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Current Records Maintenance (Section 3.2)
(a) Filing Systems (3.2.1)
6.52 Current files should be maintained under central control in designated file stations which relate to major functions or major organisational units (departments or offices) in order to:
(i) prevent fragmenting relevant material;
(ii) eliminate unnecessary duplication;
(iii) specify the preferred location of certain types of information to avoid confusion as to its whereabouts;
(iv) prevent mushrooming of files in subordinate units;
(v) facilitate the disposal of semi-current and non-current records.
Files of subordinate units should be considered working or convenience files, except when they represent specific functions not substantially duplicated elsewhere. Small organisations are generally well served by a central registry to take advantage of trained staff and consistent procedures.
6.53 Classification schemes should have a simple coding scheme and the subject arrangement should be logical and hierarchical to provide room for expansion and for particularisation of subject matter when necessary. The use of an agency-wide classification system for substantive files depends on the character of the agency. Although a uniform classification plan has a theoretical advantage of bringing similar material under the same symbol, regardless of the office of origin, the system usually works best when the classification is consistently applied by a central staff, although even when the files are decentralised the rigidity of the classification and accompanying procedures often fails to accommodate changing patterns of subject matter, variations in amount and type of material, and user preferences. Thus, large organisations which have a broad range of responsibilities and interests (and where a single department is often much larger than a small agency) are generally best served by filing systems specially prepared for each major functional or organisational department or division, as the case may be. Many functions or offices do not need a coded classification, but are adequately served by an alphabetical or a broad category/alphabetical subject system for current reference needs. This puts the burden on the Archivist to draw together subject and other related material from among separate organisational units for future reference.
6.54 Initial separation of correspondence into files of continuing and temporary value reduces the build-up of unnecessary duplication that requires weeding when it becomes semi-current or non-current, and improves the quality of the file by reducing the time spent in searching for essential information.
(b) Filing Equipment and Supplies (3.2.2)
6.55 General criteria in the selection of equipment and supplies are:
(i) use conventional items when practical;
(ii) use non-conventional items only with valid justification;
(iii) compare various types before deciding;
(iv) determine suitability to withstand anticipated volume and weightload;
(v) distinguish between retrieval needs estimated as "urgent and immediate" and "in reasonable time";
(vi) consider availability of rapid delivery facilities, such as conveyors, elevators, or special messenger service;
(vii) ensure security when limited access or physical protection are of prime importance;
6.56 At present, standards for registries and file rooms are based on 4 or 5-drawer metal vertical file cabinets; shelf files of standard 5 to 7 shelves, either open or closed; storage cabinets for a single format or mix of suspended files, document boxes and ring binders; and bookshelves, which are often used for record material as well as books and periodicals. File folders are classified by weight and are chosen according to filing requirements. For registry and other archival material, heavy kraft (18-point) folders with single position tab, centre or off-centre cut, with pre-inserted metal or plastic prongs in the centre fold, and pressure sensitive labels are generally standard. Pressboard folders are used for certain heavy-duty files such as personnel folders, payroll folders, and certain case files.
6.57 Basic types of filing equipment and supplies should be standardised and from the same or compatible manufacturers so that the files will present a uniform appearance, have the same dimensions, and have flexibility for use in other offices and other locations. The choice is governed to a large extent by availability in the locality or area in which the organisation is situated.
Control of Assignment of Filing Equipment and Supplies (3.2.2.3)
6.58 Standard types of filing equipment and supplies should be chosen as a result of consultation between the Procurement office and Records Management and Archives unit. Basic equipment assigned according to rank and purpose should be determined, and requests for additional equipment and for special supplies (not in stockroom) should be forwarded immediately by the Procurement office to the Records Management and Archives unit for approval.
6.59 A personal investigation by the records management officer should follow to see if space for current material can be made by transferring semi-current or non-current files, reorganising files, or eliminating excess non-record material. As a result, the request is often cancelled or alternatives provided.
6.60 Special filing equipment requested should be assessed in relation to its functional effectiveness and in comparison with similar types or brands to assure suitability. Requests for new types of units for housing non-conventional records should be considered as the basis for selecting potentially standard units for such material.
6.61 On the basis of experience in assigning equipment and of data acquired from record surveys, the Records Management and Archives unit should make annual recommendations for anticipated equipment requirements for the following year to aid the Procurement office in making budget projections.
(c) Vital Records Programmes and Security Copies (3.2.3)
6.62 Vital records programmes are designed to deposit at an off-site location copies of records (chiefly in microform, supplemented by selected historical magnetic tapes and quick reference aids in paper form), which have been designated essential to reconstruct and continue the operations of the agency, and to protect its organisational interests, in the event of a disaster or an emergency affecting the conduct of business at the headquarters site. The Records Management and Archives units of agencies having such programmes have responsibility for their management, including assembling data from offices of origin, preparing microforms as necessary, organising the material according to a microform code arranged by type and record series, keeping account of material on deposit to facilitate reference, and carrying out procedures for keeping the information current on at least a monthly basis, including eliminating superseded data.
6.63 Security copies are generally by-product microforms of records and documentation prepared for other purposes, which are deposited in an outside location as a safeguard in case of damage to the originals or to the microform master. Historical documents are also microfilmed for this purpose. Although security microfilm normally contains documentation of cultural, scientific and research value, rather than data specifically related to institutional obligations and continuity, pertinent record series could be incorporated into a vital records programme or vice versa, if desired.
6.64 The Records Management and Archives unit is the natural agent for managing either or both a vital records programme and a security collection as part of its normal functions.
Record Surveys (Section 4.1)
6.65 General agency-wide surveys of record holdings in offices should be made at approximately five year intervals to provide a profile of existing resources; to identify semi-current and non-current records that should be transferred to the record centre/archives; to select records series for which schedules should be established; to discover needs for files improvement; to pinpoint cases of inappropriate use of equipment; and to establish closer working relationships between the Records Management and Archives unit and decentralised offices. Information should be solicited by means of printed forms circulated to each office; the departmental administrative assistant (if appropriate) should act as liaison for collecting data, although individual offices should also be encouraged to seek assistance direct from the records management staff. The survey report is the primary source checked in investigating requests for additional equipment, in order to spur transfers and disposals. General surveys should be preceded by a circular from the head or deputy head of the agency announcing the purpose, procedure, time period for response, and dates for progress and final reports to management on the results.
6.66 Ad hoc surveys made in response to requests for files assistance, negotiations for disposal and for scheduling of recurrent records, and in connection with staff reorganisations and transfers are means of updating basic information in the general survey. Prompt response to requests for files assistance is imperative for establishing effective relationships between the Records Management and Archives unit and agency offices.
Retention and Disposal (Section 4.2)
6.67 All housekeeping and similar routine administrative, financial and other facilitative records should be scheduled for recurrent transfer and disposal in agreement with the originating office. Schedules in force at UN Headquarters should be circulated, when relevant, to various organs for use as authority for disposal or as guides, as well as means of convincing doubting officials as to the normalcy of such procedures. Specialised and associated agencies and, when appropriate, separate bodies should prepare their own schedules and disposal lists that relate to their particular records and to their own reference use, but the UN schedules may be referred to as guides. It is understood, however, that retention periods required in one agency do not necessarily fit the needs of another agency.
6.68 Disposal authorisations for both recurrent records (schedules) and single accumulations (disposal lists) should be signed by the Archivist and the head of the responsible programme or functional unit, no lower than a division or service or the equivalent. Informal negotiations and preliminary agreement should precede preparation and signature of the formal authorisation form. Disposal authorisations for financial records subject to audit should be cleared and countersigned by the Internal Auditor and, if appropriate, the Controller. In cases of doubt about relevant national statutes of limitations regarding liability for legal action, the Legal Department should be consulted.
6.69 Duplicate copies of facilitative forms used for information by more than one office may be authorised for destruction after immediate need has passed on the basis of the existence of the record copy, which has the longest retention life.
6.70 Working files of organisational sub-units (i.e. in addition to the designated departmental file station, such as divisions, sections and below) and of professional staff, which contain only occasional unique material of lasting value, may be transferred to the record centre/archives for two or three years before destruction in order to assuage any personal apprehension about future reference needs. The records should be weeded before destruction and archival material integrated in the central registry files or official file station as the case may be. Disposal authorisation for this class of material is included in the authorised schedule by some agencies; in others, a special form may be used to record approval by the staff member or office concerned to the Archivist's recommendation that the files be destroyed as containing no archival material and having no further reference value.
6.71 Guidelines for retention of decentralised office administrative and informational files (generally non-record and non-archival) should be issued for the information of secretaries and administrative assistants who are responsible for those files. The guidelines should include instructions concerning retention standards for printed reports, agency periodicals and publications, and secretariat documents in order to limit their accumulation.
Destruction Methods (4.2.1)
6.72 Destruction of sensitive material should be performed at a central designated point, bagged, and destroyed according to methods agreed by the Archivist with Building Services and Security officers. Institutional size shredders, set at the narrowest width, and with cross-cutting to prevent reconstruction, or disintegrators should be used in preference to small machines that require tearing documents apart and removing metal fasteners. When, in exceptional cases, a satellite building is allowed to have a shredder, usage should be under control of the Building Services unit in co-operation with the Archivist.
6.73 For the highest security, senior officials should be instructed to send very sensitive material in double envelopes or sealed cartons by courier or special messenger to the Records Management and Archives unit, which will monitor destruction. Offices having a high volume of confidential waste, such as computer printouts containing preliminary economic or financial data, should make special arrangements with the messenger service for direct pick-ups and delivery to the destroying machines.
6.74 Sales of waste paper for recycling should be arranged as a conservation measure when feasible. Special canisters should be placed in offices to separate recycleable paper from ordinary waste. Material should be moved directly by dumpster from the compactor to the recycling firm under controlled arrangements to prevent inadvertent scattering.
6.75 Destruction of microfilm, photographic negatives, metal printing plates, etc., should be subject to recovery of reusable metals, when feasible.
Appraisal Criteria (Section 4.3)
6.76 Appraisal criteria are applied primarily in accordance with the characteristics of the material:
(a) by type - administrative and other housekeeping records which are evaluated by function;
(b) by content - programme and project records, for their evidential and informational values;
(c) by historical and legal importance - charter, bye-laws, agreements with Member States, other organisations and corporate bodies, budgets and organisational documents, ruling decisions and directives, documentation of governing and subordinate bodies and complementary groups;
(d) by physical properties - audiovisual, cartographic, architectural and engineering drawings, machine-readable records, printed records, in terms of functional, evidential and informational value, as appropriate to their format.
6.77 Records should be appraised at two stages:
(a) preliminary evaluation of their functional value as semi-current or non-current records with respect to periods recommended for their continuing administrative, fiscal, legal and reference use, which is made at the time retention schedules are established with the originating office or when records are transferred to the record centre/archives;
(b) archival evaluation of their evidential and informational value for long-term or permanent retention at the time of final disposal and designation as archives, with further consideration as to retention in the original form or in microform, and whether sampling of typical record series will be sufficient evidence for archival purposes of certain voluminous types of records.
6.78 Archives are generally found at the upper levels of the organisational hierarchy, where policies and decisions are formulated, and with expert advisors and consultants.
6.79 Since appraisal criteria cannot be applied to exact standards and their relative values differ from organisation to organisation, determinations of archival value are also subject to change in the light of changing conditions and changing values over time. Consequently, a careful and consistently applied reappraisal of certain archival holdings should be held at approximately 10 to 20 year intervals to review the validity of the original designation in the light of present-day concepts and experience, or to decide whether microfilm reproductions would be adequate replacements.
6.80 Sampling
This method is used to preserve selected segments of certain record series, usually bulky and extensive in volume, which have archival interest, not for content, but because they illustrate procedures for dealing with certain routine activities or complement the internal structure of a function which has been summarised in reports and statistics (4.3.2).
Record Centre/Archives (Section 4.4)
6.81 The purpose of a record centre is to provide in less expensive space and equipment a central repository for the intermediate maintenance of semi-current records no longer required for active use in offices but which have continuing institutional value for varying periods. In UN agencies the record centre function is combined with the archives.
6.82 The duties of the record centre/archives comprise arranging for transfer of semi-current and non-current records from offices, either scheduled or special accumulations; preparation of accession reports, attaching lists of material transferred and finding aids, if any, supplied by the originating office; preliminary appraisal of retention value, in consultation with the office of origin; boxing, labelling, shelving, and servicing of holdings in accordance with restrictions on access placed by the office of origin; preparation of shelf list and other locator information, and a "tickler" or reminder card file on dates for action on each record series, including notification to offices of impending scheduled transfers and destruction; and carrying out authorised disposal.
6.83 Automation afforded by data processing or computer services available should be utilised whenever possible in the preparation of shelf lists and space rationalisation, notification of impending transfers and disposals, data on holdings, and preparation of finding aids, in order to facilitate and expedite service.
6.84 Record/centre archives staff should maintain active co-operation with Building Services staff, as well as offices where records originate and are maintained, in order to be alerted to lapses in normal procedures for transferring non-current records, to unauthorised destruction of records, or careless handling of security classified material.
Transfer and Accessioning of Archives (Section 5.1)
6.85 The principle of inviolability and inalienability of an agency's records should be firmly implanted in agency practice. Every means should be taken to create staff awareness of the relevant executive and administrative directives and to exercise vigilance in seeing that they are carried out.
6.86 The Records Manager/Archivist should be given advance notification by the Personnel Office of impending staff separations by means of a routine cheek-off form prepared in connection with close of service. Thus, personal contact can be made with the departing staff member with regard to regulations against removal of records and documents, including copies of a person's own writings and related material. In exceptional cases, permission to remove any copies of record material should be authorised in each case by the Archivist and, when necessary, by the agency executive or the department head -concerned, in accordance with stated policy.
6.87 A clear distinction should be made between record centre and archives holdings, even though they may be in the same location and serviced by the same staff. Separate identification and reporting of accessions may not be practical for the archives of small agencies, particularly when the material is not open to public access and the extent of archival holdings is limited. For records that are or expected to be open to outside researchers, the archives holdings are identified by symbols denoting record (archive) group and record series, corresponding to their arrangement. When necessary, the material is finally arranged in archives containers, relabelled, and reshelved. Those processing activities, as well as reference and research services, are reported separately. Frequently there are time lags in the transfer of repository holdings to archival status, however, because of the necessity for weeding, organization of material, and preparation of finding aids.
Recovery of Alienated Official Records and Acquisition of "Private" Papers and Related Non-Institutional Archives (Section 5.2)
6.88 When alienated papers are restored to the originating organisation after a hiatus in custody, their former status and filing place are not restored. Such records should be placed separately, but next to, if possible, the related records series and cross references should be inserted, with explanation, in all relevant finding aids and in the original filing place.
6.89 The acquisition by the agency's Archives of "private" papers of former heads and senior officials of organisations or persons who played a prominent role in their history is useful for institutional research because of the description of factors surrounding decisions and events in agency history and because official papers are often discovered in the collection. When those collections have been deposited irrevocably in other organisations, microfilm copies should be obtained by the Archives if desirable for reference, preferably as a courtesy or with official or private funding.
6.90 Gifts and loans (preferably with the right of the organisation to make microfilm copies) should be accompanied by legal documents clearly stating the relationship between donor and recipient, restrictions on access, and literary property rights.
6.91 The same rules of access applying to agency Archives should apply to acquired collections unless the conveyance arrangements stipulate otherwise. The identity of acquired collections should be preserved intact, with their own finding aids, although they should be cross-referenced in the agency's finding aids and included in its archival bibliographies.
Archival Integrity and Arrangement (Section 5.3)
6.92 The archival integrity of separate agencies and separate bodies, including boards, committees, and working groups or task forces, and of discreet conferences, assemblies, meetings, and symposia, should be preserved according to provenance.
6.93 The weeding and elimination of duplication, extraneous material, and routine material of transitory informational value is necessary prior to archival arrangement.
6.94 Archival arrangement may be by the traditional system of record groups, sub-groups and records series according to the agency hierarchical organisational pattern, which is accessed by subject indexes, descriptive inventories and special finding aids. An alternative method is the "total information" subject arrangement of intraorganisational substantive records by an integrated classification plan (which is to a large extent self-indexing), with collateral selective indexing. The method depends on the characteristics of the organisation - its size and range of interests; the volume and preponderant type of records (operational, case and project file, or policy and research); and user requirements - urgent institutional access or general research. Thus, a uniform system of arrangement would not be feasible for all UN organisations.
6.95 A record group (also known as archive group) generally corresponds to a single organisation, department, field mission or task force, or an independent body. Thus a small organisation may be considered a record group, and its central registry and decentralised functional files as records series thereunder.
6.96 Symbols for identification of archives differ among agencies. A commonly-used system consists of the initials or acronym of the record group and sub-group, plus an assigned number to indicate records series. Some agencies, which do not allow public access to their archives, continue to use the accession number initially assigned at time of transfer.
Finding Aids (Section 5.4)
6.97 The traditional archival finding aid is the descriptive inventory. In UN agencies, this generally incorporates the list of folders prepared by the originating office (often amplified by the record centre) and attached to the accession report. At the record group level, it also includes a brief administrative history of the organisation or major body. Other finding aids include central registry and departmental file classification plans and item or folder indexes. Subject indexes and subject bibliographies of related material within various record groups or record series are required to facilitate reference. A printed agency guide, in leaflet form, to the resources and procedures for access to archives often includes lists of major record groups and sub-groups available for research. For archives open to public use, descriptions of resources in printed guides, such as the Guide to Archives of International Organisations, and general publications containing bibliographies of archival and library sources available for research are important means for bringing agency information resources to public attention.
Automation: Application to Archives (Section 5.5)
6.98 The application of word processors and computers to the preparation of inventories and subject indexes should be studied and undertaken whenever possible to save unnecessary routine work. Systems now in use in some record centres for listing the status of holdings are easily carried over to archives use, when the holdings are identified separately. Computer-assisted indexing with reference on-line or on printout is an invaluable means of facilitating access. In that connection, the archives should not be reluctant to convert library skills to archival procedures by adding professional librarians or library-trained archivists to the staff. Software packages, such as SPINDEX and others, should be utilised insofar as possible to facilitate reference access and for administrative control.
Access and Restrictions on Use (Section 5.6)
6.99 Public access to the archives of international organisations should be given in most cases after a maximum general delay of 30 years, except for specific cases where a longer period would be necessary. The exceptions to the 30-year rule would be for records relating to national, regional and international security and defence; records containing business, financial or other economic information of individual nations, firms, or establishments submitted in confidence to the organisation; and personnel records containing information concerning the physical or mental health of individuals, and other information the disclosure of which would constitute an unwarranted invasion of personal privacy.
6.100 Automatic declassification of security-classified records after the expiry of specified retention periods should be practiced whenever possible. In other cases, a decision should be made on the recommendation of the Archivist by the head of the organisation, by designated senior officials (e.g. department heads or deputies), or, in exceptional cases, by an ad hoc committee appointed by the head of the organisation.
Research Services and Facilities (5.6.3)
6.101 Access to the agency archives by outside researchers should be accompanied by precise regulations to ensure the serious purpose of the request, understanding of the conditions for use of the archives, and protection of the material from harm or loss. Rules for access and a description of research services and resources should be available in printed form to all potential researchers.
6.102 The Archivist is responsible for seeing that the searcher has access, without favour or privilege, to all relevant records open to the public and that finding aids and adequate work facilities are available. Precautions should be taken to protect the physical condition and integrity of the records consulted and to see that regulations regarding use, citation of sources, submission of manuscript and/or notes (if required), and deposit of the finished work are observed.
Publication of Archival Material (Section 5.7)
6.103 The Archivist should co-operate with the publications staff in ensuring that publications contain authentic texts and related material and should, when possible, prepare indexes and annotations to historical publications. Recommendations for publication of important collections of records - in paper or microform - should be made to promote research and to mark commemorative occasions.
Storage and Security (Section 5.8)
(a) Space Allocation (5.8.1):
6.104 Buildings used as archives repositories should be considered in terms of location, accessibility to public transportation, fire and security protective services, and adequacy of structure and facilities.
6.105 Measures should be taken regarding records space in buildings not purpose-built to ensure the security and preservation of archives, including climate controls, lighting, fire safety and guard services, and optimum working conditions for staff.
6.106 Purpose-built archives buildings should be considered for eventual use, particularly in the context of archival services for related organisations within regional locations.
(b) Furnishings and Equipment (5.8.2)
6.107 Comparisons of available types should precede decisions to purchase equipment for new installations, for non-conventional records, or to save space. This should be accomplished by visits to installations of such equipment, and review of technical literature prepared by professional organisations or national archives institutions, which are active in research for the establishment of standards.
6.108 Adequacy and proximity of service facilities, replacement parts, and consumable supplies are important considerations in choosing equipment.
6.109 Careful assessment of needs and purposes of the equipment and furnishings to be secured should be made in order to avoid costly mistakes. Considerations include multiple-use factors so that the equipment can be transferred to other offices when filing needs change, add-on elements for new files, durability to withstand moves and heavy use, and ease of assembling and disassembling (e.g. shelf files) when necessary. Over-stocking of equipment should be avoided because of changing patterns of records, resulting from technological changes, on the types of equipment in use.
Preservation and Restoration (Section 5.9)
6.110 Regional workshops for UN agencies should be organised by the ICA Committee on Conservation and Restoration and Unesco, beginning with tropical areas which have the greatest need, for the training of archivists in preventive preservation and in restoration technique.
6.111 Regional laboratories should be established, when necessary, to service the needs of a group of agencies. A UN agency which has substantial need for such a facility or a conveniently located national archival institution should provide services to other organisations on a reimbursable basis. Commercial firms having a proven record of satisfactory experience and reasonable prices should be utilised, if available.
6.112 Staff from agencies, which have need of preservation services, should be assigned to work/training or to observe restoration techniques used on their own files.
Archival Reprography (Section 5 . 10)
6.113 Microfilming, photocopying, photography and recorded sound should be considered in terms of:
- prime objectives - reference, preservation, exhibits, records management or security;
- scope - electrostatic or xerographic, micrographic, photographic, sound recording processes;
- cost/effectiveness - evaluation of alternative methods;
- operating facilities - by agency staff or by contractual services;
- maintenance of standards for materials, processing and preservation established by relevant professional media organisations and standards institutes (not necessarily as recommended by manufacturers or vendors) and enforcing effective quality controls
6.114 Responsibilities for preservation and reference availability include periodic examination of microfilm for ageing blemishes; re-recording of audio tapes on permanent master tape; re-recording of magnetic tapes at least every 10 years; photocopying individual documents on acid-free permanent/durable paper and microfilming series of documents in order to preserve the contents of deteriorating originals, either as substitutes (if the originals do not have intrinsic historical importance) or as supplements to protect them from wear and tear.
Exhibits and Other Educational and Cultural Services (Section 5.11)
6.115 Exhibits of documents and artifacts from the Archives and from current audiovisual accumulations in functional offices should be placed on view in public areas of the headquarters building in connection with special conference and to commemorate special events as a means of stimulating the interest of visitors in the work of the agency and broadening their cultural awareness. The Archivist should also co-operate with other offices concerned in preparing descriptive material for that purpose.
6.116 The Archivist can also co-operate in promoting public interest in the agency and an understanding of its policies by providing background material for the holding of symposia and seminars for selected scholars or topical specialists.
6.117 The Archivist should be responsible for seeing that documents are exhibited under proper atmospheric and lighting conditions, that security safeguards are adequate, and that display methods will not damage the material.
6.118 Archivists should co-operate with other organisations and educational and research institutions by participating in professional discussions of mutual interest and by collaborating in, joint endeavours to focus attention on the research resources and accomplishments of international agencies.