Contents
Main Things to Remember about Access to Records in the UN Archives
Access to Records transferred to the UN Archives by UN Offices
Access to Records Containing Personal Information
Security of Records in Active and Semi-active Storage
Other Related Toolkit Sections
Main Things to Remember about Access to Records in the UN Archives- Records and archives are intended to be used by UN staff and by UN stakeholders.
- ARMS is responsible for maintaining UN records and archives to ensure that staff have access to records they need to support their work and UN stakeholders have access to records to ensure accountability and transparency.
- Following the procedures outlined in this section ensures UN records are available, as appropriate, yet protected from damage and loss.
- Classified records must remain closed or be declassified as appropriate in accordance with the judgement of creating departments.
In keeping with the Records Life Cycle (see Section 2 Recordkeeping in the UN), over time the value of a record changes. During the course of its active life it may be referred to frequently to inform new business activities. When a record moves to its semi-active/inactive phase it may be transferred to ARMS in New York to the Interim Archive, or once it has reached the end of its life in the mission, to the UN Archive (permanent archive).
Records transferred to either the interim or permanent archives may still be of use to the organisation and be referred back to. The UN Archive is also open to the public as well as UN staff so that the historical records of the organisation are available for all. Some material held in the interim and permanent archives is sensitive and can not be disclosed. ARMS have in place policies and procedures to protect such information. Field missions have a part to play in protecting sensitive information too, by using the Security Classifications to indicate when a record is sensitive, and by developing internal controls before records are transferred to ARMS (see Section 6 Managing Sensitive Information).
Generally speaking, the records which you are most likely to need access to are the ones which you, or your immediate colleagues, transferred to ARMS in the first place. On occasion you may need to access records which were created by another office, mission or department. According to ST/SGB/2007/5 Recordkeeping and the management of the United Nations archives
, UN Secretariat staff members may have access to archives and records necessary to the conduct of their official business, except to those subject to restrictions imposed by the Secretary-General. Those restrictions, and how to change them if necessary, are dealt with below (Record Security Classification and Restrictions).
If you need access to a record which you have already transferred to ARMS you can make an retrieval request by completing form RMS 51 Request for Records and sending it to ARMS:
Email: arms@un.org
HQ Fax: +1 212 963 8686
Records Centre Fax: + 1 963-8686
Form RMS 51 Request for Records provides ARMS with all the information needed to identify and retrieve the relevant records. The details you must fill in are in the information box below.
All the necessary record/file information will be on your copy of the RMS 33 accession control form which ARMS sent when you originally transferred the records. Whilst ARMS will be able to find your records without it, provision of this information speeds up retrieval considerably, so it is important to manage your office's accession control forms in a dedicated file.
Requests should be made as early as possible during the day to provide the Archives and Records Centre Reference Desk enough time to process your request. If it is found, the record is dispatched by the most efficient method on the same day your request is received. A request requiring a complicated search takes longer to process.
| Information Box
Details Required to Fill in Form RMS 51 Request for Records
• Requestor's name • Requestor's room • Requestor's telephone number • Date of request • Accession number of records requested • File or record title/name/number • File or record date • File or record storage location • File or record box number |
How Records are Delivered and Returned
For records requested by field missions, suitable arrangements will be made at the time of the request between ARMS and the mission to arrange delivery. At Headquarters, records are usually returned to offices in inter-office mail envelopes you should return them the same way. Pick-up and delivery of inter-office mail between the Archives and Records Centre and the Headquarters complex occurs once daily in the morning. When a box is requested in its entirety, Messenger Unit procedures are followed. You can generally have a maximum of six boxes at one time. ARMS can make special arrangements for the delivery of urgently needed records in exceptional circumstances.
Records will be loaned to you for one month, unless you notify the ARMS Reference Desk that you need an extension. The ARMS Reference Desk will send you a notice if your loan is overdue.
If you need to retain these records for active use, you can request the Reference Desk to reactivate them. Official custody of the records will be transferred back to your office, and ARMS' accession documentation will note the change in status.
Access to Records and Archives by External Parties
| Information Box
Members of the public may have access to (i) archives and records that were accessible at the time of their creation, (ii) those which are more than 20 years old and not subject to restrictions imposed by the Secretary-General, and (iii) those which are less than 20 years old and not subject to restrictions imposed by the Secretary-General, on condition that the originating office has given written consent for access. ST/SGB/2007/5 Recordkeeping and the management of the United Nations archives
|
The UN has a wide constituency of stakeholders, and one of the reasons it maintains archives is to ensure that the records which provide first hand evidence of its work and decisions will be available to stakeholders as soon as it is safe to allow them access. By promoting access to its records and archives, the UN fulfils its commitment to transparency and accountability.
ST/SGB/2007/5 (Recordkeeping and the management of the United Nations archives ) authorises access to all UN archives which are more than 20 years old provided the Secretary-General has not made them subject to any restrictions. Similarly any records less than 20 years old are also available unless they are subject to such restrictions and provided that the originating office has given consent. Archives and records that were accessible to the public at the time of creation remain available to external researchers. R ecords that remain restricted when transferred to ARMS are automatically declassified or are subjected to a declassification review when 20 years old. Those remaining restricted after 20 years have further declassification reviews at 5-yearly intervals. Record Security Classification and Restrictions is dealt with below.
The UN Archives spans over 100 years and constitutes a rich resource for the study of the history of the United Nations and international peacekeeping. The Archives includes the records of significant agencies that preceded the United Nations, including those of the United Nations Relief and Rehabilitation Administration. The archives are comprised of, inter alia, paper files, photographs, posters, maps, drawings, films, microfilm, sound recordings and databases.
There are five main categories of holdings:
-
Predecessor agencies (e.g. the International Penal and Penitentiary Commission, the United Nations Information Organization, the United Nations War Crimes Commission, the United Nations Relief and Rehabilitation Administration, the United Nations Conference on International Organization, the United Nations Preparatory Commission)
-
United Nations Secretariat (registry files and non-registry files according to the departmental organization of the Secretariat including the Office of the Secretary-General, Office of Legal Affairs, Department of Economic and Social Affairs, Department of Public Information, , Department of Political Affairs etc)
-
United Nations Missions (including the archives of the United Nations Emergency Force, the United Nations Organization in the Congo, and other missions and commissions established by the General Assembly, the Security Council, the Trusteeship Council or the Secretary-General covering the areas of Africa, the Americas, Asia and the Pacific, Europe and the Middle East)
-
United Nations Related Organs and Agencies (including the United Nations Children's Fund, the United Nations Development Programme, the International Refugee Organization, and the United Nations Korean Reconstruction Agency)
-
Historic Items and Gift Collection (items of historic significance originating from the work of the United Nations or accepted on behalf of the United Nations)
Each year UN ARMS receives more than 1000 requests to consult the UN Archives for a variety of reasons. They include academics, genealogists, historians, journalists, students, professional historians and lawyers.
The UN Archives, in common with the archives of other international organisations, national governments and many different kinds of businesses and organisations, offers reference services to external researchers. As already indicated, external researchers may be given access to any records or archives which were accessible at the time of creation as well as to most archives that are more than 20 years old. Records less than 20 years old which were not publicly accessible at creation may only be made available to external researchers if permission is given by the creating office. Some records and archives even those more than 20 years old are subject to special restrictions and therefore must be declassified before they can be made available to external researchers.
ARMS has a set of procedures and conditions for operating its reference services. These ensure that access is given on a fair and equal basis, that archives are secure and not at risk at any time whilst they are being accessed by the public and that reasonable help and assistance is provided by ARMS staff. To access the UN Archives, researchers must pre-register and make an appointment. They must view the archives in the Research Room. ARMS' services for the public also include copying records for a set fee.
In addition to these reference services, with effect from July 2006, external researchers and the general public will be able to consult information about and examine digital copies of key collections such as papers of the former Secretaries-General.
Record Security Classification and Restrictions
The UN's information and record resources contain a proportion of data which is sensitive and which should not be disclosed without appropriate authorisation. Sensitive data may be found in:
• records relating to negotiations, relationships and stakeholder organisations
• records containing personal data about individuals
• records containing commercially sensitive data about or from UN contractors and business partners
If this kind of information is revealed it could jeopardise the UN's mission, risk harm to UN personnel or damage the UN's reputation. UN staff need to identify and protect, through classification, sensitive information, both paper and electronic, for as long as required while supporting open and transparent access to the organisation's business records. All mission staff should be familiar with the ARMS' Guideline on Information Sensitivity, Classification and Handling
which at present (June 2006) is under interdepartmental review as proposed policy. For more details on security classifications and sensitivity markers consult the Managing Sensitive Information section of this Toolkit.
In consultation with business units, the mission records management officer will develop procedures for assessing sensitive records to determine their security classification. Staff must mark classified records clearly, either physically on the document(s)/file(s) or electronically (if you have an ARMS-approved electronic records management systems) in the relevant field. This warns and informs colleagues with access rights of the degree of protection required. It also conveys the level of classification assigned, the portions that contain sensitive information, the period of time protection is required, and any other notations required for the protection of the information.
The mission records management officer will ensure that procedures include guidelines for the storage, reproduction, disposition, retention and declassification of sensitive information. DPKO CITS has developed guidelines, SOPs, and policies relating to appropriate handling and transmission of UN information. Authorized users of this Toolkit can access the information on the DPKO HQ Intranet Best Practices Guidance on Information and Communication Issues . The handling and process procedures require clear delegation of authority, roles, and responsibilities to assure control and accountability.
Dissemination and disclosure procedures shall ensure that sensitive information is disclosed only to authorized persons and those with a need-to-know. Need-to-know is determined by the person processing the sensitive information that a prospective recipient has a requirement for access to, knowledge or possession of the sensitive information to support their work.
Whilst there is no public right of access to United Nations records that are less than 20 years old, departments are encouraged to grant access to them to support open and transparent access to business records. In such cases due consideration must be given to information sensitivity issues that may exist in more recent records. Requests for records access and/or declassification must be made in writing to the originating department or to the Chief, Archives and Records Management Section. Departments should designate staff responsible for investigating and authorising or refusing requests for records access and declassification. The DPKO Standard Operating Procedure Records Access and Declassification (October 2005) a good model to follow stipulates that the Under Secretary-General must appoint Departmental records focal points who are responsible for:
• assessing requests for records access and declassification
• examining records to ensure sensitive information is protected
• making recommendations to grant or not to grant records access and declassification
• liaising with ARMS and other Secretariat offices about records access and declassification matters
Use the checklist and table at the end of this section to assess the sensitivity of your information and to determine access and declassification decisions.
Once the declassification decision has been made it is important to document it. You must also make a notation (either on the file or, if it is an electronic record, in the document's properties) to clearly indicate the new classification status. Remember to amend any forms, lists or databases you keep on records in semi-active storage.
| Information Box
Declassification Process for Records that are Strictly Confidential
• ARMS coordinates requests for declassification and supplies copies of records or information about the records to the department • The departmental representative responsible for records decides whether to recommend declassification based on the current level of sensitivity of the information in the records assessed according to the information sensitivity checklist • When the departmental representative has made a recommendation the department's Front Office will send the declassification request to the Front Offices of other departments and offices with an interest in the records • The Executive Office of the Secretary-General has the final sign off for records declassification cases |
Access to Records Containing Personal Information
The right of an individual to privacy and to knowledge about and control of their own personal data has become a right which is law in most parts of the world. The UN has an obligation to respect and protect privacy rights of individuals. Departments must give written permission to allow access to records containing Private or Personal information. The Toolkit section Destroying Records has more information on managing records containing personal data and sensitive information.
Whilst records remain in your custody, you are responsible for ensuring that access to confidential files is restricted to authorized officials. They should be stored in a secure location, and a minimum number of authorized staff should have the required keys and/or access rights. Your recordkeeping procedures should include written instructions on security measures and access to the files during both working and non-working hours.
|
ώ
Checklist: Assessment of Information Sensitivity
Does this information pertain to the safety and security of staff and facilities? Does this information have the potential to risk or endanger a third party? Does this information pertain to international security or the conduct of international relations? Does this information contain privileged political, social or economic data? Does this information pertain to the integrity of mission operations? Does this information pertain to the business processes of the organization? Does this information pertain to the privacy of staff members and associates? Information which pertains to criticality and requires immediate availability. |
| Table: Records Access and Declassification Determinations | |||
Record type |
Access / Declassification |
Office / responsible |
Remarks |
Records of any age that are in the public domain |
Access available to all |
n/a |
Includes publications, press releases, most official documents |
Records of any age containing Private or Personal information |
Access requires written permission from Department |
Originating department and others |
Depending on the nature of the information, other offices may need to be involved. |
Records less than 20 years old and not Strictly Confidential |
Department must make an access determination |
Originating department |
Refer to information sensitivity checklist |
Records less than 20 years old that are Strictly Confidential
|
Department can grant general read only access but the records must be declassified before copying or note taking is allowed |
Department for general access Department + other departments/offices for declassification |
Refer to declassification process for records that are Strictly Confidential |
Records more than 20 years old that are not Strictly Confidential or Private |
Access available to all |
Archives and Records Management Section |
Public right of access to UN records over 20 years old not classified as Strictly Confidential or equivalent |
Records more than 20 years old that are Strictly Confidential |
Department can grant general read only access but the records must be declassified before copying or note taking is allowed |
Department for general access Department + other departments/offices for declassification |
Refer to declassification process for records that are Strictly Confidential |
- Section 4 Recordkeeping in the UN
- Section 5 Records Creation and Capture
- Section 12 - Managing Records in a Mission Records Storage Facility
- Section 17 - Destroying Records
- Guideline on Information Sensitivity, Classification, and Handling (ARMS, 2006)
- Records Access and Declassification (DPKO Standard Operating Procedure, October 2005)
- Recordkeeping and the management of the United Nations archives (ST/SGB/2007/5)
- RMS 33 accession control form
- RMS 51 Request for Records
Archives: records that are appraised to have archival value and the place where items of archival value are stored.
Those records which have been selected for permanent preservation because of their administrative, legal, historical or informational value as evidence of official UN business. They are a small subset of the UN's records.