images, partly from social networks, recorded before the crime and after in hospitals. But there is no material from the moment just before and after the crime.” Kroker made an important point about the Assad regime’s “widespread and systematic attack against its civilian population from April 2011” and the terrible situation in Yarmouk: “The war crimes charge does not register all of this. For the efficiency of the trial, it makes sense to focus on war crimes, because the court does not have to prove the whole context. But this does not fully reflect the injustice that occurred in Yarmouk and the suffering of the victims.”  https://www-justiceinfo-net.translate.goog/fr/110921-patrick-kroker-vu-blessures-personne-survivre.html?_x_tr_sl=auto&_x_tr_tl=en&_x_tr_hl=auto

Iran/Sweden.  In Stockholm the appeals trial of Hamid Noury, an Iranian citizen, began, contesting his sentence to life in prison for committing war crimes and murder during the Iran-Iraq war in the 1980s, AP reported. For background, see SAHR News 2022-07.  https://apnews.com/article/iran-politics-stockholm-legal-proceedings-crime-935a0486cc8c5b324c6b661c9c03ca4c

Liberia/Switzerland.  In 2021 a Swiss court gave a 20-year sentence to Alieu Kosiah, a former rebel commander for fought with the United Liberation Movement of Liberia for Democracy (ULIMO) against former Liberian President Charles Taylor’s army between 1993-1995. He was convicted, said swissinfo.ch, of “22 counts of war crimes including rape, murder and an act of cannibalism.” He appealed the conviction, and the appeals trial began in January. For background, see SAHR News 2021-06.  https://www.swissinfo.ch/eng/liberian-war-crimes-appeal-trial-opens-in-switzerland/48195632

These universal jurisdiction cases often rely heavily on the testimony of witnesses rather than institutional records, although the Myanmar case in Germany does include leaked documents. Satellite imagery and its forensic analyses are increasingly important, as are the records of social media. But at least as important as the documentation used in the pleadings and the courtroom are the records assembled as prosecutors define and refine cases and judges ponder the legal matters before them. The records of these universal jurisdiction cases are held in one State but are essential sources for the history of the people of another State. They may be the only records of horrifying events, and in the near future they will likely be the most easily accessible records about them. The importance and responsibility of court archivists for the records of these cases is unquestionable.

February: Citizenship is complicated

Citizenship is complicated. It can be gained by birth or naturalization, excluded by gender or race, lost by a woman’s marriage to a foreign national or by act of government, renounced as Maria Callas did with her U.S. citizenship to regain her ancestral Greek citizenship. A person might have serial citizenship without individual effort: a person born in Kiev, Ukraine, during Tsarist rule, for example, would have been a Russian citizen, then a citizen of the USSR, and now a Ukrainian citizen. Dual citizenship is also complicated. One can be simultaneously a Portuguese and U.S. citizen, for example, holding citizenship in two UN member states, or a citizen of both Canada and Cree Nation, one a UN member state and another a national Indigenous body within he state. 

Citizenship implies both inclusion and exclusion: you are with us or you are not with us. Issues of citizenship arose remarkably often in February.

“More than 300 Nicaraguans were stripped of their citizenship by authorities in February, including students, journalists, literary figures and human rights defenders, Courthouse News Service reported. On 9 February, 222 of these now stateless persons were forcibly deported to the U.S.; the same day the National Assembly reformed Article 21 of the Constitution to revoke the citizenship of the deportees and “other opposition members already in exile,” which “prevents them from returning to Nicaragua,” CrisisWatch reported. https://www.courthousenews.com/ortega-regime-accused-of-criminalizing-civil-society-in-nicaragua/; https://www.crisisgroup.org/crisiswatch

Meanwhile in Israel, the Knesset passed an amendment to the 1952 Citizenship Law, revoking the citizenship or residency of citizens or permanent residents who meet three conditions, Al Monitor reported:

1.     The person must have been convicted of terror, aiding terror, harming Israeli sovereignty, inciting war or aiding an enemy during wartime.

2.     He or she must have been sentenced to jail time.

3.     The person or someone on their behalf receives stipends from the Palestinian Authority while in prison.

A court will rule on each pending revocation proposed by the interior minister. It is not clear how many people will be affected.

https://www.al-monitor.com/originals/2023/02/israel-approves-law-deport-palestinians-convicted-terrorism#ixzz7vlifu5nP

And then there is the case of Shamima Begum, a British woman who, at the age of 15, went to Syria to marry an ISIS fighter. U.K. “authorities withdrew her British citizenship on national security grounds soon after she surfaced in a Syrian refugee camp in 2019,” CBS/AP reported. With her husband and three children now all dead, she wants to return to London, but the Special Immigration Appeals Commission said “evidence was ‘insufficient’ for Begum to win the argument that the deprivation of her British citizenship failed to respect her human rights.” The U.K. also said she “could seek a Bangladeshi passport based in family ties,” but her family said she has “never held a Bangladeshi passport.” Stateless, she is stuck.  https://www.cbsnews.com/news/shamima-begum-uk-ex-isis-bride-in-syria-loses-british-citizenship-appeal/

Turning to cases involving Indigenous bodies, in Finland (see item below) the Sami Indigenous people are confronting the question of citizenship, as the government proposes a new law governing Sami identity and, therefore, the right to be a part of the population governed by the Sami Parliament. And in Canada (also see item below) a man who has discovered his birthmother was Cree is seeking to have his birth registration changed to he can gain the benefits of a citizen of the Metis Nation.

Citizenship brings benefits such as social security and health care, the right to vote on governance, and the right to have a passport that allows travel across borders. Without citizenship an individual’s rights fall away and the person is left vulnerable to arbitrary actions with no legal recourse. The documents of citizenship, from birth certificates to naturalization records to registers of Indigenous groups, are vital records indeed.

March: Bias in, bias out

GIGO—garbage in, garbage out—is an acronym used since at least the early days of modern computing (see this 1957 article:  https://www.newspapers.com/clip/50687334/the-times/). Perhaps now we need the acronym BIBO--bias in, bias out--as computer-generated algorithms dominate many of our daily transactions.

In Europe, the General Data Protection Regulation tried to deal with bias in automated decisions. Its Article 22 on “Automated individual decision-making, including profiling” reads:

1.  The data subject shall have the right not to be subject to a decision based solely on automated processing, including profiling, which produces legal effects concerning him or her or similarly significantly affects him or her.

2.  Paragraph 1 shall not apply if the decision:

(a) is necessary for entering into, or performance of, a contract between the data subject and a data controller;

(b) is authorised by Union or Member State law to which the controller is subject and which also lays down suitable measures to safeguard the data subject's rights and freedoms and legitimate interests; or

(c) is based on the data subject's explicit consent.

Outside Europe there is scant legislation, leaving the construction of algorithms for automated decision-making without regulation in markets such as the United States. But within Europe or outside it, situations like these were reported in March:

*“Lighthouse Reports and WIRED obtained Rotterdam’s [Netherlands] welfare fraud algorithm and the data used to train it, giving unprecedented insight into how such systems work. This level of access, negotiated under freedom-of-information laws, enabled us to examine the personal data fed into the algorithm, the inner workings of the data processing, and the scores it generates. By reconstructing the system and how it works, we found that it discriminates based on ethnicity and gender. It also revealed evidence of fundamental flaws that made the system both inaccurate and unfair.” https://www.wired.com/story/welfare-state-algorithms/

*A STAT investigation found artificial intelligence is now driving denials for medical treatment under U.S. government funded Medicare Advantage, the “the taxpayer-funded alternative to traditional Medicaid that covers more than 31 million people.” Insurers “are using unregulated predictive algorithms, under the guise of scientific rigor, to pinpoint the precise moment when they can plausibly cut off payment for an older patient’s treatment.” STAT researchers combed through “hundreds of pages of federal records, court filings, and confidential corporate documents, as well as interviews with physicians, insurance executives, policy experts, lawyers, patient advocates, and family members of Medicare Advantage beneficiaries.” The director of a care facility said, “They are looking at our patients in terms of their statistics. They’re not looking at the patients we see.”  https://www.statnews.com/2023/03/13/medicare-advantage-plans-denial-artificial-intelligence/?utm_campaign=morning_rounds&utm_medium=email&_hsmi=249894563&_hsenc=p2ANqtz--1_WgZ1Xiv5tB5_EstY6AnbjBApuboBrtM2H1yKhA35kYVjanhIN0MnyP7GFLDl2nzuo4Qh4ovR4jfRCahrCrQsMAh2Q&utm_content=249894563&utm_source=hs_email

*In a similar study, the American Civil Liberties Union (ACLU) examined “how algorithmic design choices can function as policy decision” when used to “screen calls to a child welfare agency about alleged child neglect in Allegheny County, Pennsylvania.” The researchers used data on child-referral records from 2010 to 2014; “the data was very similar to the data used to train” the artificial intelligence algorithm, with “roughly 800 variables, including, for each family, information about prior referrals and child welfare records, jail and juvenile probation records, behavioral health information, birth record information and demographic information.” By using such historic data, the resulting tool and similar ones “give families no opportunity for recourse, perpetuate racial bias, and score people who may have disabilities as inherently ‘riskier’,” calling the use of such algorithms into question.  https://www.aclu.org/the-devil-is-in-the-details-interrogating-values-embedded-in-the-allegheny-family-screening-tool?redirect=afst_audit

Archives hold records that can be used in myriad ways. Archivists insist that they make and certify true copies of documents in their possession but do not certify the truth or accuracy of the contents. Simply basing an algorithm on archival records fed into it for machine learning does not in itself make the result truthful. BIBO.

 

April: Thanks and farewell

After more than 13 years and 160 issues, I decided it was time to turn over SAHR News to other voices. A group of wonderful colleagues is taking it on: Kate Blalack will edit until September, and five persons will collect news (Amanda Leinberger, Aminata Kay, Joy E Rowe, Normand Charbonneau, Valentina Rojas). Andreas Nef will continue as the IT support, and the translation teams in French (Christine Martinez, Dinza Tang Irmi, Françoise Watel, and Annick Yonga) and Spanish (Paloma Beneito Arias, Blanca Bazaco Palacios, and Nilda Lopez) will continue the laborious work of language conversion. 

It has been a privilege to share items, issues and commentary with readers for these many years. I not only have learned a lot about what was happening around the world, but I also gained a renewed appreciation for a free and fair press. Without robust, discerning press reports, the News would not be possible. ICA, on behalf of World Press Freedom Day on May 3, issued a press release drafted by SAHR supporting our colleagues in journalism. See:

English: https://www.ica.org/en/world-press-freedom-day-3-may-2023

French: https://www.ica.org/fr/journee-mondiale-de-la-liberte-de-la-presse-3-mai-2023

Spanish: https://www.ica.org/es/dia-mundial-de-la-libertad-de-prensa-3-de-mayo-de-2023

My sincere thanks to the many people who have provided support for the News, including translators past and present who never complained about difficult language, persons who sent in suggestions for items to be included, persons who complained about coverage, and most of all the readers. I look forward to seeing the evolution of the News. I’ll be reading each month!