Desarrollo de Un Programa de Archivos

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V RestrictedTechnical ReportRP/1981-83/5/10.1/03 THE REPUBLICOF CYPRUSEstablishment of scientificandtechnological information servicesfor economic andsocial development

Development of an archivalandrecordsmanagement programme

byFrank B. E v a n s

Serial No. F M R / P G I / 8 1 / 1 66

C P X1 3O C T . JS!

Reports Divisionmmtmm im

United Nations Educational, Scientificand Cultural OrganizationParis, 1981\ M A R S 1982


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THE REPUBLIC OF CYPRUS

DEVELOPMENT OF AN ARCHIVALAND RECORDS MANAGEMENTPROGRAMME

by Frank B. Evans

Report prepared for the Governmentof the Republic of Cyprus by theUnited Nations Educational,Scientific and Cultural Organization(Unesco)

U N E S C 0


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Technical ReuortRP/1981-33/5/l0.1/03FMR/PGI/8I/I66(Evans)31 July 1981 _ Unesco 1981Printed in France


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CONTENTSPage

1. Introduction 12. Summary of main recommendations 23. Current, status of the Public Record Office andrecommended actions 44. An overview of records management and archivesadministration activities 155. Policies and procedures for records centre operations 266. Guidelines for the planning and construction of a nationalarchives building 327. Possible sources of assistance 398. Conclusion 39

APPENDICESA Officials consulted during the missionB. Model forms for use in records surveys and schedulingC. Forms, equipment and supplies used in records centre operationsD. Equipment and supplies for restoration andreprographic laboratories


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1 INTRODUCTION1.1 At the request of the Government of Cyprus, the Director-General of Unescoarranged, under the Organization's Regular Programme for 1981, for a staffmember to visit that country from 12-24 January 1981. The purpose of the missionwas to advise the Ministry of Justice on the development of the Public RecordOffice (PRO) and the programme established under the Public Record Law, 1972.Specifically, the consultant was requested to advise on:

the adequacy of existing legislation and regulations for effective programmedevelopment;the position description - Scheme of Service - of the Keeper of PublicRecords ;the adequacy of currently available facilities, and future space and equipmentneeds ;the professional quality of the work completed to date, chiefly on the recordsthat remain of the pre-independence (1878-1961) period;professional, technical and clerical staff requirements and training needs,and the status within the Civil Service of the senior staff;the composition, functions, and activities of the Advisory Committee.on PublicRecords ;possible sources of financial, professional and technical assistance.

1.2 The above terms of reference are very broad, particularly those relating toprogramme development and future needs. To help meet the request for information in these areas copies of a number of specialized publications, includingprocedural manuals and handbooks in archives administration and record management,as well as lists of essential equipment, have been sent to the'Ministry of Justice.Additional technical information is provided in the Appendices to this report.1.3 This report is intended to serve primarily as a planning document. Followinga summary in Chapter 3 of the current situation, it discusses immediate needsand recommends specific actions with regard to legislation and regulations; organization, staffing and physical facilities for the PRO; and the composition androle of the Advisory Committee on Public Records. To assist in planning long-termdevelopment, an overview of the archival and records management operations of afully-developed programme is provided in Chapter 4. Because of the desirabilityof either using the existing facility as both an archival repository and a recordscentre until approval has been obtained for and construction- completed of apurpose-built national archival~^rpcTsitory, or~o establishing a separate-recordcentre as soon as possible, Chapter 5 provides a summary of policies and proceduresfor records centre operations. Chapter 6 provides basic information and indicatesminimum standards in the planning, design and construction of an archival repository,whose initial excess storage capacity could be utilized most effectively to housesemi-current records (relatively inactive agency records requiring further retentionbut not in office space and equipment) until needed for the storage of archivalmaterial. Chapter 7 discusses possible sources of financial, professional, andtechnical assistance for the programme.1.4 To facilitate review and consideration of the report, a summary of the majorrecommendations is provided in Chapter 2, along with the numbers of paragraphsin which they are discussed in detail.


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- 2 -1.5 In conducting the mission and obtaining information for the report, the authorbenefited from the invaluable assistance and generous hospitality of Mr FrixosMichaelides, Director-General of the Ministry of Justice, and of Dr GeorgeGeorghallides, of the Cyprus Research Centre. For background information and anunderstanding of what had been accomplished to date, he is indebted to Mr E.W.Denham of the Public Record Office, London, whose reports and recommendations basedupon missions to Cyprus in 1976 and 1979 were made available by the Ministry ofJustice. The author also wishes to express his appreciation for the supportreceived and the courtesy of an interview to discuss preliminary findings andrecommendations with His Excellency Mr Andreas Demetriades, Minister of Justice.A list of other government officials consulted and with whom discussions were heldis provided in Appendix A; their understanding and co-operation greatly facilitatedthe accomplishment of the objectives of the mission. The consultant wishes tothank and compliment the current staff assigned to the PRO for their interest anddedication, and the quality of the work they have accomplished to date.

2. SUMMARY OF MAIN RECOMMENDATIONSTo implement the provisions and intent of the Public Record Law, 1972, and toprovide the Republic of Cyprus with the archives administration and records management programme of which it is in urgent need, it is recommended:SHORT-TERM (1981-1982)1. That action be taken as soon as possible to achieve minimum standards offire protection, security, and environment control in the basement areain which the pre-independence records are now stored (3.28-3.29; 6.7-6.9).2. That the position of Keeper of Public Records be upgraded to at least

grade A-14 and that the post be filled as soon as possible (3.15; 3.20);that the Scheme of Service be revised to indicate more fully the leveland range of duties and responsibilities and necessary qualifications(3.16-3.18); and that a beginning be made to recruit permanent staff forboth professional and sub-professional positions (3.20).3. That the Public Record Law, 1972, be amended, or provision made inimplementing regulations, as appropriate, to revise the definition of"records" (3.9-3.10); to clarify the scope and application of the law(3.10); to expand the authority and duties of the PRO to includeresponsibility for a government-wide records management programme andrecords centres (3.11-3.13); to change the title of Keeper of Public

Records to Director of the Public Record Office (3.14); and to expandand make specific in certain areas the duties of this officer and of thePRO (3.11-3.16).That a policy of weeding (selective retention) be adopted for pre-independence files and other records created after 1930, and thatapplication of this policy to earlier material be considered when allknown pre-independence records have been centralized in the custody ofthe PRO (3.31-3.34; 4.9).That a study be made of ways of achieving more effective storage spaceutilization through repositioning of shelving now in place in the basement area (3.30; 5.27(c)); and that the area now used for cleaning andmiscellaneous open storage be partitioned into a work-room and offices(3.35-3.36) .


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- 3 -6. That a model record centre be established as soon as possible, either inone area of the basement or in a suitable watertight one-storey building

(3.30); that agencies be requested to designate records officers, andthat a government-wide records survey be initiated, with the active cooperation of the Management Methods Section of the Ministry of Finance,aimed at the creation of disposal lists, transfer lists, and agencyschedules (3.20; 4.5).

7. That the Advisory Committee on Public Records authorized by the 1972 lawbe appointed (3.24-3.27); that this Committee be given the authority toapprove disposal lists and schedules (3.24-3.25); that the experience ofa number of countries with different access policies to public records bestudied, and that the access policy adopted by-the Committee be as liberalas the protection of the essential rights and interests of the state andits citizens will permit (3.37-3.38).8. That government approval be requested for acquisition of an appropriate

site and for construction of an adequate national archives building(6.1-6.5).9. That provision be made, either in the PRO budget or through externalassistance, for the professional training (three months) of one staffmember in Canada, the United States, or United Kingdom in 1982 (3.21-3.22),based upon the results of the planned 1981 study tour of the Director--General of the Ministry of Justice (7.3).MEDIUM-TERM (1983-1984)1. That the Public Record Law and all implementing regulations be reviewedin terms of the 1981-1982 experience and revised as necessary.2. That an archival finding-aid programme be initiated to supplement agency-created registers and indexes, that additional professional and sub-professional positions be created and filled, and that additional temporaryspace be acquired to provide offices and work areas for this staff (3.20;4.10-4.13).3. That additional records management posts be created and filled; that allagency records schedules be reviewed with regard to coverage, appropriateness of retention periods in agencies, and timely and adequately preparedtransfers to the records centre(s), and that the records survey beextended to public records outside Nicosia (4.2-4.5).4. That two senior staff members be recruited to direct, respectively, arestoration laboratory and a reprographic laboratory, and that fundingbe sought to provide for the necessary training abroad of one of themeach year (3.30-3.32).5. That funding be provided for the purchase of basic equipment and suppliesin both the restoration and reprographic areas (3.36; 4.14; 4.16).6. That consultant assistance be requested for planning and design of theprojected national archives building (7.1).LONG-TERM (1985- )1. That preparation begin for transfer of archival holdings, staff, andequipment to the new building as soon as it can be safely occupied.


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- 4 -2. That review by an outside consultant be requested of all archival andrecords management activities, and that the services of a trainingspecialist be requested to organize workshops and short courses forrecently added staff (3.23).3. That records management services be extended to agencies in the areas ofrecords maintenance and use and in records creation, such services toconsist primarily of developing standards, manuals, and training agencystaff to operate agency records management programmes (4.2; 4.6).4. That a full programme of archival and records management activities andservices be developed for all users and uses, and that the total programme be co-ordinated with other government information activities inaccordance with a national information policy and plan (4.8-4.20).

3. CURRENT STATUS OF THE PUBLIC RECORD OFFICE AND RECOMMENDED ACTIONSA frame of reference

3.1 The Republic of Cyprus, within a dozen years after achieving its independence,passed the Public Record Law, 1972, to help ensure the preservation andaccessibility of its archives. Implementation of the law, however, and systematicdevelopment of an archival programme by the Public Record Office (PRO) it established, were prevented by the events which took place in 1974. Despite theurgency and importance of the many new problems the government then faced, withintwo years it again took action regarding the archives problem, and the Ministry ofJustice, which was responsible for the PRO, invited a British expert, Mr E.W.Denham of the Public Record Office, London, to advise it on implementation of thelaw.3.2 During his brief 1976 mission Mr Denham visited some twenty government agenciesin Nicosia, Larnaca, and Paphos, to determine the general situation withregard to past and present public records. In reporting his findings he concludedthat virtually all of the known pre-independence records, dating from the beginningof the British administration in 1878, "were in one way or another at risk", somefrom "uncontrolled borrowings, some from dirt and insect infestation, some fromsheer overcrowding which could at any time lead to their summary despatch to abonfire". Nor were these risks confined to records surviving from the pre-independence period. He noted that although a Ministry of Justice circular letterto agencies had prohibited deliberate destruction of known pre-independence records,agencies were using a variety of administrative orders dating back to the Britishperiod to destroy records accumulated since independence. While emphasizing thatsuch disposal was both necessary and desirable for certain classes of routine files-of-obvious-temporary value, he found that files on "more substantive matters" hadbeen and were being destroyed "without thought to their possible value for any butadministrative purposes".3.3 In his report Mr Denham discussed and made recommendations regarding a numberof other problems relating to implementation of the Public Record Law, including staffing and staff training, selection of records for preservation, the composition and role of the Advisory Committee on Public Records, and the ultimate needfor a purpose-built archives building. His major recommendation, however, wasthat "immediate and energetic steps" should be taken to prevent the situationregarding the public records from deteriorating further. Specifically, he madedetailed and practical recommendations for a "rescue operation" - for obtainingadequate and safe temporary storage facilities to which the pre-independence records


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- 5 -should be moved/ for cleaning and establishing preliminary control over theserecords, and for preventing any further destruction of non-current records in thecustody of agencies.3.4 Following a review of this report, the Ministry of Justice late in 1978arranged for the rental of a basement area of 487 square metres and a first-floor three-room suite in a newly-constructed office building near the GovernmentBuilding Compound in which the Ministry is located. Three clerks and a messengerwere seconded to these facilities under the general supervision of the Administrative Officer of the Ministry of Justice, and, pending the appointment of seniorstaff, an agreement was made with the Ministry of Education that an historian withthe Cyprus Research Centre, who had done extensive research and writing on theperiod of British administration, would guide and assist in supervising the workof the clerks. The basement area was equipped with some 2,000 linear metres ofindustrial-type adjustable steel shelving, a supply of archives boxes was obtained,and the older records located in the former British Colonial Secretary's recordstore, along with-pre-independent records from several other locations, were movedto the new storage area where the work of cleaning, identifying, and boxing themwas begun.3.5 In 1979 Mr Denham undertook a second mission at the request of the Ministry ofJustice to assess the_ ^progress that had been made since 1976 and to offerfurther advice on development of the programme of the PRO. In his report, submitted in October 1979, he made a series of recommendations for improving thesecurity, fire protection, and environmental conditions in the basement storagearea; a number of these recommendations still have not been implemented and it isurged that the actions he proposed be taken as soon as possible. He recommendedas the next stage, and one which also required urgent attention, the centralizationin safe storage of the remaining pre-independence records and the adoption ofmeasures to ensure the preservation of post-independence records of archival value.As in his earlier report he emphasized the importance of upgrading the proposedlevel of the post of Keeper of- Public Records if the post was to attract and retaina person with the necessary academic and administrative qualifications, and if theincumbent was to gain the acceptance and obtain the co-operation of other agenciesin developing the government-wide records programme for which he would be responsible.3.6 The 1979 report also contained recommendations with regard to staffing andstaff training, equipment, public access to records accessioned by the PRO,the Advisory Committee on Public Records, revision of the Public Record Law, andpossible housing of the PRO in a new government building. All of these matterswere still pending at the time of this consultant's mission, and are discussed inthe remainder of this chapter. While a number of the suggestions and recommendations made herein differ from those contained in the two Denham reports, thisconsultant wishes to emphasize that he has no basic disagreement with the substanceof the earlier recommendations. They are all professionally sound and eminentlypractical, and if all were implemented they would, over a number of years, providea solid foundation for an archival programme. But the fact remains that afternearly a decade the PRO still has no permanent staff, and some officials seemperfectly willing to regard a rented basement in an official building as a suitablelong-term repository for the archives of Cyprus. Discussions with a number ofofficials have convinced this consultant that there is an insufficient appreciationin some quarters of the urgent need of putting not only the pre-1960 but also thepost-1960 government records under a well-organized and centrally-operated systemof control and selective preservation, especially if the unique records of therepublic are not in the next few years to suffer from arbitrary destruction. Thetask of the creation of a completely new archival service in Cyprus has been theimmediate concern of the Ministry of Justice. However, the protection of the


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- 6 -available recorded evidence of the activities of the government and people of Cyprusis obviously a matter of considerable interest to the Government of Cyprus as awhole, and it is up to the highest political authorities of the Republic to sanctiona vigorous archival development programme. Apart from its national and culturalimportance, the establishment of a PRO is also justified on grounds of cost-effectiveness. Indeed, this consultant believes that unless it can be demonstratedto the government that the archival programme, including an active records management programme, is both essential and urgent, and that its costs would be largelyoffset by direct and indirect savings and improved administrative efficiency, theprogramme will not be funded, appropriate staff will not be provided, and an adequatenational archives building will not be constructed.3.7 Thus, in an effort to gain essential top-level administrative and financialsupport, a somewhat different approach is adopted in this report, an approachthat is also justified by the actual problems faced by many government agencies(for example, by the central registries of the Ministries of Foreign Affairs,Labour and Social Insurance and Communications and Works visited by this consultant)in physically accommodating ever-increasing accumulations of current, semi-currentand non-current (closed) files without record centre facilities or even of up-to-date and authorized schedules for the preservation/destruction of select series offiles. Thus, in this report, the direct and indirect benefits and savings to thegovernment of a fully-developed archival and records management programme areemphasized; a functional analysis and details on the activities that constitutesuch a programme are provided to assist in long-term planning and to give somebasis for assessing financial, implications; the PRO is urged to establish andoperate a model records centre and policies and detailed procedures are recommendedfor such a centre; and guidelines are recommended for planning and constructingthe purpose-built national archives building required by the PRO to fulfil adequatelyits obligations. The specific recommendations that follow, and that largelyreaffirm and supplement those made in earlier reports, should be viewed in thiscontext.

The Public Record Law, 19723.8 This Law provides a relatively sound basis for the archival programme, and hasbeen used to establish the PRO and to begin its operations. It is recommended,however, that more effective development of the programme could be facilitated byamendments to this Law in a number of particulars, or by its elaboration throughorders, regulations, or circular letters, whichever is more appropriate.3.9 With regard to the definition of records, the experience of a number ofcountries has been that enumeration of physical types or forms in the definition always lags behind new technology, and then creates continuing problems ofinterpretation. In the present Law, official texts, maps, photographs, cinematographic" filmsV and' "tpe_rco"rdings are specifically included, but no mention ismade of blueprints, charts, microfilms, video tapes and computer tapes, for example.To deal with this problem it is recommended that consideration be given to moregeneral language, such as :

"records" include all recorded information, regardless of physical form andcharacteristics, created or received by any executive or administrative organor authority ... in accordance with law or regulation or in the conduct of itsbusiness.

The intention here, which should then be elaborated by circular letter, etc.,is that all recorded information created or received by a public body, whethermanuscript, typescript or printed; whether textual, cartographic, or audio-visual;


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- 7 -whether on parchment, paper, film, or magnetic tape; and whether human or machine-readable (microforms and coded data), is included within the definition. Thedefinition would also then be broad enough to include still-emerging informationand data recording technologies, such as holography. The present provisions ofthe law regarding expansion and interpretation of the definition of records arevery useful and should be retained.3.10 It is also recommended that other documents of archival value should not bedefined only in terms of their relevance to the "study of the past, thepeople, the state or society" or their association with "the life or activities ofpersons of note". At best, this is but a partial and somewhat misleading statement of archival value. Most archival legislation simply gives to the head of thenational archival agency the authority to determine which non-current publicrecords, and other materials, have sufficient value to warrant their indefinite orpermanent preservation as part of the archives of the country. Furthermore, inthe absence of any definition within this law, or of any reference to other legislation, it is uncertain whether the phrase "any executive or administrative organor authority of the Republic or of a body corporate or of a body of public utility",extends specifically to the Office of the President and any administrative unitsattached directly to that office, to the independent Attorney General, to themilitary department, and to district and municipal government units. If theintention is to exclude these, along with the legislature, it is recommended thatthe exclusion be made explicit and that the law permit the extension of archivaland records management services to these agencies on a permissive basis, at theirrequest. To prevent needless and costly"duplication of staff and facilities,however, as few governmental agencies as possible should be excluded from what areessential government-wide services. Should this not be practical at the presenttime, their inclusion, if only on a permissive basis, should remain a futureobjective of the programme.3.11 Consideration should also be given to including in the law a statement to theeffect that all records are the property of the Republic and should remain inthe legal and physical custody of the government unit that created or received themin the conduct of its business or its designated successor in function; and thatno records are to be destroyed, alienated or'disposed of in any manner except asprescribed by the PRO. In that portion of the legal code dealing with penaltiesfor misuse or destruction of government property, there should be prescribed penalties for wilful destruction, theft, mutilation, and alteration of public records.3.12 Responsibility for and authorization to establish and maintain a government-wide records management programme "to promote economy, efficiency and effectiveness in the operations of the government in the creation, maintenance and use,and disposal of records", should also be specified in the law. Considerationshould be given to including in the law specific responsibility for and authorityto establish one or more records centres, which may be defined as:

facilities maintained by the Public Record Office for the storage, security,use and other processing of agency records that must be preserved for varyingperiods of time but need not be retained in office equipment and space.3.13 Should the legal tradition of Cyprus include the concept of crown copyright,the Public Record Law should include, as the 1978 Denham report recommended,a provision authorizing the PRO to make and provide copies of those records in itscustody that are available for public use without itself being in breach of copyright. It should also include, as recommended in the 1979 Denham report, specificauthorization for the return or the legal recovery of public records that are notin official government custody.


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- 8 -Keeper of public records

3.14 Although the title "Keeper" is a venerable one within the British Isles, it isvirtually unknown in Cypr us, even in the public administration. More import

antly, the title does not convey any information regarding the hierarchical statusof the incumbent, an important matter in any bureaucracy in securing an adequatehearing and in gaining the inter-agency co-operation that is critical in creatingand managing a government-wide programme. For these reasons it is recommendedthat consideration be given to changing the title of "Keeper" to "Director", orthat the organizational title "Director" be authorized by regulation. Functionally,the Director of the PRO would serve as the Archivist of the Republic of Cyprus.3.15 It is further strongly recommended that the classification of this post be

changed from the A-11 to at least the A-14 level in the public service, bothfor the reasons indicated above and for those detailed in the 1979 Denham report.To maintain this post at its present level is not only to misunderstand or todisregard the importance of the government-wide duties and responsibilities thatneed to be performed, and the unique combination of qualifications necessary toperform them, but also to severely and needlessly handicap the incumbent in hisefforts to implement the basic legislation.3.16 Finally, to the powers and duties of the post of Keeper, as specified in the

Public Record Law, it is recommended that:(a) the authority to compile indexes, guides, calendars and texts be expanded

to include "similar types of finding aids", and also to include theauthority to publish such finding aids and texts;

(b) specific authorization be given for adoption of a unique seal for thePRO, to be used in certifying copies. Such a seal is referred to inSection 12 (2 ), but there is no specific authorization for a seal uniqueto the PRO;

(c) the head of the^PRO and his representatives specifically be given theright of reasonable access to and examination of all public records,regardless of their location, and the duty to report to the appropriateofficials on any conditions that constitute a threat to the security andsafety of the records, as well as on measures that should be taken toachieve economy and improve efficiency in their creation, maintenance anduse, and disposal. This provision should perhaps be placed earlier inthe basic legislation, since it provides a strong legal basis for arecords management programme, including records centres;

(d) authorization be included in the law for the head of the PRO to takecustody, unless other ldspoT~is~~directed by law, of the records of anypublic body upon the termination of its existence or functions;

3.17 It is recognized that all of the above recommendations and suggestions may notbe in harmony with legal and administrative practices in Cypr us. To the

extent that they can be implemented, however, they should eliminate a number ofpotential problems that would have to be referred for solution of the Minister ofJustice and to the Council of Ministers, while at the same time strengthening theposition of the PRO in discharging its responsibilities.

3.18 In the light of the above considerations, the Scheme of Service for the Keeperof Public Records should be revised as soon as possible to upgrade this postand, thereafter as necessary, to reflect revisions in the duties and responsibilities


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- 9 -contained in the basic legislation or as amplified through regulations, etc.Emphasis should be put upon responsibility for:

(a) planning and scope and content of the total programme;(b) formulating policy and future programme development;(c) organizing and staffing the programme, and directing programme

implementation.Required qualifications should also include:

(a) a basic unive rsi ty training and postgraduate deg ree, preferably inHistory but alternatively in Public Administration, Political Science,or Law, or combinations thereof, depending upon other qualifications;

(b) extensive knowledge of governmental organization and record-keepingpolicies and practices in Cyprus, past and present;

(c) demonstrated competence in the performance of both professional andadministrative responsibilities;

(d) extensive experience in historical research and reference work usingarchives, and experience in evaluating the research potential ofdocumentary materials;

(e) a good knowledge of basic archival and records management principlesand techniques, and an ability to adapt, as appropriate, archival andrecords management policies and procedures developed for the governmentsof other countries to the particular needs and interests of theGovernment of Cyprus;

(f) ability to communicate effectively orally and in writing, and the tactand good judgement necessary-for working effectively with other agencies(see also the 1979 Denham report, Appendix B ) .

In the absence of candidates with extensive archival and records management experience, it is recommended that primary emphasis be put upon the appointment to thepost of Keeper of someone expert in the history of Cyprus during the past century,with extensive experience in the use of archives for historical research andreference purposes, and familiar with the operations of public administrative""bodies.

Staff and staff training3.19 The general types of positions necessary to staff a fully developed archival

programme, and the range of knowledge and skills necessary in the recordsmanagement field are indicated in Chapter 4 of this report. The two basic areasof archives administration and records management define the overall organizationof the programme, with the record centre operation either under the records management function. If it is desirable to highlight the functions and services of therecords centres, it should be accorded an organizational status equal to the othertwo units.3.20 The appointment of permanent staff to the PRO should no longer be delayed.

The Keeper should be appointed under a revised scheme of service as soon aspossible, and a basic staff of two professionals and four clerks in each of the


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- 10 -two basic areas should be provided. In recruiting future archivists, it is recommended that applicants have a university degree in modern history, public administration, or law, and a basic orientation towards a career of service. Desirablepersonal qualities include intellectual curiosity, imagination, and initiative.For records management posts persons with a university degree, preferably in somefield of administration, should be recruited if possible, but in many countries thebasic requirements for these posts are those required for general administrativepersonnel. It is especially important that such persons have analytical and verbalskills, as well as qualities that will enable them to work effectively across agencyboundaries. To meet the immediate need to undertake the basic records surveyrecommended later in this report, and to prepare and help implement the disposaland transfer lists and schedules based upon the survey, consideration should begiven to seconding at least four additional staff members to the PRO from amongjunior administrative officers, who would thus carry back their experience to theirown agencies. Perhaps assistance could be obtained for this activity from theManagement Methods Section of the Ministry of Finance. Consideration should alsobe given to the temporary appointment or other use of recently retired governmentofficials, whose knowledge and experience would be most valuable in helping toinitiate the records management functions. Qualifications for technical personnelin the fields of restoration and reprography are included in the special studieswhich have been sent to the Ministry of Justice.3.21 In the absence of any training opportunities in Cyprus for either archivistsor records managers, it is recommended that consideration be given to makingprovision for the training abroad of one professional staff member each year forthe next two years, one in archives administration, the other in records management.Appropriate training courses and attachments are available in England, but consideration should be given to training in either Canada or the United States, not onlybecause of cost differences, but also because intensive one- to two-month coursesare organized annually by the national archives in these two countries. Thissame approach could be used to provide essential training for the two persons whowill be responsible for the restoration and reprographic functions. This smallgroup would then form the nucleus for the senior staff of the PRO. It should beunderstood that they, in turn, would organize and direct both formal and "informalin-service training for the beginning professionals and the sub-professionals undertheir supervision.3.22 Formal training wherever obtained, however, will not serve as an adequatesubstitute for the necessary and continuing self-education of both professionaland technical personnel. A good deal of archival and records management literatureis available, the great majority of it in English. Because government structureand functions, as well as administrative and record-keeping practices, vary significantly from country to country and overtime within the same country, the basicproblem is in recognizing what may be relevant from other systems and in adaptingand modifyingit to- meet one-'-s-particular needs. -Both-the-administration of modern archives and records management are essentially applied, rather than academicdisciplines, and they are best learned through their application in particularcircumstances.3.23 Should the above staff-training proposals be adopted, every effort should bemade, as has been done to date, to have a periodic review of programme activities by a short-term outside consultant. It is recommended that the request fora consultant for a several month mission be delayed until at least ten permanentstaff members have been appointed. A consultant should then be selected withexperience in teaching archives administration and/or records management, and theprimary purpose of the mission should be to organize and conduct basic and advancedcourses and workshops. Our experience has been that a sound and permanent programme cannot be established by using outside consultants to make all the professional judgements and to do the daily work that should be done by resident staff.


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- 11 -Advisory Committee on Public Records

3.24 This Committee, provided for in the 1972 law, should be appointed as soon aspossible after the appointment of the Keeper. Apart from the formal dutiesassigned to it by the law, it can be an important force in obtaining acceptance ofand support for the programme of the PRO, especially the need for an archivesbuilding. As the representatives of the responsible ministry, the Director-General of the Ministry of Justice should serve as ex officio chairman, and theKeeper of the Public Records as ex officio secretary. It is further recommendedthat consideration be given to using this Committee for approval of all proposeddestructions of records by disposal list, and, as they are completed, of all agencyrecords schedules. This system has worked very effectively elsewhere - providedthat thorough reports with recommendations on each of the requests are first prepared and presented to the Committee by the PRO. Once the PRO has demonstratedits competence in the appraisal function, review and approval by the Committee tendsto become little more than a formality.

3.25 The major value of this technique is that the Committee, by virtue of itsmembership, serves to protect the PRO against any possible later governmentalor outside criticism for having approved the destruction of certain files or typesof records. Where an archival service has long been established, such use of theadvisory body may well be regarded as neither necessary nor desirable, as, forexample, in England and France, but it has demonstrated its value in countrieswhere archival programmes are just being established. In some systems that usean advisory body this way, the national archivist is given an absolute veto, orelse only those requests on which he desires advice are referred to the advisorybody. All of these alternatives should be carefully considered.3.26 Since the basic value and uses of public records are, in the first instance,evidential - administrative, legal and financial - consideration should begiven to request the Minister or comparable head of the Ministry of Finance, theMinistry of Interior, the Supreme Court, and the Attorney-General's office todesignate their representatives to serve on the Committee. Since archives have abasic cultural and educational value, and tend~"to be used primarily for scholarlyand other types of research, representatives from the Ministry of Education, theCyprus Research Centre, and the Society for Cypriot Studies should also be considered for appointment. Because of the central role in all governmental affairsof the Ministry of Finance, it may be desirable to have on the Committee representatives from its Management Methods Section and of its Statistics and ResearchDepartments, or from its Planning Board. Provision should also be made for atleast one representative of a regional or municipal government and for two or threerepresentatives of the general public, of whom one could well be a prominentbusinessman.3.27 The major disadvantage foreseen in using this Committee to assist in theselection of the Keeper of Public Records is that this may compromise hisnecessary independence of the Committee. Such a precedent might also be taken bymembers of the Committee as an invitation to get more involved in the actual operations of the PRO than would be desired. The Committee should normally confineitself to advising on general policies and procedures that involve the relationsbetween the PRO and other government agencies, and the PRO and the public. Itshould be consulted on all proposed changes in the Public Record Act or otherlegislation regarding public records., and on all regulations and procedures intendedto implement the provisions of records legislation. It should also review theannual report of the PRO, and advise on priorities in the development of its totalprogramme. It is recommended that on all significant matter referred to theCommittee, a position paper or proposal should first be prepared and agreed upon


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- 12 -by the PRO and the Ministry of Justice. Such papers or proposals should then bepresented to the Committee in writing. It is recommended that members of theCommittee should serve two- or .three-year renewable terms, and that the Committeeshould meet at least every six months if it is to serve any useful purpose.

Current facilities and operations3.28 The 1979 Denham report includes a number of specific recommendations regardingactions necessary to achieve a minimum standard of security, preservation, andfire protection for the pre-independence records now stored in the basement facility.These, as well as the supplementary recommendations on fire protection and environment contained in a valuable 12 October 1980 report by Dr G.S. Georghallides,following his participation in a Management of Archives course in England, shouldbe given the highest possible priority. The sections on fire protection andenvironment controls in Chapter 6 of the present report should also be reviewed interms of their applicability to the basement facility, particularly with regard tofire extinguishers. With regard to security, the entrance to the basement that isnow possible through a small closet, located next to the main entrance and housingpart of the buildings utilities system, should be blocked off and the opening walledup with cement blocks or bricks.3.29 As explained in detail in Chapter 6, the protection and preservation of archivesrequire special security, environmental and fire protection measures that shouldbe included in the design and construction of a building. The dangers to archivesare multiplied when any building that is used to store them not only lacks theserequirements, but also has other occupants over whose activities no control can beexercised. Use of the present facilities should thus, at best, be regarded only atemporary expedient. Since it would not be realistic, however, to allow less thana five-year period for approval of a new building, site acquisition, design, andconstruction of such a building, every effort should be made to render the presentfacilities as secure and safe as possible for at least this period.3.30 In view of the above situation, it is equally important that two relatedactions be taken. The first involves seeking maximum utilization of availablestorage space. The scaled plan of the basement area and the present shelvingarrangement should be carefully studied with a view to increasing record storagecapacity. The width of main and access aisles, and of end space between rows andwalls, should be reduced to the standards recommended in Chapter 5, and the unusedspace between shelves in each unit should be reduced to permit an additional shelfper unit. If the recommendation to use part of the basement as a records centreis adopted, the record centre box height should be used to determine the spacingbetween shelves, and all shelf spaces in this part of the basement should be numbered in accordance with the explanation provided in Chapter 5. If a decision is ,made to reserve the basement area exclusively for archives, it is recommended thatthe weathertight building of the Prison Department, or the former Chief Secretary'sstore, discussed in Denham's 1976 report, be acquired, equipped, and used as arecords centre, in accordance with the standards and procedures detailed inChapter 5.3.31 To accommodate the record centre operation, while still permitting the centralization of all pre-independence records in the basement, the weeding (selectivedisposal) operation discussed in both reports of Denham, and explained during thisconsultant's discussions with the current PRO .staff, should be applied to all fileswhose beginning date is 1930 or later. Once all known older records have beenbrought into the custody of the PRO, a decision should be made - based primarilyupon their total volume - as to whether the space they will occupy permanently, atan annual expense to the government and the people, would justify a careful weeding


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- 13 -of the files that pre-date 1930. As weeding is being done a listing should bemade of all files proposed for destruction, and once the files have actually beendestroyed, all relevant registers and bound and card indexes should be annotatedaccordingly.3.32 Since much concern has been expressed over the criteria for selection, and, by

implication, for destruction of public records, a number of publications dealing with this matter have been -sent to the Ministry of Justice. Despite thevarieties of approach used in different countries, the basic selection criteriafor public records, and, by extension, the records of all other types of institutions and organizations, may be summarized as follows :

(a) all records that document (establish, provide evidence of, interpret,etc.) the rights and interests of the government and the people, bothcollectively through their institutions and organizations, andindividually;

(b) all records that document and relate to the origins, structures, functions,procedures and significant transactions of all government agencies (i.e.all records that should be preserved as evidence or for reference by thegovernment itself, and that would be needed to write the history of thepublic administration, and the history of each agency);

(c) all other records that contain unique information useful for research andreference.

3.33 With most records dating from the nineteenth century the selection is made onthe basis of entire classes (series) of records, but when case (subject) files

or particular instance papers are involved, selection must frequently be made atthe 'individual file unit level, because of the great volume of such material accumulated by governments in modern times. The real problems of selection do not usuallyinvolve categories (a) and (b) as defined in the preceding paragraph. Persons withhistorical training, with a good knowledge of the history of th_eir own country andof their government and its activities, past and pres ent, and willing to study itsadministrative and record-keeping policies and proce dures, usually have relativelylittle difficulty in selecting for preservation records that meet these criteria.The major problem lies with category (c ), where historical training and experiencealone may prove to be a liability. The historian fully recognizes that allrecorded information may some day have value and use to someone for some researchor reference purpo se, but this recognition must be balanced by the hard realitythat the volume of modern public records makes the cost of preservation of all therecords, or of even any significant percentage of them, prohibitive. , Practicaljudgement must be exercised, and experience has indicated that no two judgements,however well qualified and experienced the persons making them, will be identicalin every case. Experience has also demonstrated that the archivist, who more thananyone else can appreciate fully and consider all the factors involved, and who hasawareness of and sufficient access to the total documentation available, is bestqualified to mak e balanced judgements in this matter. To recognize the routineand the trivial, the files and the series that will not contribute informationsignificant enough to warrant the space - and cost - of their preservation,requires that the archivist actually make - and defend - appraisal judgements.This professionally challenging and responsible task should be undertaken as soonas possible.

3.34 In weeding material already in custody, and in transferring the remaining olderrecords to the PRO, special attention should be given to the area of printedarchives, as defined in 4.19.


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- 14 -Offices and equipment

3.35 To assist in accommodating permanent staff and to facilitate operations, it isrecommended that the area next to the loading stock within the basement thatis now used for cleaning files and the open storage of various shelving components,be partitioned (1) into a temporary storage and work-room, with shelving along thewalls and tables for unpacking, cleaning, and listing records; and (2) into twooffices with desks, chairs and a telephone. The staff members located here shouldbe assigned direct responsibility for the archives area and the records centre area,if located in part of the basement.3.36 Until the disposal programme has been implemented and the volume of records tobe destroyed reaches the point when their sale, under appropriate safeguards,as waste paper can produce significant income to the government, files approved fordestruction should be shredded and disposed of as ordinary trash. For this purposea shredding machine should be purchased and installed in the proposed temporarystorage and work room. A photocopy machine should also be obtained for the PROfor both administrative and reference service purposes. In the immediate futurethere is neither need nor space for a microfilming operation. Should a separaterecord centre facility be established, a limited operation could be installed inthe centre as indicated in Chapter 5. In the interim any microfilming needs wouldhave to be met through arrangements with an agency that has such a facility or bycontract with a private agency.

Public access to the archives3.37 In its discussion of public access to the records in the custody of the PRO,the 1979 Denham report advised that "every country must work out its own guidelines on what in the light of its history and circumstances it is fair to release".In dealing with this difficult problem the experience of more than one country beconsidered, particularly the experience of countries that do not use the same fixedclosed period for all records. In many countries records containing personalinf ormation,.. the disclosure of which may constitute an unwarranted invasion ofprivacy, are exempted from access for much longer than 30 years, or even 50, whileat the same time many records relating to general government programmes and activities are made available for research, without any harm to the government or to anyindividual, as soon as the file or series is no longer needed by the originatingoffice and has been transferred to the archives. It has been observed that anation that does not preserve or that needlessly restricts access to its archivesrisks having its history written by its enemies. In the present instance, officialpublications will not serve as a substitute for historical and other studies writtenby independent scholars and basedupon the maximum possible access to and use ofthe original records.3.38 In recommending possible revision-orTfisTIaw and""gheral~"pli"cy on accessfor approval by the Advisory Committee, the Keeper of Public Research and theMinistry of Justice should therefore weigh carefully the disadvantages as well asthe advantages of a rigidly uniform and conservative access policy before any finaldecision is made. There is ample evidence that the best interests of the government and the people are not always served by placing all records under the same datelimitation. It might also be noted that a number of national archival agencieswhich once insisted a 100-year or 75-year restriction on all records was indispensable, now operate with only a 30-year restriction, with certain exceptions. As ageneral policy, access should be as liberal as the essential protection of therights and interests of the state and its actions will permit. Files that are atleast 20 years old could be opened for research after they are screened to makecertain they do not contain information that would jeopardize the essential rights


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- 15 -and interests of the government, or that would violate personal privacy. For maximum flexibility, consideration should be given to providing for access to the archivesby regulation, rather than by specifying in the law a uniform closed period of yearsfor all records.3.39 Should the PRO or the Ministry desire additional information on any of the

matters discussed or recommendations made in this chapter and those thatfollow, the consultant would be pleased to respond to the extent possible.

4. AN OVERVIEW OF RECORDS MANAGEMENT AND ARCHIVES ADMINISTRATION ACTIVITIES4.1 To achieve its basic objectives and discharge effectively the duties andresponsibilities entrusted to it by legislation and regulation, a publicarchival agency will be required to engage in a variety of related functions intwo major programme areas, Records Management and Archives Administration. Thenumber, character, and scope of functions in each of these programme areas willlargely determine its space and equipment requirements, as well as its personnelneeds and its staffing pattern.

Records management activities4.2 Records management may be defined as that area of general administrative oroffice management that relates to the creation, maintenance and use, anddisposal of records. No generally accepted list of basic activities exists forrecords management programmes. The legislative authorization for the programmeis usually quite broad, and its major limitations will be those of budget and theavailability of trained personnel. Existing records management programmes forpublic records, depending upon their emphasis, include responsibility for variouscombinations of the following sub-programmes and functions :

correspondence management, including the automation of correspondence preparation (word processing);directives (or administrative issuances) and technical manuals management;forms management;reports management (including text processing and the creation of managementinformation systems for agency executives);files classification systems;files management (including the management of non-conventional systems for therecording, storage, and retrieval of information, involving microforms, videorecording, computer-assisted indexing, etc.);mail management;office machines (including copiers) and supplies management ;office space and equipment management;centralized microfilm operations ;records surveys and scheduling;


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- 16 -record centre operations;vital (or essential) records programmes;paperwork quality control programmes,-clerical work measurement;source data automation;automated and electronic data processing management;documentation programmes ;surveys and audits of both agency paperwork operations ; andagency records management programmes.

4.3 A realistic approach to the development of an effective records managementprogramme requires that the programme concentrate initially upon the area ofrecords disposal. Only after a disposal programme has been implemented shouldemphasis be directed towards the area of records maintenance and use and recordscreation.4.4 In view of the magnitude of the task generally involved in the area of recordsdisposal, emphasis upon this phase of the programme should usually continue atleast until adequate physical facilities have been acquired to house the archives,which usually entails the construction of a national archives building. Experiencegained and the data accumulated in developing and implementing a comprehensivedisposal programme will also be of immediate value in the solution of problems andthe achievement of economy and efficiency in the creation and maintenance and useof an agency's current records. To the extent possible the archival agency shouldprovide assistance to government agencies in these related areas, but the initialemphasis should be upon records disposal.4.5 In the area of records disposal the programme should include the followingactivities:

Survey of non-current records4.5.1 Non-current records may be defined as those for which an agency nolonger sees a need in the conduct of its current business. The archives staff,

in co-operation with designated records officers in each government agency, shouldsystematically collect information on all of the agency's non-current records,including those located at institutions, field of fices-,_and_.ather_installatonsoutside the capital.4.5.2 For each series of an agency's non-current records, the survey ideallyshould record the following basic data: administrative office of origin; title orother specific identification of the records; inclusive dates; volume (in linearmetres); physical type(s), i..e. textual., cartographic,. still, pictures, motionpictures, sound recordings, microfilm, etc; physical form(s), i.e. loose papersor bound volumes, correspondence, reports, forms, receipts, etc; arrangement(filing scheme or system); record character (original or copy; if a copy, copynumber, office holding the original, office location of other copies); purpose andadministrative use of the record and of all copies thereof; general subject content; physical condition; administrative or other restrictions on access; location; storage equipment (by type) and space (in square metres) occupied. Modelforms which can be adapted for this purpose are provided in Appendix B.


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- 17 -Preparation of disposal lists of non-current records with no further value4.5.3 Following a review of the survey reports, the archival agency, in cooperation with agency records officers, should prepare disposal (i.e. destruction)

lists that will include all of an agency's non-current records that no longer areneeded by the agency for legal, fiscal, or other current administrative purposes,and that, in the judgement of the archival agency, have no archival value. Theselists should include such identification and descriptive information as will enablethe officials responsible to authorize their destruction. Lists are used primarilyfor discontinued classes or series of records, those that are no longer being accmu-lated, and are intended to provide a single authorization for their disposal.Preparation of transfer lists of non-current records with archival value4.5.4 In its review of the survey reports, the archival agency' should designate those non-current records that, in its judgement, have archival value. Thearchival agency, in co-operation with agency records officers, should prepare for

each agency comprehensive transfer lists of such non-current records. These listsshould include such identification and descriptive information regarding the recordsas will enable the head of the transferring agency to recommend and the archivalagency accept the legal as well as the physical custody of such records from theagency of origin. Once legal transfer of custody has been completed, the archivalagency will be responsible for the preservation and utilization of such records.4.5.5 Non-current records that have no archival value but that are not immediately eligible for destruction, i.e. "semi-current" records that must be retainedfor administrative, legal, or fiscal purposes for a limited number of years, usuallyremain the legal property of the agency of origin, but should be transferred to thephysical custody of the archival agency for their maintenance and eventual destruc

tion following record centre storage (see Chapter 5 ) .Survey of current records4.5.6 The archival agency, in co-operation with agency records officers,should also systematically collect information on all series or classes of currentrecords of agencies, including those located at institutions, field offices, andother installations outside the capital.4.5.7 This survey of current records should include for each series of class,in addition to the basic data described above for the survey of non-current records,information on the annual rate of accumulation (in linear metres), and the agency'srecommendation of retention periods in th office of origin and in the record centre.The archival agency should then determine the type of ultimate disposal (destructionor transfer to the archives) for each series or class.Preparation of agency records schedules4.5.8 Following a review of the current records survey reports, the archivalagency, in co-operation with the appropriate agency records officer, should preparefor each agency a comprehensive records schedule. This schedule should be submitted to the head of the agency for approval, then to the archival agency for adoption.Adoption of the schedule would then constitute continuing authorization for the typeof disposal indicated, upon expiration of the approved retention period, for allseries or classes of records included in the schedule.4.5.9 Each agency schedule should be reviewed annually by the archival agencyand the appropriate records officer for necessary revisions, including those resultingfrom experience with application of the schedule, and from changes in the agency's


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- 18 -programmes, policies and procedures. Requests for such revisions should be submitted to the head of the agency for approval, then to the archival agency foradoption as amendments to the original schecule. As necessary, extensively amendedschedules should be reissued as revised schedules.

4.5.10 The archival agency should develop and distribute to agencies a formto be used in reporting to it the destruction of all files and records destroyed onthe basis of approved disposal lists and schedules. The form should identify therecords destroyed, their former location, quantity, inclusive dates, the disposalauthorization, the date or dates destroyed and the method of destruction.Preparation of comprehensive records space and equipment inventories

4.5.11 The archival agency, in co-operation with the records officer of eachagency, should prepare, on the basis of data collected in the surveys of non-current and current records, a comprehensive inventory of each agency's recordsspace and equipment. These inventories should be maintained on a current basisthrough annual review and revisions, and should be used in returning direct savingsand cost avoidance, as well as to assist agencies in more effective management oftheir records in the conduct of current business.4.6 Following the development and full implementation of such a record disposalprogramme,, the archival agency, depending upon the availability of budget andstaff, should expand its records management programme into the areas of recordsmaintenance and use and records creation.. In these areas its role should consistprimarily of developing standards, procedures, and techniques for training agencypersonnel in their application, and of co-ordinating agency records management activities aimed at reducing costs while improving administrative efficiency. Specificprojects and activities in these areas should be developed jointly by the archivalagency and personnel of another agency in terms of actual records problems facingthe agency.4.7 Except for the organization and operation of a record centre (see chapter 5),the records management function is essentially a staff function. It canreadily be accommodated in normal office space, but provision should be made formeeting and training facilities beyond those usually included in traditionalarchival buildings.Archives administration activities4.8 For an archival agency effectively to acquire, preserve and make accessible

the permanently valuable non-current records of the government and its politicalsubdivisions, it must develop and implement a programme of public archives administration that includes the following basic functions and activities.4;.9 Records appraisal and disposal

4.9.1 The appraisal of records to determine appropriate disposal is a professional archival function.- Adequate appraisal of the evidential and informationalvalue of records requires not only the kinds of data resulting from records surveys,but also an extensive research in and knowledge of the administrative history of thegovernment, of the particular agency with which the records originated, of recordkeeping systems and practices, of the history of the country and of general history,and a familiarity with scholarly research principles, practices, needs, and trends,particularly in history and related disciplines.


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- 19 -4.9.2 Responsible and effective records appraisal must take into considerationthe total documentation of an agency, both published and unpublished. It must determine the relationship of that documentation to the documentation of other agencies,and to non-governmental sources of information. In brief, since appraisal necessarily involves the destruction of unique documentation, it is the most important

and professionally demanding archival function (see above 3.32-3.33).4.9.3 The professional archival staff should prepare appraisal reports on allclasses or series of records proposed for disposal. It is therefore essential thata professional staff be authorized and appointed as soon as possible, and that thisstaff work with the agencies in the preparation of disposal and transfer lists andin the development of schedules.4.9.4 The archival agency should maintain, on a current basis, a disposalregister or log and separate case files, by agency, for each disposal requestreceived. Appraisal judgements and all actions by the archival agency regarding each disposal request should be fully documented, as should agency actionsfollowing disposal authorizations.

4.10 Accessioning4.10.1 The accessioning of archival material usually involves the transfer ofboth the legal and the physical custody of records from the agency of origin to thearchival agency.. This transfer of custody must therefore be fully documented, andthe archival agency should maintain, on a current basis, an accessions register orlog and separate case files, by agency, for each such transfer. The transferringagency should be provided with a proper receipt for each transfer of records. Thereceipt should include a description sufficient to fully identify the records transferred and an acceptance by the archival agency of restrictions placed by the agencyupon their use. A special form should be developed for this purpose.4.10.2 Implementation of this accessioning function should begin as soon aspossible. Transfer, of legal and physical custody of permanently valuable non-current agency records to the archival agency can be made on the basis of transferlists, with the necessary data derived from the record surveys and supplemented byappraisal reports. Such transfer action taken as soon as possible will help ensurethe preservation of permanently valuable non-current records still in agencycustody.4.10.3 The accessioning function should also include the following activities:development of a comprehensive pattern of archive or record groups for the recordsof government agencies, past and presentr and the allocation of all accessions tothe appropriate archive or record group (see 4.12.1 below); the preparation of

registration statements for each archive or record group, which should give a briefadministrative history of the transferring agency, a physical description of theaccessioned recordsr an indication of related records still retained by the agencyas well as related records of other agencies,, and a statement of restrictions onuse of the records; and the creation and maintenance, on a current basis, of volumeof holdings reports for each archive or record group.4.11 Preliminary processing of accessions

Fumigation4-. 11.1 Ideally, all records accessioned by an archival agency should be

fumigated to eliminate insect pests and to assist in their permanent preservation.No records that have not been fumigated should be placed in any stack area. Undermost circumstances, this requirement would have to be postponed until the construction and occupancy of a national archives building.


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- 20 -Cleaning4.11.2 After records have been fumigated, they should be removed from their

containers and cleaned to eliminate as much surface dirt and dust as possible. Ifit is necessary to replace folders or covers of individual files, all identifyingmarks and notations on original folders or covers should be preserved. Care shouldbe taken to maintain the original order of filing units and documents in removingthem from their containers and cleaning them.

Preliminary boxing, labelling and shelving4.11.3 After records have be en cleaned, they should be stored in their original

order in archival boxes.- The boxes should be adequately labelled to provide controlover the records, and the boxes should be shelved in the stack area. Box lists andlocation registers should be prepared for the records to permit a basic degree ofreference service pending more detailed arrangement and description of the material.

4.11..4 All of the above activities involved in the preliminary processing ofrecords should be performed by non-professional archives assistants under thedirection of a professional archivist, who should plan, schedule and supervise thework.

4...11.5 Pending the construction of a national archives building, the preliminary processing of records transferred to the custody of the archival agency shouldbe confined to cleaning, boxing and labelling. Records need not be removed from containers in vacuum fumigation, so that no duplication of effort would be involvedwhen the records are transferred to a new building.4.12 Arrangement of holdings

4.12.1 To establish the degree of intellectual control essential to provideeffective reference service on archival material, this material must be arranged(sometimes referred to as "classified") and described in accordance with basic archivalprinciples and techniques . Activities: involved in the arrangement function include:

(a) At the repository level - this ordinarily involves the breakdown of therepository's total holdings into a few major divisions that group separatearchive or record groups and special physical types of records on thebroadest possible common denominator, i.e. "military records " or "audiovisual records" or "colonial records" and the physical placement of eachsuch major division of records to best advantage in the stack or recordsstorage areas .

(b) At the archive or record group and subgroup levels - the ordering of thetotal record holdings of each administrative unit (bureau or department,division, branch, section, etc.) in relationship to those of all othersubordinate administrative units (of the same agency) that combine toform an archive or record group.

(c) At the series level - the structuring, in some logical order that willreflect either organization or function,- of all series or classes withinthe records of each administrative unit included in the archive or recordgroup. Registered files received from a central registry of any agencymay be grouped into functional (or subject-related) series .


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- 21 -(d) At the filing unit level - the breakdown of each series or class into its

component filing units, and the physical placement of each component inrelation to other components in some logical sequence to reveal either thefunction or content of the individual documents, enclosures and annexesthat comprise the filing unit The logical sequence involved is usuallyestablished by the agency of origin (the filing scheme or system), andwhere such a pattern is discernible the archivist maintains and restoresit when possi ble r correcting obvious misfiling s. Final arrangement atthe filing unit level also involves flattening of folded documents thatconstitute the filing unit; removal of rusted fasteners, rubber band s, etc.placing the documents in acid neutral folders when necessary; labellingfolders with the proper archive or record group number and title, subgroup and series titles,, and folder contents ; reboxing the filing unitsin archival boxes; labelling the containers with archive or record group*number and title, subgroup and series titles, and container contents ; re-shelving the records in terms of the arrangement pattern developed for thearchive or record group; and the revision, when necessary, of locationregisters.

(e) At the document level - when staff and workload perm it, arrangementshould be carried out at the individual document le vel, which entails thechecking and perfecting of the internal arrangement of the documents andthe individual pieces of paper that constitute the filing unit. In somevery large repositories arrangement at this level is usually performedonly in connection with the flattening of folded records and in thepreparation of records for microfilming.

4.12.2 Except for arrangement at the filing unit and document levels, whichcan be performed by archives assistants under professional supervision - providedthe records have not been too badly disarranged - the arrangement function requires"a significant degree of professional archival knowledge, as well as extensiveknowledge of the administrative history and record-keeping systems and practicesof agencies-. This function is intimately related to the descriptive function, andboth kinds of activities require that basic administrative or physical control firstbe established over all accessioned records.4.13 Description of holdings

4.13.1 To make fully accessible to government agencies, scholars, and thegeneral public the archival resources in its custody, the archival agency shoulddevelop and implement a long-range description or finding-aid programme . Initialpriority in this programme should be given to the preparation and publication ofa general guide to the holdings, which should be revised and republished as necessary. This general guide should be supplemented by the preparation and publicationof archive or record group inventories, which should utilize the information anddata developed in the record surveys, appraisal reports, and in the arrangementof the records,- to create detailed series by series (or file by file) descriptionsof all records in a particular archive or record group, with the emphasis upon theirinformational content.

4.13.2 For records of high reference value and use there should be developedspecial lists, indexes, and other detailed types of finding aids.

4.13.3 In the development and implementation of this finding aid programme,agency-created finding aids should be fully utilized. It should be recognized,however, that archives are most frequently consulted for purposes other than thosefor which the records were created and used in conducting the current business of


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- 22 -an agency-.. The full informational content and value of archives, therefore, can berevealed only through an extensive and systematic finding aid programme.4.14 Preservation,, repair and restoration of holdings

4.14.1 The archival agency is responsible for protecting from physical deterioration and other damage or destruction the records entrusted to its custody. In addition to fumigating and cleaning all accessions, and to providing temperature andhumidity control, the agency needs special technical facilities for records in needof repair or restoration. Brittle and cracked paper records should be humidifiedbefore they are unfolded; bound manuscript volumes lacking spines and covers or withbroken spines should be rebound; and records on poor quality paper or made with non-permanent inks or carbons should be deacidified and either thermoplastically laminatedor encapsulated.4.14.2 Information-on records of permanent value in need of repair should firstbe gathered during the record surveys, and should be used in planning and programmingpreservation and rehabilitation work by the archival agency. It is essential thatprovision be made for an adequate restoration laboratory in the facility housing thenational archives.

4.15 Reference services4.15.1 A public archival agency is an official agency of the government;priority in its services should therefore be given to the needs of other governmentagencies. At the same time it must recognize, and discharge as fully as possiblewithin the limitations imposed by budget and staff, its responsibility for makingaccessible to researchers and to the general public the archival resources in its

custody.4.15.2 Information and reference service activities normally include, but arenot limited to :(a) Furnishing records for use in a research room. Effective conduct of research room activities requires: (1) that the room be provided withadequate physical facilities for use of records (desks, chairs, adequatelighting, microfilm.-readers, and rapid-copy services); (2) that prospectiveusers of archival material fully establish their identity, familiarizethemselves with the rules governing use of the archives, including anyapplicable restrictions, and acknowledge in writing the receipt of allrecords delivered to them for their use; (3) that, wherever necessary,an architect explains to searchers how particular records are organized,arranged, and controlled by the archival agency; calls their attentionto finding aids relevant to their subject of inquiry; and explains methodsof citation of archival material; (4) that regulations be issued and enforced governing the use of records that will prevent their mutilation ordestruction through improper handling, their loss by theft or misplacement, and the impairment of their record character through disarrangementor alterations; and (5) that the search room be professionally supervisedand the handling of records be controlled by admittance cards to researchers, registers of researchers, stack service slips, charge-out cards,requisitions for reproductions, and similar forms. Work should begin assoon as possible for developing forms and other documents necessary to

conduct and control these activities. Forms used in long-establishedarchival repositories should be obtained and adapted as necessary.


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- 23 -(b) Furnishing information about and from records. Normall y, in response to

telephone and mail inquiries from non-governmental sources, data aboutrecords sho-uld be supplied that can be obtained from finding aids, andspecific information of a limited character should be provided from therecords themse lves. Information available from library materials shouldnot normally be provi ded to inquirers.,, and no extensive searches shouldbe conducted for information contained in the reco rds. The performanceof extended research per se should be the responsibility of the inquireror user r not of the archival ag ency, but there is no uniformity of practiceamong archives in this respect. Essentially, the informational servicesavailable from an archival agency should be of a reference, rather thanof a research character.

(c) Furnishing copies of records, Researchers, upon request, should befurnished copies of unrestricted record at cost plus handling charg es.The microfilming of records in response to reference requests shouldnormally be limited to requests not requiring extensive selection ofindividual documents from a variety of record series, or an excessiveamount of work in preparation for film ing. The use by researchers ofprivately-owned equipment in the search room for reproduction of recordsshould be limited to equipment that will not overload available electricalcircuits,, that does n ot require the use of chemica ls, and that does notgenerate heat which may damage the records.

(d) Archival loans.. The loan of archival material outside the archivalrepository normally should be restricted to government agencies forofficial pur pos es. Loans should be made only under conditions that willensure both the physical preservation and the preservation of the recordcharacter of files or documents loaned. All loans should be receipted,and should include such description of the records as is necessary to makepossible a complete accounting of them upon their return by the borr owingagency. The loan of original records for exhibit purposes outside thearchival repository should be permitted only when facsimiles or copieswould prove inadequate.

(e) Statistical records should be maintained for all reference services andshould be used in establishing the needs and in planning and programmingthe work of the archival agency.

(f) Although microfilming, exhib its, and publications may be regarded as extensions of reference services, the role of these functions in an archival

. programme is so basic that they are dealt with as separate activities inthis overview.

'4.16 Reprographic services-"-." 4.16.1 Effective performance of reference service requires adequate facilitiesfor microfilming, photostating, still photography and rapid-copying.. In addition tohandling specific reference requests through the furnishing of photo copie s, pho to-duplication, particularly microfilming,, serves the following major archival pur pose s:(1) preservation, in that heavily-used records and those made on poor quality papermay be filmed and impounded, with researchers then required to use the fi lms;(2) security, in that records essential for the continuity of government and therights of citizens can be filmed and the negatives stored safely at another location;(3) publication, in that archival materi als, when adequately arranged and des cribed,are admirably suited to this relatively inexpensive method of making full textswidely accessible; (4) disposal,, in that voluminous records that lack intrinsic


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- 24 -value but have high research value can be filmed and the originals destroyed with anaverage saving of about 92% of storage space; (5) acquisition, in that microfilmcopies of related archives and manuscripts in other repositories at home and abroadcan be used to supplement and enhance the research value of the holdings of anarchival agency; and (6) administrative, in that microfilm copies of frequently-usedindexes and other unpublished agency and archive-created finding aids can be provided in a number of different locations to facilitate use of the records.

4.16.2 All photocopying of archival materials, regardless of the process andequipment involved, should meet archival standards of quality and permanence. Thearchival agency should therefore have administrative control over its own photo-duplication facilities.

4.16.3 To achieve .maximum economy and efficiency, an archival and recordsmanagement programme should administer a centralized microfilming facility forgovernment agencies-. Where no such centralized facility exists, the archival agencyshould exercise approval over the establishment of agency microfilming operationsand the purchase of related equipmen t. All agency filming should be provided forin its records schedule, and where appropriate should meet archival standards ofquality and perman ence. Recommendations regarding the establishment and operationsof a centralized microfilming facility within a record centre are given in 5.27(e),below.4.17 Exhibits

4.17.1 As a cultural as well as a service agency, an archival agency has ageneral educational mi ssion . Its responsibilities in this particular area can beperformed most effectively in terms of exhibits and publications. Provision shouldbe made for both temporary, or rotating, and permanent exhibits. The permanent exhibit should eventually include the Constitution and other significant documents inthe country's history. Temporary exhibits should be planned to commemorate significant events in the country's history and the contributions of its public figuresand other outstanding citizens.

4.17.2 These exhibits should be located in space administered by the archivalagency. Special precautions should be taken to protect archival materials on exhibit from theft,, vandalism and damage by heat and light.4.18 Publications

4.18.1 To fulfil its responsibilities as a service agency to both the government and the people, the archival agency requires a carefully planned and diversified publications programme. Publications are essential to meet the administrativeneeds of the government, to make known the services and holdings of the archivalagency potential users, and to assist users at a distance in preparing for'andusing these services and holdings.

4.18.2 The archival agency should plan, prepare and publish, within the limitsimposed by available funds and staff, the following types of publications:

(a) Annual reports.(b) A general guide to its holdings, to be revised on a regular basis to

reflect changes.


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- 25 -(c) General information leaflets and periodical newsletters, briefly describ

ing the archival agency.,, its holdings and services, its hours of business,and such other information as will be useful to potential users .

(d) Eventually, consideration should be given to publication of the code ofadministrative regulations., or its equivalent, and the government organization manual , if there are no existing legislative provisions for theircompilation and publication.

(e) Records management manuals,, handb ooks, guides and standards.(f) Inventories and other types of finding aids for its holdings of both

general and specialized research interest and value.(g) Documentary publications,- either in letter-press or on microfilm, of

archival material of important value for scholarly research or of widepublic interest. Such publication project s should be undertaken directlyor planned and executed in co-operation with scholarly institutions orindividual independent scholars. It is essential, however, that aseparate budge t and staff be provided for such publication projects .

4.18.3 Although not a formal part of the publication programm e, the staff ofthe archival agency should be encouraged to contribute research and descriptivearticles and new notes to professional ar chiva l, records management and historicaljournalsr to assist in acquainting their professional colleagues and scholars ingeneral with the programmer holdings and services of the archival agency. Like allorganizations, the archival agency must engage in public relations activities whetheror not they are formally organized.4.19 Printed archives

4.19.1 In-the previous discussion of archival activities, the term recordshas been used to mean not only conventional or textual (paper) rec ord s, but alsocartographic, audio-visual and machine-readable records. With very few exceptions,the archival activities described are applicable to all of these media . One additional type of record material, however, still requires consideration - printedarchives.

4.19.2 The term printed archives is used to identify and describe the printeddocuments and publications of all gover nment agencies.

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Desarrollo de Un Programa de Archivos

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