THE RECORDS OF

N|G|O|s,MEMORY … TO BE SHARED

A practical guide in 60questions

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Thanks:

This guide has been prepared by Armelle Le Goff, senior curator of the National Archives Historical Centre(France). The International Council onArchives thanks its Section for Archivistsof International Organisations for its contribution, and Patrick Cadell, MargaretProcter and David Leitch (United Kingdom)for their translation, adaptation and editing.Please note that the structure of the guideis not the same as the original French ver-sion. This is not a literal translation but an adaptation to the context of records’management in the English speaking world

© ICA, 60, rue des Francs-Bourgeois,75003 Paris, France.

ReproductionReproduction by translation or reprinting of the whole or of parts by non-commercialorganizations will be authorized providedthat due acknowledgement is made.

PublicationDirector de publications :Joan van AlbadaCoordination :Perrine CanavaggioDesign : Thérèse Troika, FrancePrinter : Waanders,The Netherlands

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1 What are records? 42 What is a “ fonds”? 43 What is a file? 44 Current records, historical archives; what’s the difference? 45 Do all documents have archival value ? 56 Can documents on disk or on cassette also be records? 57 So an NGO should assume that documents producedby office automation or e-mail are part of its fonds? 68 What other kinds of ‘digital objects’ can throw light on the activities of an NGO, and are thus part of the transmission of its memory? 69 And what about audiovisual materials which may be held by an NGO? 610 As an example, what sort of sound archives might one find in an NGO? 711 What has good records management to offer in thedaily life of an NGO? 812 How do archives constitute the internal memory of an NGO? 913 Can we therefore talk about a ‘shared memory’ in the context of the archives of an NGO? 914 Why should academics need of the archives of NGOs? 1015 Setting up a recordkeeping system would appear to be a fundamental task for an NGO, but how we go about it? 1016 When and how should I open a file? 1117 What rules should be put in place to ensure the integrity of a file? 1118 What order should be used within a file? 1119 What types of files will I find in an NGO? 1220 What procedures should be followed for setting up policy files? 1321 What is a good name? 1422 What process should be followed in fixing on a file title? 1523 What is a reference number? 1524 Are there immediate precautionary steps to be taken for the proper physical preservation of the documents? 1625 What steps should be taken for the storage of a file? 1626 What should be checked before a file is closed? 1727 What should be disposed of? 1728 Are there precautions to be taken before destroying files? 1729 How can I find out how files circulate? 18

30 Can one plan the management of some groups of documents in advance? 1931 What is records management? 1932 What is the value of a classification scheme for files? 1933 How can I draw up a classification scheme? 2034 Should a classification scheme be the same for electronic as for paper archives? 2035 Why is it important to have a classification scheme common to documents in any medium? 2036 What reference numbering system should one use?2137 How does one find a file in a properly arranged filing system? 2238 What use can one make of electronic records management systems? 2239 Are there precautions to be taken in making certain documents available? 2340 What practical steps should be taken for thearrangement of electronic archives on a computer? 2341 Which electronic documents should be preserved and which destroyed? 2342 Should documents that exist in hard copy be preserved in electronic form? 2443 What particular precautions must be taken to ensure the survival of electronic documents? 2444 What happens when there is a change of system or hardware within an organisation? 2445 When should electronic archives be printed out? 2446 Where can one find out more about the management of electronic archives? 2447 How can gaps in the archive be filled? 2548 What support could I get from former staff? 2649 What might be the importance of personal papers for an NGO? 2650 Can a volunteer programme for the collection of oral history go some way towards making up for the absence of original documents? 2651 What kind of building is suitable? 2752 What are the ‘enemies’ of archives? 2753 What precautions should I take? 2754 What particular precautions are needed in dealing with sound archives? 2855 How should files be stored? 2856 And in dealing with electronic archives? 2857 What should be done if a document is torn, damp or stained? 2958 What should be done about the cost of good archive management? 2959 Where can one get specialist equipment? 2960 Where can I get help? 30

60 QUESTIONS

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1

Ever since its creation in 1948, under the auspices of UNESCO, the International Councilon Archives (ICA) has provided significant technical and professional assistance to archivistsand archival institutions in the world. By way of studies, conferences, expert missions, elabo-ration of norms and standards and the sharing of information, the ICA has played an essentialrole in raising awareness of governments, civil society and the international community of theimportance of archives.

This manual is a practical guide, which draws the attention of officials, staff and volunteersof non-governmental organizations (NGOs) to the value of their records and offers advice ontheir management and preservation. Some of these records are indeed of crucial importancefor the history of both the organizations themselves and the societies concerned.

The benefits of good records management within a public or private institution are wellknown: gain of time and space, legal and administrative memory, an informed vision of pastdecisions and transparency of information. In the electronic environment the safeguarding ofrecords in the medium and long term has become more complex; in order to ensure preser-vation, records management must begin in the early stage of the document’s life cycle. The-refore, the guide also provides simple and effective advice to meet this need.

In certain countries where the NGOs carry out activities not provided for by the State, thearchives of such organizations become essential for the reconstitution of the history of indivi-duals, institutions and populations. In former repressive countries, where public archives havedisappeared or been purged, the records of NGOs are among the rare sources of informationthat allow the victims to understand better the mechanisms of repression and to claim a rightto truth and reconciliation.

This guide is the realization of a recommendation of the directors of national archives andthe chairpersons of professional archival associations, gathered in Reykjavik in 2001 on theoccasion of the XXXVth International Conference of the Round Table on Archives (CITRA), wherethe theme was the collection and selection of records in contemporary societies. In view of thegrowing role played by civil society at the international level and the threats confronting the safe-guarding of records of NGOs, the concern and initiative of the ICA is entirely justified and prai-seworthy.

Behind an apparently modest ambition is hidden a true determination to serve the citizensof the world, by working for more transparency, good governance and a better preservation ofthe memory of humankind. I am delighted to welcome this Guide as an expression of the conti-nued strive of the ICA to preserve the memory of the world in all its immense diversity.

Koïchiro Matsuura

Director-General of UNESCO

PREFACE

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NGOS: A NEW PRESENCE …

What is an NGO?

NGO = Non-governmental Organisation

It is hard to give a brief definition of an NGO,given the richness and diversity of their acti-vities but they do share certain special cha-racteristics. This booklet relates to organisa-tions which meet the following three criteria:• The first, which is immediately obvious fromtheir name, is their relationship to publicauthorities. NGOs are in fact independent ofthe state, though that does not prevent theircollaborating with governments or receivingfinancial aid from them.• But the above criterion alone is not sufficient:there are other international organisations,such as multinational corporations, which areindependent of the state. The second crite-rion therefore is that of being an association.That is to say, an NGO is a group of privateindividuals brought together for non-profit-making purposes.• In addition, this association usually exists touphold some human, universal and democra-tic value. Thus aid the main subject of thisguide, is one of the many fields in which NGOswork.

When did NGOs first appear on the international scene?

Aid is not a twentieth-century phenomenon: cha-ritable societies and ‘good works’ have exis-ted since antiquity. The twentieth century canhowever be called the ‘century of the NGO’.NGOs developed from1945 in the wake ofthe UN (United Nations). A further wave ofhumanitarian initiatives marked the 1970swith the development of organisations ‘withoutfrontiers’.Nowadays there is a proliferation of NGOs.According to the Union of International Asso-ciations (UIA), there were about 40,000 inter-national non-governmental organisations (INGO)throughout the world in 2001.

… WITH DIFFERENT NATIONAL CHARACTERISTICS …

Is an NGO a national or an international organisation?

An NGO has its roots in a single country or itmay develop from the outset as an internationalnetwork. Examples of the former are Oxfam(in Great Britain) or CARE (in the United Sta-tes of America), both of which originally raisedfunds only in their own countries, before set-ting up links with international federations. Inthe latter category is Amnesty International,founded in Great Britain, but which, from thebeginning, sought support in other countries.

2

For you, managers, employees and associates of Non-governmentalOrganisations (NGOs)

I. You said NGO?

For whom?

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IO, IGO, NGO, INGO: what are the differences?

An IO (International Organisation) is a collec-tive term which encompasses all sorts of inter-national organisations, while an IGO (Inter-governmental Organisation) is an organisationwith regional or international responsibilities,created by several states, the UN and UNESCOfor example.An INGO (International Non-governmental Orga-nisation) is an organisation created by trans-national agencies (NGOs, corporations, poli-tical parties…).

What are the differences betweenthe NGOs of different countries?

Apart from differences in name, NGOs vary insize, organisation and number from country tocountry. In the same way, the role played bypublic funding also varies from one country toanother; it is particularly important in Ger-many, the Netherlands and Scandinavia.

ASSOCIATIONS: A VARIED LANDSCAPE

In France the situation is fragmented withnumerous small and medium-sized associations,and a few large ones such as Médecins sans fron-tières (MSF) and Médecins du monde (MDM).In the USA, as in Great Britain, there are relati-vely few associations, but they are large and capa-ble of channelling substantial funds.In the Netherlands aid associations are orga-nised in four large federations: NOVIB (lay), HIVOS(humanist), ICCO (Protestant), CEBEMO (Catholic).What is particular about Germany is the exis-tence of foundations linked to political parties:Konrad Adenauer Stiftung (CDU), Friedrich EbertStiftung (SPD). A great number of NGOs havedeveloped in Central and Eastern Europe, particu-larly after the change of the political system there.Their role is mostly related to social needs andissues, as they try to fill the gaps which are notsufficiently dealt with by the state.

... BUT RECOGNISED TODAY BY THE INTERNATIONAL COMMUNITY

What is the status of NGOs in relation to the UN?

Article 71 of the UN Charter recognises thespecial role of transnational agencies, inclu-ding of course NGOs, which may participatein a consultative capacity in the Economic andSocial Council (ECOSOC). A series of resolu-tions governs the way in which this consulta-tion may take place1. Today, nearly 2000NGOs are involved in ECOSOC.

Further reading John Baylis and Steve Smith (eds) The Globalization of World Politics.An Introduction to International Relations.Oxford: Oxford University Press, 1997.Eurasia Resources. Published by CivilSociety International(www.civilsoc.org/books/resource) From the Roots Up: Strengthening Organizational Capacity Through GuidedSelf-Assessment. Published by WorldNeighbours (Mail order at order@wn.org)Post-Communist Transition as a EuropeanProblem. Published by Longo EditoreRavenna (long-ra@linknet.it) www.longo-editore.it.Brian Pratt (ed.), Changing Expectations?The Concept and Practice of Civil Society in International Development. InternationalNGO Training and Research Centre(INTRAC), Publications@intrac.org(www.intrac.org)

1 Resolution 288(X)B: February 1950; Resolution1296 (XLIV): May 1968; Resolutions 1996/31 and 1996/297: July 1996.

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ARCHIVES: A COLLECTION OF DOCUMENTS…

1 What are records?

Records embody the “information created,received and maintained as evidence and infor-mation by an organization or person, in pur-suance of legal obligations or in the transac-tion of business”. They are also Memory is whatwe can recall…but this recall takes effort.Memory needs to be cultivated like a well ten-ded garden. They are a medium of memory.

2 What is a “ fonds”?

Everyone creates records• individual person: a scholar, a writer, an artist, etc;• a legal entity: an association etc;• a public organisation: a governmentagency or department;• a private organisation: a corporation or a bank…

The collection of documents and records whichgrows as a consequence of the activities of alegal entity is what is called a “fonds”. The col-lection of records managed by an NGO the-refore falls into this category.It is important for an NGO to preserve theintegrity of this fonds by keeping it toge-ther or by bringing together, if they havebeen dispersed, all the documents pro-duced or acquired in the course of itsactivities.

3 What is a file?

A file is made up of the documents broughttogether in the course of work on one subjector one area of business. It is testimony to theway in which the business was carried out, andits value is both administrative and evidential.A document must not be separated from thefile of which it is a part. Out of context it losesits sense and its informational value. Everydocument has its place in a file and everyfile is part of a fonds.

…WHICH RECORD THE ACTIVITY OFMANKIND OVER A PERIOD OF TIME …

4 Current records, historical archives; what’s the difference?

In the Anglo-Saxon world there is a clear dis-tinction between current or active records‘documents necessary for day-to-day work’ andarchives, ‘documents no longer required for cur-rent work, and which are preserved, with orwithout preliminary appraisal, by the organisa-tion which created them for its use, or by anappropriate archival institution’1.

Thus it is possible to distinguish between threecategories:

• documents used for the management ofwork in progress because they are consultedfrequently. They are held in offices so thatthey are immediately accessible.

4

NGOs are about action, but they all pro-duce records which can be of long-termvalue even though they may never thinkof them in such a way. Their memory isthere…

II. RECORDS, THE SEEDS OF MEMORY

Why?

1 According to the ICA’s Dictionary

of Archival Terminology.

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• documents which are no longer used fre-quently, but which need to be preserved fora while for reference purposes or to meetlegal requirements. They do not need to be kepton the premises of the creating organisation.They can be kept off-site or close to the officesite. If records are consulted less than 2-3times per month, their place is at the RecordsCentre (which obviously can be a storageroom in an office too). In the US and even inEurope, many NGOs use off-site commercialrecords centres, and records are accessed viathe commercial provider.

• permanent or historical archives: docu-ments whose long term administrative inter-est or historical value justifies permanent pre-servation. This in turn means that they deserveto be made available for historical research,and in due course they may be placed in thecare of an archive service.

5 Do all documents have archival value ?

No, not at all. Most organisations – of any kind– will destroy 95% of their records but at thesame time, even from the moment of creation,many documents do have archival potential.It is therefore necessary for an NGO to iden-tify and ensure, from the outset, the properarchiving and preservation of:

• all titles deeds (gifts, purchases, contracts,agreements etc);• legal documents (statutes, by-laws, foundingdocuments etc);• files which explain the existence, the workand the development of the NGO (minutes ofmeetings, funding campaigns etc);• reports and resolutions of the board; • policy and procedure manuals; • files which contain information about itsmembers, volunteers and partners;

• files about the peoples and countries withinits sphere of action;• grant files;• project files;• annual reports and annual financial state-ments; • publications by and on the NGO.

And all this without waiting until the files haveceased to be of current use! The founding sta-tutes of an NGO have archival value from themoment of their promulgation; and the file ofpapers prepared for a future general assem-bly or for the managing board is as much anarchive file as the file of the founding generalassembly.

… AND WHICH INCLUDES ANY MEDIUM

6 Can documents on disk or on cassette also be records?

Yes. Documents can be created in any mediumwhich can record and reproduce information.The records of an NGO are not only files ofpapers containing manuscript, typed or prin-ted documents, originals or photocopies, suchas telegrams, faxes, plans, letters, grey lite-rature1, posters, agreements, contracts, butmay also include photographs, film, soundrecordings, and electronic documents madein the course of its work. What these docu-ments in different media have in common isthat they arise from and reflect the activitiesof the NGO. If they have archival value, it is alsoessential to preserve the associated ‘paper’documentation (instructions, information, etc)which will ensure their future accessibility. Thiscan imply, for electronic documents, the down-loading of the information they contain onto

51 Grey literature is commonly defined as any

documentary material that is not commercially

published.

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other media. In addition, different kinds ofmedia should be archived separately. Thismeans that floppies, photos and tapes cannotbe physically stored together with paper, whichis less demanding than other media. Photosand other audio-visual (AV) material need spe-cial care, and it is better to transfer them toa historical archives repository. Much careshould be taken over the management of elec-tronic records and because NGOs are unli-kely to have the capability to care for electronicrecords in the long term. They should be savedin an electronic repository where the metadata,providing information about the context inwhich the record was created, are preservedwith the record content. The latter is crucialfor records’ authenticity and integrity.

7 So an NGO should assume thatdocuments produced by office automation or e-mail are part of its fonds?

Yes, because the time when all was hard copyis long gone. E-mail is now the standard methodof working and communicating for NGOs, andit has shown itself particularly useful whentheir members are at a distance. This hasbecome increasingly apparent in recently crea-ted NGOs, most of whose members are young,and belong to the ‘Internet Generation’. In suchcases it is usual for the majority of workingdocuments not to be printed out and only tobe available electronically. Care is needed the-refore to ensure the survival of these virtualdocuments and of the technical means ofaccess to them. Disks provided with the e-sys-tem as documents in hard copy connectedwith it should be preserved, because they willbe essential when the disk or the record beco-mes technically obsolete, and can no longerbe read by new hardware or software. Youshould also print these documents out on

paper, and preserve a copy in the relevant sub-ject file.

8 What other kinds of ‘digital objects’ can throw light on the activities of an NGO, and are thus part of the transmission of its memory?

Apart from documents produced by word-pro-cessing and E-mail, which are generally com-puter files of very modest size, some organi-sations, for management or informationalpurposes, set up databases which develop overtime and are periodically brought up to date– a personnel record for example. These data-bases can be very substantial sources of infor-mation.In addition many NGOs set up their own web-site. These sites are powerful informationtools, and are also places where members cancommunicate and exchange ideas (electronicforums and petitions).So from the moment of the creation of any infor-mation or data in digital form, it is essentialto put in place, and to enforce, procedures forits preservation.

9 And what about audiovisual materials which may be held by an NGO?

These might include sound, video and filmrecordings and may well have archival value.As far as sound recordings are concerned, oneshould distinguish between sound archivesand oral history archives, even though they arepreserved in the same medium. The diffe-rence between them arises from the way inwhich they are produced. Sound archives are

61 Information about the type of information,

its creator, and the business process that

produced it).

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created in the context of particular activitiesaccording to procedures which may or maynot be compulsory. They are part of a busi-ness process and are usually not intended ashistorical or documentary evidence. Oral his-tory archives are created in the context of anhistorical project, they are therefore not theconsequence or reflection of an activity, butbear witness to it.

10 As an example, what sort of sound archives might one find in an NGO?

There are three main types of sound recording:

• the recordings of statutory meetings of theNGO, general assemblies, councils, bureaux,and also those of other work meetings or evenof important telephone conversations. The inte-rest of these recordings lies in their compre-hensiveness as compared with minutes writtenup later from notes taken at the time, becausewe do not always have a full shorthand record. These recordings are irreplaceable when nominutes have been taken, or these have beendeliberately shortened or rearranged. But as consequence they can present particular pro-blems of confidentiality.

• live recordings of activities or public demons-trations by the NGO, such as sounds and pic-tures of a public celebration or of street col-lecting. They can subsequently have documentary– especially ethnographic – value.

• recording for informational purposes. Effi-ciency requires an NGO to inform the public ofits activities and objectives. If this informationgoes out through a professional organisation(radio program, TV channel etc.) the docu-ments produced are part of the archive of theorganisation which made them, but it is usualfor a copy to be given to the representatives

of the NGO who took part in the program. It isuseful for the NGO to hold a collection of suchrecordings. They will be more accessible to itand to future researchers than they would bethrough the radio or television channel whichcreated them. Informational recordings whetheramateur or highly professional, whether forinternal or external use, can also be madewithin the NGO, and again the NGO ought tohold as comprehensive a collection as possi-ble of the materials it has broadcast. Beforedisposing of tests and rushes, it is worth consi-dering and evaluating the future value of theinformation they hold, but which was not beenused.

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‘Records, archives, that’s all in the past!’ No!Though in practice records record the past acti-vities of mankind, their use is just as real forthe present and for the future.Good management of records results in animmediate saving of time and money, by ensu-ring better information transmission within theNGO itself, and thus improving performanceand output.Records also help to ensure that neither theorganisation itself, nor those involved in its acti-vities, ‘lose their memory’.In addition, thanks to the preservation of somerecords as archives, men and women of the futurewill be able to study and better understandthe role of these organisations.

For an NGO, the preservation of its archi-ves is an act of public service designed tomeet the known and unknown needs ofthose men and women today and in thefuture; it is also a way of overcoming thetransience of the here and now. An orga-nisation which does not preserve its archi-ves is destined for oblivion.

INFORMATION RETRIEVAL

11 What has good records management to offer in the daily life of an NGO?

It is said that today’s society is the informationsociety. So swift and efficient retrieval of infor-mation offers major advantages, particularly inthe saving of time and money: The cardinal prin-ciple to bear in mind is as follows: good mana-gement of records within an organisationalso improves the availability of informa-tion and thus its value.

Above all records must be well managed foradministrative and legal reasons. Well orga-nised records ensure that rights can be pro-perly asserted in case of litigation. Staff recordsmust be maintained properly - a mass of infor-mation such as that relating to careers and pen-sions. In addition different countries have dif-ferent legislative requirements, whichnecessitate the retention of legal, adminis-trative and accounting records for certain timeperiods.

Information accumulated in records sys-tems can be reused for a variety of purposesby the NGO. It is first-hand information, andmoney and skill have been invested in gathe-ring it. At the outset documents are createdas a result of the work of the NGO: minutesof meetings, letters, reports, ledgers, bills,forms, plans, and that is why they exist. Theythus become both management tools, andsources of information about the experience8

III. THE RECORDS OF NGOs, A BRIDGE BETWEEN THE PRESENTAND THE FUTURE

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acquired by the NGO in the course of its acti-vities, sources on which it can draw as requi-red to support decisions and open new cases.They can help to decide for example whetheremergency action can be followed up by deve-lopment work, or on the other hand whetherdevelopment plans can be sustained in thecontext of a crisis. NGOs have to take accountof the whereabouts and the size of a country,and the circumstances of its population, in orderto identify means of supporting independentlocal administrations. They will be able toextract, from the files on various earlier mis-sions, the information and arguments neces-sary to set up new projects, and they willavoid errors and wasting time and money by,for example, knowing in advance good localcontacts. Aside from official and semi-officialrecords, such information is valuable for theexchange of knowledge and opinion with theirpartners, and thus for developing new formsof collaboration.

THE MEDIUM OF MEMORY

12 How do archives constitute the internal memory of an NGO?

Records help build the internal memory of anNGO. In organisations in which benefactors,volunteers and professionals work side byside, and where personnel keeps changing, thepreservation of records as archives creates alink between the generations. They allow aproper evaluation of the work of older mem-bers, at a time when, by choice or by neces-sity, they have to pass the baton to their suc-cessors.It is a matter of handing on not just experien-ces but also a corporate spirit. Just as histo-rians and sociologists talk of business cul-ture, so we speak nowadays of “organisational

culture”. Archives bear witness to the fact that“one doesn’t come from nowhere”. Theydemonstrate the role of the heritage that hasbeen developed in the NGO, the reasons forits creation, and the links that tie it to one ormore other associations – whether for exam-ple, while having no church affiliation, it still hasa religious feel to it, its founders having setout their activities and their principles on thebasis of their religious faith, whether it is lin-ked to some political tendency, and what is itsworld outlook. All this information helps todefine the identity of the organisation and toensure that this identity is not lost. It is at theroot of its corporate culture and allows it, ina fully-informed way, to direct and select itsoptions and to choose its methods of work.

13 Can we therefore talk about a ‘shared memory’ in the context of the archives of an NGO?

The activities of NGOs have created links bet-ween peoples, individuals and societies. Inpreserving their archives, they serve a uni-versal function as preservers of memory, andas contributors to the development of newfriendships, something fundamental for thefuture of the world. By making archives accessible they will contri-bute to the process of memory, even of mour-ning, for those populations who have eitherbeen ‘forgotten by history’, or who have beenvictims of natural or civil catastrophes onwhich the archives of official bodies may besilent, suspected of bias, or no longer in exis-tence. Lack of information about the victimsof an authoritarian regime, for example, makesmourning and forgiveness impossible for thosewho survive. Memory remains an open sore.

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A SOURCE FOR ACADEMIC STUDY

14 Why should academics need of the archives of NGOs?

Archives are the raw material of academicstudy. Certainly contemporary historians, justlike sociologists, make use of eyewitness andnewspaper accounts in their study of recentevents. But an understanding of the real issuesinevitably needs further research, based onarchives. What would one think of a history ofNGOs based simply on newspaper articles?

SOME SUBJECTS FOR POSSIBLE STUDY ARE:

NGO archives are at the crossroads of seve-ral possible lines of research, for example:

• The history of NGOs themselves: asnew but major participants on the internatio-nal stage in the second half of the 20th cen-tury, NGOs are worthy of study in their ownright.

• The history of international organisa-tions. States and NGOs are the two active part-ners in international organisations. The activi-ties of states are recorded in public archives.If the archives of NGOs are not preserved thereis a risk of a documentary imbalance, andconsequently of a lack of academic clarity.

• The history of the forgotten, of victims.The archives of NGOs restore life and voiceto victims, to prisoners deprived of their civilrights, to oppressed and ethnic minorities, towomen, to exploited children, to landless pea-sants, to those on the fringes of society, andto victims of social exclusion, who are oftenalso ‘excluded’ from archives.

• Globalisation. What is the attitude of nor-thern and southern countries to this pheno-menon?

15 Setting up a recordkeeping system would appear to be a fundamental task for an NGO, but how we go about it?

Take deliberate steps to:• gain the support of the management, espe-cially at senior level• prepare a list of the documents and files whichyou use. Include in this list the different mediain which these documents are preserved (paper,analogue, digital), and set up procedures fortheir intellectual and physical management; • raise awareness and provide information formembers, volunteers and partners so as toencourage them to appreciate the issues; • encourage them to create and preserveworking documents, including unofficial preli-minary drafts, which will facilitate an unders-tanding of the way in which a subject originallycame up, will aid the development of new part-nership strategies, and ultimately will consti-tute an important body of historical evidence.

In this booklet you will find basic guide-lines. For further information in English,two of the best sources are

the UK National Archives website

(formerly the Public Record Office)

at http://www.nationalarchives.gov.uk

and especially its records management pages.

International Records Management Trust :

www.irmt.org.uk especially its

Management of Public Sector Records pages.

As you become more expert in managing

records you will find that the National

Archives of Australia maintains a good

resource at www.gov.au/recordkeeping

10

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You should try from the very beginning to intro-duce good habits in the creation and mana-gement of files, without waiting until they haveceased to be current. This section gives verybasic advice on good file management in theshort term.

MANAGING A FILE WELL

16 When and how should I open a file?

Each new subject is entitled to its own file.Bring together all the documents on a parti-cular subject; for example link a letter to itsreply, and a principal document to the paperswhich support it.Do not leave single documents lying about;they risk getting lost. Every document shouldimmediately be put in the appropriate file.Each file is a special case. Its nature is deter-mined by its subject and not by its composi-tion which can vary very widely.A file should be homogeneous, that is to saymade up of documents on the same subject.These however can be of a variety of types(such as reports, correspondence, accoun-tancy records etc).

17 What rules should be put in place to ensure the integrity of a file?

Generally speaking it is always better to makea photocopy than to remove an original froma file. Do not remove a document permanentlyfrom a file in order to open another.So if you need to make up a file of documents

on a particular subject before starting a pro-ject, do not remove an original such as apaper or report from a file relating to previouswork. Instead, you will have to use a bettermethod, for instance to photocopy the origi-nal for the new file, and put it back in the fileit came from, otherwise the original file willbecome incomprehensible. In the same way you should not remove adocument from the file to which it belongsbecause, for example, it bears the signatureof some important person. Likewise do notcreate an artificial file by selecting items of thiskind from different files. You should maintainthe integrity of the file.If a document is temporarily removed from afile for consultation, indicate the withdrawal inthe file by putting in its place a slip, on whichthe date of the withdrawal and the full nameof the person responsible has been noted.The document should be replaced as soon asit is returned, and the slip removed.

18 What order should be used within a file?

In general documents are arranged in chro-nological order, the oldest at the bottom, andthe most recent at the top, so that when onelooks at a file it is the most recent item whichappears first. This chronological order is notabsolute, to the extent that supporting papersshould not be separated from the correspon-dence to which they relate. If a file is dealingwith a large and complicated subject, you canopen sub-files. However care should be takennot to have too many of them as they mayundermine the structure of the main file.

IV. ON A DAILY BASIS:GOOD FILE MANAGEMENT

Your organisation is unique, and so areits records! Get to know them andarrange them properly.

How?

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You should fix upon an order for sub-files withina file (alphabetical, chronological, thematic, geo-graphical), moving from the general to theparticular.Like a main file, each sub-file should have atitle. Use lighter-coloured file covers for sub-files, and put the full title as well as the sub-title on each cover.You might also have to open a new part of afile if it becomes physically too large. Largefiles are difficult to handle and may disintegrate.A file should be no thicker than 3 cm.

A DEVELOPMENT PROJECT MAYREQUIRE MANY FILES.

The establishment, monitoring and control of someof the projects supported by NGOs produce an enor-mous quantity of paper and supporting documenta-tion. A project involves:• a series of objectives to be fixed in advance;• the finding of partners; and a budget;• a statement of the action needed to attain theseobjectives;• a timetable for their achievement.These projects require the opening of different kindsof file relating to:• aspects of the project: these are specific fileswhich provide specific information on the projectand its beneficiaries;• stages of the project: files on the logistics of thephysical and administrative organisation needed forits establishment, monitoring and control.Every project at every stage has planning, contact,communication, financial, technical and logisticalaspects which produce different types of document:working and funding proposals, draft conventions andagreements, the official description of the project,various reports, draft press releases, expert anddelegation reports, etc. It could therefore become necessary to open sub-files.

Through a series of well arranged files one can fol-low the whole life cycle of a project, from its first des-cription and the pilot study which preceded it, throughassessments of the socio-economic circumstances,the community background and the target group ofthe project, through study delegations sent by theorganisation, through initial and regular contacts forpurposes of good relations with the local or govern-mental authorities of benefiting countries, through thesearch for partners in the country involved, the basicagreements with the receiving country, the settingup and monitoring of the financial arrangements forthe project, and the reports of members of the orga-nisation on the spot, through to the final technicaland financial reports on its completion. A whole section of these files can also relate to thenuts and bolts of the project, and be extremely tech-nical. The building of a school or of a maternity unitfor example will demand a variety of professionalexpertise in the initial study and evaluation of needs,and in the technical supervision of the work.

19 What types of files will I find an NGO?

The following are the different types of fileswhich you may come across in your organi-sation:Policy filesThese files are specific to your NGO. They deve-lop from its policies, that is to say from thetask or tasks which it has undertaken in oneor several areas (health, education, environ-ment, habitat etc). For example: aid to the vic-tims of natural disasters or accidents, food aidto displaced populations, support for lepersor victims of AIDS, development policies, edu-cation, defence of human rights etc.These files can differ from each other in termsof their contents. Nevertheless your regularactivities will produce a series of files which12

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deal with projects which are different, but simi-lar within the general scheme of your proce-dures. As a consequence you may well haveset up precedent files as well as policy files.

Executive files These files result from the structures and sys-tems set up to achieve your objectives. Theworking methods of your NGO lie within the fra-mework of your country’s law on associations.The documents to be found in these files area consequence and a reflection either of yourorganisation’s status as an association: rules,papers relating to general assemblies orcongresses, minutes of meetings; or of theactivities of the membership network ofyour association: correspondence registers,circulars and membership lists; or of yourmanagement activities: finance, personnel,policy, chairmanship, and legal matters, as wellas relations with governments and partners etc.The files are produced at the level of the offi-cial bodies and services of the organisation (pre-sident, assemblies, committees, commissions,secretariat…).

General information filesThis information is for the use of members,of volunteers, or of the different structureswithin your organisation (federations, collec-tives, networks etc), and so may include bul-letins, circulars, brochures, and audiovisualdocuments for the benefit of your members.Sometimes the availability of this informationwill be the reason for your existence, or yourprincipal function, and its use will be bothinternal and external: information on humanrights, or on ecological problems etc.

Public relations files The purpose of public relations is to developpublic awareness of your existence and toraise funds. They are aimed at the public atlarge; publications by your organisation, pam-

phlets, posters, press releases, appearanceson radio and television both local and natio-nal, films, slide shows, exhibitions, ‘open door’days, conferences, etc. Remember that allthese documents photographs, films, perio-dicals published in various languages –- whichare a means of spreading information widelyand of attracting outside interest- are an essen-tial element of the history of your NGO. Givethem the greatest attention, and be careful tokeep complete sets of them. Do not allowthese sets to be broken up.

Subject filesDocumentation produces thematic files whichbring together material of diverse origins,often printed or photocopied, to provide infor-mation on a particular subject. You may haveconstructed files of this kind to help you in yourwork, but be careful not to remove original orcopy documents from your policy files, ofwhich they are an essential part.

20 What procedures should be followed for setting up policy files?

Think of the context within which your tasksadvance, and the main stages of their prog-ress, in order to work out their usual deve-lopment within your organisation. The lifecy-cle of a task comprises several stages whichproduce documentation; it is possible for youto work out which of these always create docu-ments, which do so occasionally, in whatmedium they are produced and in what mediumthey should be preserved.You may find this table helpful in retracing thelifecycle of a task (in Roman) in order to decideon the nature of the documents (in italics)which are likely to be found in your archives.

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LIFECYCLE OF A PROJECT AND ITS DOCUMENTARY CONSEQUENCES

PROJECT STAGES TASKS TO BE COMPLETED QUESTIONS TO ASK DOCUMENTS AND RECORDS PRODUCED

Before the project starts

During the project

After the project

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Information gathering– producing your owninformation

Setting up a project

Finding partners

Getting goingand informing

Collecting

Organising, managing,controlling

Evaluating

Publicising

Why? When? How?

Who? Where?

Pamphlets, information received, witness statements, studies, investigation reports, correspondence,etc

Project description, reports, programs, supporting documents, estimates, etc

Correspondence, contracts,agreements, grants, etc

Circulars, correspondence, internalinformation sheets, pamphlets, posters films, photo displays, pressreleases, interviews, lectures, etc

Petitions, demonstrations, meetings,concerts, sales, subscription appeals,subscription lists, etc

Instructions, notices, correspondence,progress records, summaries, reportsand minutes, press reports, etc

Minutes, enquiries, reports, statistics,final evaluation, technical and financialreports, press reviews, etc

Posters, professional press, pamphlets, films, books, etc

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NAMING A FILE

21 What is a good name?

In order to be able to use and make the mostof a file, you must identify it, that is give it atitle.The title is made up of a heading which indi-cates the purpose of the file, and must alsoinclude dates: the dates when the file wasopened and closed.A good title should be both accurate and intel-ligible. It should relate to the contents of thefile, be understandable by anyone, and not beopen to interpretation.The title of the file should appear on the out-side of the folder which contains it.

22 What process should be followed in fixing on a file title?

Be strict. Ask yourself simple questions. Whatdoes this file say? Why are we talking aboutit? Who has done what, where, and when?Where and at what time did it all take place?What is it?These questions will help you to work out foreach file or sub-file:

Its subject: that is to say the theme or com-mon factor of the documents which make upthe file. For example: • World environment day• International week for the elderly• Children’s rights• Family centre• Management committee

If you think it necessary to give both a princi-pal and a subsidiary subject, your title shouldgo from the general to the particular: • XXX reception centre: carpentry workshopand• XXX reception centre: canteen facilities• Prize for humanitarian reporting:

working party minutes and• Prize for humanitarian reporting: selection of winners.

In the title you should also mention the actionresulting from the existence of the documentsto be found in the file or subfile. Thus for example:• Aid to refugees from XXX: assessment of medical needs• XXX Dairy; standardisation of equipment.Or express the title in the form of an action:• Reconstruction of villages• Construction of a maternity unit• Assessment of the medical needs of refugees from XXXThe important thing is to be consistent in the style you use to name your files.

Type of document: generally speaking, a sta-tement of the type of document which makesup a file both explains its contents and offersextra information about the way in which thesubject is dealt with. Thus:• Sponsorship of cheap canteens; correspon-dence, report from local managers• ‘100,000 trees for the Sahel’ campaign; presscuttings.• Personnel file.• Reconstruction of the water supply in XXX: Invitations to tender, and estimates; • Architectural plans and sketches;• Photographs.

Place and date: as far as possible the sub-ject should be defined by place and date. Thus• Earthquake, El Asnam, Algeria, October 1980• Demonstration against apartheid in SouthAfrica, London, Great Britain, January 1979

Author of the documents: it can sometimesbe useful to include the author of a documentin the file or subfile title where an externalorganization is involved. Thus:• A market research project carried out forthe organisation by XXX

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• A specialist project carried out for the organisation by XXX• An enquiry commissioned by the organization from XXX• A collection of circulars or pamphlets produced by XXX• A photographic report produced for the organization by XXX.

The outside dates of the documents: fromwhen to when? You should note in every fileand subfile title the dates of the oldest and mostrecent documents.Construction of the maternity unit in [village]in [country]: plans and sketches by the archi-tect, [XXX], October 1993- February 1996.

23 What is a reference number?

The reference number identifies a file, and at thesame time simplifies its storage and retrieval.It can be a simple number, one or moredigits (a decimal system), one or more letters(an alphabetical system), or a combination ofthe two (an alphanumerical system). In thefollowing examples, the shelf marks of thesetwo files are MC/1 and MC/2:MC/1 Management committee, 3 December1998.MC/2 Management Committee, 5 December1999.More information about reference numbersystems is given below in response to ques-tion 35 below.

PHYSICAL ARRANGEMENT…

24 Are there immediate precautionary steps to be taken forthe proper physical preservation of the documents?

Yes. You should be aware that modern paperis acid and can destroy itself. Modern inks made

from synthetic substances offer no guaranteeof permanent stability. Use acid-free (ph neu-tral) paper for all important documents, andpen and ink when marking them up. Considerwhether it would be worth keeping a microfi-che or digitised copy of such documents.In addition, when storing documents, do notuse rubber bands (they dry out and break), norpins nor paper clips (they rust and may damagethe document).Use folders, not binders or hanging folders,and make sure that files are preferably pac-ked into standardized boxes.

25 What steps should be taken for the storage of a file?

In your office store files of the same kind inchronological order (minutes, correspondenceseries), alphabetical order (personnel files), orgeographical order (development projects,country by country)Use folders and sub-folders to separate files.Put the summary title on each, and place thefiles in large envelopes or in archive boxes. Giveeach envelope or box a reference number sothat the files can be identified and easily found.Make a list of your current files so that theyare accessible for research. Put the referencenumbers of the files on the list, and keep thelist carefully up to date.

26 What should be checked before a file is closed?

All duplicates and blanks should be removed.Ensure that no important element is missing,and print out important e-mail messages.Check that each document is identifiable, thatis to say that the three questions who? when?and where? can be answered at once. Datephotographs and press cuttings, showing thenewspaper from which they have come.Identify the author of manuscript notes and16

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reports, the people who appear in photo-graphs, the exact place where something hap-pened or a photograph was taken, etc.• Check the order of the file.• Check the title and contents.Complete the file title with the date on whichit was closed.

GOOD PRESERVATION DEPENDS ON DISPOSAL

27 What should be disposed of?

A records system is only effective if it is directlyrelevant to current needs. Disposing of fileswhich are not longer required for immediateorganistional need, for medium-term legislativeor financial reasons, or for archival reasons isas vital as creating them properly in the firstplace.When disposing of records you can do twothings with them: destruction, or, if your NGOdoes not have its own facilities for archival sto-rage, transfer to an archives respository forpermanent preservation for historical and otherresearch purposes.To begin with, destroy only papers which areof no use: duplicates, rough notes and firstdrafts of documents (unless the developmentprocess of a project is of great importance),and the manuscripts of published documents(unless they show a marked difference fromthe final version). Reference information docu-ments which are not needed anymore, recordsto be destroyed according to the recordsretention schedule.You may perhaps have created several copiesof the same file for the use of your partners,and your funding agencies. Keep only the ori-ginal file, and make sure that it is complete.Avoid spreading identical documents aroundyour NGO. Parallel series of files can developin large organisations, and you can see the pre-

servation of the same material in different ser-vices. This material can be made up of docu-ments which relate to the work of other ser-vices or of the NGO as a whole, minutes ofgeneral meetings, memoranda etc. Here againa single complete file is sufficient.Do not keep out-of-date documentation fromother organisations.

28 Are there precautions to be taken before destroying files?

Be careful to retain originals (documents bothsigned and dated) which alone have evidentialvalue. Make quite sure that what you think isa duplicate really is before you throw it away. Find out from the management of the [DAL:‘national or a’] local archive service about thelegal requirements in force for the preser-vation of documents in the country where yourorganisation has its headquarters, and in thosein which it operates. These requirements willrelate for the most part to legal, financial andaccounting records.You should always build in a margin to allowfor the fact that legislation on the period forwhich a document must legally be preservedcan be revised.Be aware of the interests both of your orga-nisiation and of individuals when looking at adocument, keep in mind the need for proof,and ask yourself whether sooner or later itmight have to be brought before a court of law.Regimes change; archives are for ever. In case of destruction of large amounts ofrecords, the action should be authorized bythe management, and a destruction authori-zation should be signed along with the list ofrecords to be destroyed. In case of personaldata special care is needed, and such recordsshould preferably be shredded so that theconfidentiality is ensured.

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This section gives advice on planning a records management system for thelong term.

FINDING OUT WHERE DOCUMENTSCOME FROM

29 How can I find out how files circulate?

Find and preserve all the successive organi-zational charts of the structure of your orga-nisation. On the basis of these charts, set outthe remit of each directorate, service or depart-ment, and its development. In this way youwill be able to work out who has produced andmanaged these files, and who, at any givenmoment, has been responsible for them. Inorder to carry out its work (emergencyresponse on behalf of earthquake victims,school building, etc), an NGO embarks on acertain number of activities. Some of these canbe grouped into broad categories or func-tions, and then handed over to an agency orservice – that is to say to a body made up ofhuman and material resources. In some groupswhere the work is very professionalised, cer-tain functions can be highly developed withinthe association, just as they would be in a busi-ness, and will therefore produce a considera-ble quantity of archive material – legal and liti-gation sections, personnel, accountancy, publicrelations, etc. Remember, however, that struc-ture charts are ephemeral management tools,while the main work of the NGO is continuous.It is important to appreciate the difference. Afunction is an abstract reality but its existence,

and the activities of which it is composed,can be defined by answers to the questionswhy? how? when? Once you have identifiedfunction and activities, you will see how diffe-rent series of records ‘belong’ to an activityand function e.g.

FUNCTION ACTIVITIES RECORDS

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V. THE LONG TERM:LIST AND ORGANISE YOUR FILES

funding teachertraining

Appointing teachers

Buildingschools

•correspondencewith training colleges

•correspondencewith funding bodies

•staff files•Pension files

•plans•Architects’ files

EDUCATION

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30 Can one plan the management of some groups of documents in advance?

The legal framework within which records rela-ting to various functions are created vary fromone country to another, but there are usuallyfixed forms and procedures, so that clearly defi-ned types of documents can usually be foundin the following categories: • Administrative and organisational papers:statutes, minutes and reports from assem-blies, committees, and commissions; cor-respondence, membership lists etc.• Documents connected with international law:extra-territorial status, relations with and controlby UN organisations (PNUD etc.);• Financial documents: gifts, settlements,bequests, expressions of support, grants,gifts in kind etc.;• Accounting records: balance sheets finalaccounts, reports;• Documents relating to property;• Insurance;• Human resources;• Financial control and tax records (dependingon the legal requirements of each country);• Publicity.It is clear just from reading this list that someof these documents clearly have historicalinterest while others could be disposed ofafter a certain time.They can thus be brought into retention anddisposal schedules. Such a schedule inclu-des descriptions of the records to be des-troyed, and information about the lifespan ofeach category. This is a first step towards records manage-ment, a source of economy and efficiency inthe creation, appraisal and preservation ofrecords.

31 What is records management?

The purpose of records management is todefine for each type of function/activity thedocuments which should be created, andwhat they should contain; to say in whatform the documents should be producedand stored; to determine consultation needsand disposal dates in accordance with legaland regulatory requirements; to evaluate therisks arising from the unavailability of docu-mentary evidence; and to investigate impro-vements in cost effectiveness, efficiency,decision making, and in the creation, organi-sation and management of documents.

Records Management is “a field of management responsible for the efficient and systematic control of thecreation, receipt, maintenance, use and disposition of records, including processes for capturing and maintainingevidence of and information about busi-ness activities and transactions in theform of records”. ISO 15489-1:2001.Information and Documentation. Records Management.

ARRANGING RECORDS

32 What is the value of a classification scheme for files?

Even though it may be simple, a classifica-tion scheme for files [DAL: ‘is essential’]. Sucha scheme should give a structure to all yourfiles according to a practical and logical sys-tem. It makes it possible to give each file itsown fixed and permanent place, and this makes

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it easier to go directly to that file. A classifi-cation scheme should make clear the contentsof the files, and the subjects they deal with. Itshould be appropriate to each organisation, andflexible, since the functions and activities ofan organisation can change.

33 How can I draw up a classification scheme?

Find fixed points which will allow you to deter-mine the series or headings for your classifi-cation scheme:• list all activities linked to the legal status ofyour organisation.• list all your management functions.• list all your specific activities along with thepopulations affected by them.Set out all these activities in relation to eachother in the form of a listing or flowchart.The files you have can then be slotted into theappropriate classification. These will be divi-ded into series or headings. Each series canbe divided into subseries or subheadings,which can also be subdivided and so on.

34 Should a classification scheme be the same for electronic as for paper archives?

Yes. In spite of the fact that there are nume-rous ways to access information held elec-tronically, it is important to have an overall planof action, and to set out the same classifica-tion scheme for electronic archives as forpaper archives, following the same procedu-res and the same logic. Make sure that allmicroforms, and audiovisual archives, whe-ther electronic or machine readable, have theirplace in the classification, since their value hasnothing to do with their physical form, but rela-tes to the activities which produced them.Revise the classification, and adjust it as neces-

EXAMPLE OF A CLASSIFICATION SCHEME

A classification scheme for an association providinginternational aid, and based in UK: (first general level)

A Set of foundation documents, statutes, etc

B Set of structure charts

C Files for statutory activities (congresses, general meetings, committees) minutes and resolutions

D Files for the president and general secretariat

E Legal service

F Human resources

G Finance and accounting

H Internal memoranda: house magazine

I Publicity

J Files on international aid programmes

20

sary so as to be sure that every type of docu-ment, regardless of medium, will find its placein it.

35 Why is it important to have a classification scheme common to documents in any medium?

It is common for documents relating to a par-ticular activity to be partly on paper and partlyelectronic. If there is the same classificationscheme for both, it is easier to manage thebusiness in its entirety, establish the links bet-ween the documents, and give the same reten-tion periods to each.

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In each of these series it is important to identify thefiles produced by the NGO.

For example in section I, the way in which the NGOcarries out its programmes, their timing and/or theirgeographical location can produce subseries withinthe classification scheme e.g.

J International aid programmesJ1 Ghana

J1/1 1999J1/2 2000J1/3 2001

orJ2 Gambia

J2/1 Reception centre 1J2/2 Reception centre 2J2/3 Reception centre 3

Files in series or subseries can be arranged in a chro-nological or alphabetical order (programmes arran-ged by year, personnel files), or in a combination ofalphabetical and subject order (geographical orderis a form of subject classification). The statutes ofan organisation for example can be preserved onpaper, in digitised form, or in microform, but allthree media should be placed within section A, Setof foundation documents as the informational contentrefers in each case to that category. (Of course, theywill probably have to be stored separately.

So, literature, information and public relations filescan become specific series, depending on the struc-ture of the association (service with public relationsresponsibilities, press officer), or on where they werekept (existence of a collection of photographs, filmsor posters within the organisation, etc), and may befound in a number of places. They can either be partof files where they have an evidential role (and theyshould be left there; no file should be taken apart inorder to create an artificial collection), or they willbe found with the service responsible for documen-tation and public relations. In the latter case theclassification scheme will be adapted to the func-tions which appear in the organisation chart.

USE REFERENCE NUMBERS TO FIND ONE’S WAY ABOUT

36 What reference numbering system should one use?

There are a variety of schemes that can beused; the most important thing is to use thechosen scheme consistently. An alphanume-rical system (a combination of letters andnumbers) generally offers greatest flexibilityand clarity in reference numbering, and can beused to meet the requirements of NGOs,without any need for them to acquire advan-ced expertise in such systems.For example:The series letter corresponds to the major ele-ments or to the most important subjects withinthe classification scheme: e.g. using the A-Jscheme above we might alternatively devisea classification and numbering scheme suchas:J International aid programmesA number after the letter allows for the settingup of subseries corresponding to particular sub-jects or types of document:J1 Emergency actionsJ2 Development programmesJ3 Child sponsorship

A further number after the letter correspondsto the file:J1/35 Earthquake at XXXJ1/36 Flooding at XXXJ2/1 Construction of a maternity unit in Country AJ3/203 Sponsorship file on Child AB

It is also possible to use the decimal system;it offers ten numbers from 0 to 9, which canbe split into ten groups, divisible in their turninto 10 subgroups. It is a system which hasbeen developed for the subject arrangement

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of printed books in libraries, but it limits to tenthe number of main series within the classifi-cation scheme, amongst which the archivefiles relating to the different activities of theNGO can be distributed. E.g.

Main series can be designated by a roundnumber:100 Administration200 Staff management500 Programmes

Tens and units can be made up to indicate subseries:

510 Emergency programmes520 Development programmes

And so on:511 Emergency programmes in Africa512 Emergency programmes in Asia

These sub-subseries can be divided by the useof a two part reference number:

511-1 Emergency programmes in Saharan Africa511-2 Emergency programmes in Subsaharan Africa.

DESCRIBING FOR EASIER ACCESS

37 How does one find a file in a properly arranged filing system?

Lists of all the files are necessary in order toestablish a connection between the content ofan archive and its practical or scholarly use.Make a complete list of all the files, group themaccording to the classification scheme, set upa manual or electronic catalogue, and keep itup to date. Make sure that all your colleaguesare aware of its existence – and use it!File titles should include the key words of per-sonal names or geographical terms, whichwill enable you to set up a database as partof the process of incorporating files into the

classification system. You can use a thesau-rus based on your work activities for the choiceof key words.If you have had a well arranged records manag-ment systems it should be straightforward tofind records which you have decided shouldbe kept permanently, even if 95% of the restof the fonds has been disposed of. If you haveinherited files that were never part of a sys-tem then you will have to set up a system retro-spectively to deal with these archives. Thereare international archival professional stan-dards which you should be aware of for des-cribing and providing access to archives; theseapply whether records are paper or electro-nic and can be used to facilitate possible infor-mation exchange and the compatibility of infor-mation systems. • The international standard for archival des-cription ISAD/G • The international archival name authoritystandard for corporate bodies, persons andfamilies ISAAR/CPFInformation about these standards can befound at www.ica.org.

38 What use can one make of electronic records management systems?

The purchase of an electronic records mana-gement system enables you to set up an elec-tronic classification scheme, hold recordselectronically, relate those electronic recordsto their paper counterparts, allocate and imple-ment retention and disposal dates automati-cally, implement security measures and so.Organisational and external documents can bedigitized and added to the database. If the sys-tem is web-based it can also allow for globalaccess to an NGO’s records by staff workingaway from the headquarters office. It is essen-tial to prepare and plan the purchase andimplementation of such a system with great22

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consideration, as a good start determines thefinal outcome. Some guidance and specifica-tions can be found at e.g. from the UK Natio-nal Archives at http://www.nationalarchives.gov.uk/

electronicrecords/function.htm

European Community guidelines at http:// www.cornwell.co.uk/moreq.html

US National Archives and Records Administration (NARA) guidelines athttp://www.archives.gov/records_manage-

ment/policy_and_guidance/system_functions_

electronic_recordkeeping_examples.html

39 Are there precautions to be taken in making certain documentsavailable?

Yes. While certain documents produced byan NGO are destined to be made availablewidely and without delay (for example, publi-cations and reports) the availability of othersmay have to be delayed either because theyare initially for internal use only, or becauseof their confidential nature.In particular:• Files containing material which if releasedwould be harmful to the reputation or the pri-vacy of an individual: such as those relatingto periods of imprisonment, or to adoption, orto medical matters where names are mentioned.• Files containing documents which wouldthreaten the safety of individual people - suchas political refugees – if they became known.• Documents relating to the semi-official busi-ness of other organisations, or to relations withgovernments and with other inter- or non-governmental organisations.• The organisation’s personnel files.• Officials’ confidential files.What should be done with them?They should not be destroyed, because theinformation they hold could be valuable in the

future. Care should be taken of them, andaccess rules set up after consultation with aprofessional archivist.Access to sound archives presents its own spe-cific problems. These are linked in particularto the copyright of the interviewer and therights of the interviewee to exercise controlover the use of his reputation and his words.

GOOD MANAGEMENT OF ELECTRONICRECORDS

40 What practical steps should betaken for the arrangement of electronic archives on a computer?

Set up headings and subheadings which cor-respond to the major divisions or subdivisionsof the classification scheme already establis-hed for paper files – and with exactly the samenames. You can use the folder system of a wordprocessing application to mirror the hierar-chical level of your classification scheme. Fixupon a system of naming computer files whichwill be adopted throughout the organisation sothat the file can be located within the frame-work of the classification scheme in the sameway as a reference number locates a paperfile, and save the files under the appropriatesubheading.

41 Which electronic documents should be preserved and which destroyed?

The rules for paper records apply equally toe-records. Computers should be regularlycleared, so that e-mails which do no morethan arrange meetings, or are personal mes-sages, first drafts of documents, and the equi-valent of what would be destroyed if it wereon paper, are removed. If you destroy paperrecords in a certain series according to the

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instructions in the retention schedule, youshould make sure that e-records are deletedfrom computers too.

42 Should documents that existin hard copy be preserved in electronic form?

This depends on the research and informationneeds of the NGO and its members. While forergonomic reasons some people prefer towork on paper documents, it is often usefulto keep an electronic version of it for referencepurposes.

43 What particular precautions must be taken to ensure the survival of electronic documents?

Electronic documents need to be protectedagainst accidents, hacking, viruses, and tech-nical or user error. A password should beused to limit access to specific users. Docu-ments should be saved regularly, and antivi-rus systems kept up to date. Security copiesshould be made on tape, video or CD or othermedia, and stored in off-site secure premi-ses. Note, however, that these copies areonly meant for back-up purposes. This meansthat the long-term preservation issues must beaddressed separately; the NGO should producea disaster plan or business contingency planwhich addresses the electronic records expli-citly.

44 What happens when there is a change of system or hardware within an organisation?

It is important to know which documents areto be preserved permanently, and to be surethat the new system can read or convert theorganisation’s electronic archives whether they

are on disk, tape or CD. All e-mails and com-puter files need to be converted to the newsystem, and if that is not possible, then theyshould be printed out and/or preserved in anASCII file.

45 When should electronic archives be printed out?

In all cases when one cannot be sure of down-loading them successfully onto a new sys-tem.Furthermore, in some countries certain docu-ments have to be preserved on paper for legalreasons. It is important to be aware of the legis-lation in force when management of electro-nic records is being set up.

46 Where can one find out more about the management of electronic archives?

The following websites which can be consul-ted. Remember that you can always contactyour country’s National Archives or, if it does-n’t exist, the ICA, because the same principlesapply to public as to private archives as faras the preservation of electronic archives isconcerned.

The Archives of Ontario (Canada)http://www.archives.gov.on.ca/english/rimdocs/

index.html

National Library of Australia – Preserving Accessto Digital Informationhttp://www.nla.gov.au/padi/index.html

UK National Archives: http://www.nationalarchives.gov.uk/

electronicrecords/advice/

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THE IMPORTANCE OF THE PRESERVATION OF ELECTRONIC DOCUMENTS

In view of the importance our society places on infor-mation technology and on telecommunications, pre-servation of electronically created documents will beone of the great challenges of the twenty first cen-tury. In practice, the speed of technological changemeans that even in the short term we are no longersure of being able to read the electronic documentscreated even a few years ago. Three ways out of thisdifficulty have been suggested:Migration: updating old computer files by transfer-ring them to more recent systems. The problemhere is that each computer file needs to be dealt withseparately. Emulation: simulating the performance of an oldercomputer on a more recent one by allowing theolder system to be used to read the older files. Thedrawback is that it is only a simulation, and there isa constant need for updating and adaptation to newplatforms.Encapsulation is a method still at the developmentstage. It consists of recording not only the data ona file but also the information which describes theirorganisation – the digitised object and the instruc-tions for its use. Its complexity is the weakness ofthis solution.But what can the ordinary user do? In the first place,you should use current file formats, readable byseveral different systems on several platforms. Sofor textual documents you could use RTF (Rich TextFormat (though there may be odd format changeswhen you transfer a file from one word processingsystem to another). The commonest format on theinternet, and which seems in practice to have becomestandard, is PDF (Portable Document Format) basedon the PostScript language.But do not forget that preservation is also importantfor hardware – disks, removable hard disks, CDROMsetc. While these items may function well in the short

term, what will happen in ten years’ time, and evenmore in a century? Digital media (CD, DVD) seem tobe relatively the most effective. If you still have tokeep disks, you should consider reactivating themregularly simply by putting them in a reader and run-ning them through.

RETRIEVING LOST MEMORY

47 How can gaps in the archive be filled?

Emergency operations in a local situationdemanding instant action may produce only afragmentary record. Many initiatives underta-ken in emergency circumstances may leaveno trace in the files. Here’s some advice forthis situation: Bring together any scattered written records.Try to obtain statements from former membersof the organisation which will help to recons-truct the outline of its history, and record thechronology, the development and the signifi-cant events in its past.Seek out sources in the press and the media,and in public archives or those of other orga-nisations. With this in mind you should consi-der gathering and preserving newspaper arti-cles about your NGO. They are importantbecause, in the absence of any other record,they preserve the history of minor events.They also provide a view of press relations andof journalistic opinion of the NGO, as well asreflecting its image and the development ofthat image in the media.As for documents which your NGO receivedfrom other organisations (reviews, invitationsto demonstrations etc), they should not neces-sarily be excluded. They are, after all, an indi-cation of networking and contacts at a parti-cular moment.

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Find and investigate places which might holddocuments of interest to the NGO. Collectionsof documents (films, posters, photographsetc) and documentation files have often beenset up in organisations which specialise insuch things (libraries, documentation andmedia centres etc) and should not be over-looked either as additional sources of infor-mation.

48 What support could I get from former staff?

Former staff can place documents in time andcontext, by recalling how, where, at what dateand in what circumstances they were created.They can identify individual or locations on aswell as the date or place at which they weretaken.

49 What might be the importance of personal papers for an NGO?

Documents belonging to a private individual canbe a mine of information, sometimes unavai-lable elsewhere, on the activities of the NGO.These include correspondence between mem-bers, personal notes of meetings, private dia-ries giving a record of daily events and accountsof meetings and of programmes in which thewriter has been involved, and appointmentdiaries which contain private observations, orindicate a network of personal relations. In addi-tion the correspondence of chairmen, com-mittee or commission members, or volun-teers, the documentation about the preparationfor programmes or projects, and the leafletsor posters from the early years of the NGO haveoften disappeared or have remained in pri-vate hands. Former staff or volunteers of anNGO often feel the urge to write their own his-tory and make use of these documents. Eventhough they may not wish to relinquish their

archives, it is important that the owners makeknown the existence of these documents, andallow them to be copied for the NGO, as wellas taking steps to ensure that they survive aftertheir owner’s death.

50 Can a volunteer programme for the collection of oral history go some way towards making up for the absence of original documents?

Yes, but the work is difficult, and requires asocial science researcher who is a specialistin sociological and ethnographical field work.It would be this person’s task to establish inadvance a set of questions, and a model iden-tification sheet, carrying the fixed objective infor-mation which would be necessary for the iden-tification, processing and use of eachconversation: date, place, name of interviewee,biographical and career information, currentemployment, subjects to be discussed, nameand position of the interviewer etc. There is a real need to build multidisciplinarypartnerships to carry out this work success-fully.

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51 What kind of building is suitable?

To begin with, the preservation of records andarchives is the responsibility of the organisa-tion as a whole rather than of the individualswho manage them. The place for the recordsis not, therefore, those people’s homes. The building chosen should not just be a dumpfor stocks of unused documentation, or formaterial which is otherwise useless or cum-bersome.It should not be open to everyone. It shouldnot be possible for anyone to come and storetheir own files as they wish, and then to comeback and retrieve those they want in an unre-gulated way. Archives, those records selec-ted for permanent preservation, require ahigher standard of care than records which havea short life span.It should be cleaned regularly.Its temperature should be maintained at aconstant level and checked with a thermo-meter and hygrometer. Most archives shouldbe stored at a temperature of not more than18° C, and at a humidity of less than 60%.

52 What are the ‘enemies’ of archives?

They are numerous and you should be awareof them, assess the risk and the consequen-ces they present, since dust, water and humi-dity, fire, sunlight, moonlight and artificial light,rodents, flying and crawling insects, mould, andeven ill-disposed or careless human beingspose a threat .

53 What precautions should I take?

There are means of protection from each risk.Try to take as many preventative measures aspossible:

Pack your files properly:For archives use acid free folders andboxes. For records which are being storedprior to destruction use strong standardsize boxes.Do not fold newspapers and posters; if possible store them flat and unfolded.Store sound archives vertically and awayfrom any magnetic field.Do not use plastic file covers, or materialswhich can degrade or rust, such as staplesor metal film boxes.Do not use elastic bands which dry out andbreak, or pins and paperclips which rust.

Protect files against water and humiditywhich can cause mould:Store files at least 15cms above the floor,in order to protect them from flooding.Check humidity levels regularly.Note that water pipes should never passabove archive shelving.Check that the roof is sound.

Protect files against fungus:Dust files regularly.Make sure that cupboards and shelving are off the floor.Use cupboards and containers with bases.

Protect them against fire:Be aware of fire protection standards in force in the country where the archivesare held.Keep away from flammable materials.Check the electricity systems of the building.Provide manual, powder or CO2 fire extin-guishers.No smoking in the building.

VI. A PLACE FOR THE RECORDS

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Protect files against natural and artificial light which damages paperand discolours inks:Provide blinds, shutters or thick curtains for the windows.Use only low lighting in the building.

Protect files against rodents (mice, rats, fieldmice):Treat wooden surfaces.Make sure there is a regular rat killing programme.Block up all holes.Make sure that external conduits are watertight.

Protect files against flying insects …Cover the windows with fine netting.

… and against crawling insects (termites, cockroaches):Allow minimal natural light.Keep the building well ventilated.In countries where termites are a problem,remember that basements are the worstpossible places for storing archives. Termites do not like daylight.

Protect files against theft:Provide keys or padlocks for the outsidedoor of the building; lock it.Let only the one or two people who areresponsible for the building have access to the key.Stamp every paper if possible; if not,then every paper considered sensitive or essential for the organisation (an inkedstamp showing the logo of the organisationis enough).Set up a supervised and dedicated consultation area.

Protect files against loss or disorder:Never lend originals outside the organiza-tion. Make photocopies.If compelled to do so, make two copiesof a precise list of the documents lent andthe date for their return, and get it signedby the borrower. Remember to put a slipinto the file in the place of the documentwhich has been withdrawn.

54 What particular precautions are needed in dealing with sound archives?

Be careful to provide a reference copy, knownas a master, of the original so as to ensureits survival.Make consultation copies to a convenient andeconomical standard. For example for an ana-logue audiovisual recording, the master mightbe betacam, and the reference copy VHS.Since the arrival of digitization, the choice ismore and more between CD and DVD whosedurability is improving all the time.Avoid proximity to a magnetic field.

55 How should files be stored?

Once the folders and the boxes which hold themhave been given an identifying reference num-ber so that they can easily be found, you havea choice as to how you arrange them.

By series:The physical arrangement of the files reflectsthe classification scheme of the archives. Thismethod demands an elaborate reference num-bering system. It has the additional drawbackthat gaps need to be left to accommodatefuture intakes of documents. It is always dif-ficult to foresee how large these will be, andyou could be forced to move or reshelve quan-tities of boxes.28

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or by order of arrival:That is to say by the order in which the boxesarrive. This system is very economical in termsof space if you have a lot of files to manage.Each box is given a simple number in theorder of its arrival. It then becomes essentialto keep an up to date concordance, eithermanual or electronic, to enable you to find thefiles, because the intellectual order given themby the classification scheme no longer cor-responds to their order on the shelf. You canalso make a plan of the location of the fileswithin.

56 And in dealing with electronic archives?

They also need to be stored in the dark, awayfrom any magnetic field, and the media shouldbe packaged in appropriate boxes so as toavoid any deformation or loss of content. Establish a timetable for regular testing of rea-dability.

57 What should be done if a document is torn, damp or stained?

Do not use sellotape to repair a torn document.For small tears one can use adhesive Japanesepaper.Never dampen paper: remove dust only witha rubber or a brush.Dry a document accidentally dampened bet-ween two sheets of blotting paper; changethem as soon as they have absorbed a cer-tain quantity of moisture.

58 What should be done about the cost of good archive management?

Well run archives save time and increase effi-ciency… but demand investment in personnel and equipment, as well as a building. Conse-quently you need a budget.It is always possible to place semi-currentrecords with a commercial storage company.Archival records can be placed in the custodyof an agency (state or specialist archives repo-sitory) which specialises in the care of archi-ves. You can make this an element in a cultu-ral programme to raise awareness of thehistory of your organisation.It is for you to decide on an appropriate solu-tion for both your working records and thoseof historical value.

59 Where can one get specialist equipment?

Ask advice from an archive service or pro-fessional archival association in your own country.

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60 Where can I get help?

NGOs can help you with advice and partnership,and so can public archive services and pro-fessional archival associations.

The International Council on Archives

60 rue des Francs-Bourgeois 75003 Paris, FranceEmail address : ica@ica.orgWebsite : http://www.ica.org/

This is a non-governmental organisation crea-ted in 1948 under the auspices of UNESCO.It works to preserve and promote the archivalheritage of the world by means of internatio-nal co-operation amongst archive services. Itbrings together professional archivists, theirassociations, and archival institutions whichshare their knowledge skill and experience. Training seminars, workshops, meetings ofbranches and sections, including that for inter-national associations, like the four-yearlycongresses, are held regularly in all parts ofthe world and are open to anyone. In commonwith archival institutions and associations throu-ghout the world, the ICA promotes informationexchange and research for, and use of, gui-delines and standards in all aspects of the archi-vist’s