OIOS/CMIU
19 January 1999

Excerpt from Draft OIOS Report including comments by Co-Chairs of WGARM: 03 Feb 1999 
G.  Archives and Records Management

71 	Archives and Records Management are responsible for establishing policies and procedures for records and management, both in hard copy and electronic, throughout the Secretariat. These records include those of the Headquarters Secretariat and its predecessor bodies, the archives of units away from Headquarters, and those of subsidiary organisations, such as UNHCR, UNICEF, UNCTAD, etc. of the United Nations.  Examination of the scope of common services provided in this area demonstrated that there is a potential to expand these services to other duty stations and organisations which could result in savings and improve the delivery of mandated activities, but that these possibilities remain largely unexplored.

72 		Currently the following services are provided as common services in New York: a) storage of open-based paper-based archival records in New York for UNICEF and UNFPA (but not for their administrative temporary records).  The United Nations Park Avenue facility is reimbursed proportionally for the space; and b) sharing of technical and professional research.  The New York area staff responsible for these matters meet on issues of mutual importance such as market research, procurement for off-the shelve management software, developing and renewing requirements, etc. Cooperation between UN/ARM (United Nations Archives and Records Management) and WG/ARM projects led to a Statement of Work for a Strategic Plan for a United Nations Digital Archive. 

73 		[Comment: OIOS first sentence, para. 73 does not fit here and should follow the chart below.  The first sentence should read instead as follows.]  Outsourcing arrangements of several WGARM participants in New York are reflected in seven of nineteen functions/services identified on the matrix below.   The level of service and adequacy of implementation for each function may vary considerably from one organisation to another even if both indicate that the function is provided by marking an X.  This list requires further refinement in order to make valid comparisons.

(Comment: we have restored the matrix in its entirety of 19 functions. The entire annex is also in attached as ram99042.wpd.)

FUNCTION/SERVICE	
UN	
UNOPS	
UNDP	
UNICEF	
UNFPA	

1.   Records storage - archival,       permanent, including highly sensitive	
X	
X
Outsourced	
Outsourced	
X
UNARCH	
UN	

2.   Records storage - administrative,   temporary	
X and 
Outsourced	
X
Outsourced	
Outsourced	
X	
Outsourced	

3.   Retrieval - internal
	
X	
X
Outsourced	
	
X	

4.   Research - external
	
X	

N/A	
X	

5.   Appraisal/retention scheduling
	
X	
X	
X and outsourced	
X	
X	

6.   Establishing/revising recordkeeping policies for departments/offices	
X	
X	
X	
X	
X	

7.   Setting rules for public access to records	
X	
	
       X	
X
UN LEAD	
X	

8.   Setting rules for declassification of records	
X	
	
       X	
X 
UN LEAD	
X	

9.   Promulgating information security standards and procedures	
X	

X
UN LEAD	

10. Providing archives management software	
X	
	
Outsourced	
X	

11. Recommending and operating records management software	
X	
X	
Outsourced	
X	

12. Providing records management for electronic records	
X	
X	
	
X	

13. Training for staff in records management	
	
X	
X	
X	
X	

14. Archival processing and description
	
X and
Outsourced	
	
Outsourced	
X 
series edit
user entry	
X	

15. Exploring/using alternate storage media (optical, microfilm, digitization)	
X
Microfilm	
	
X	
X
Fiche for E/ICEF
CF/EXD
AI	

16. Providing central digital archives services	

	
Planning
1998-99	

17. Document Series Register (parliamentary, policy and procedure issuances, instructions, manuals)	
DHL and ODS	
	
X	
X	
X	

18. Thesaurus and vocabulary control
	
DHL	

X
LIB	

19.  Global Classification Guide

X	
X	
X	

This matrix shows that, in New York, UNOPS and UNDP outsource storage of their records including highly sensitive ones.  In addition, UNDP outsources records retrieval. Both these organisations consider that outsourcing the management of archives and records meets their needs and has proven to be cost-effective. 
 [Comment: In connexion with its relocation in July 2000, UN/ARMS requested OLA (in October 1998, pending) to rule on the legality of off-site contractual storage and consortium arrangements.   Should OLA approve some level of risk-controlled outsourcing, UN/ARMS and involved WGARM members have identified valuable, sensitive or frequently-used Acore@ holdings for on-site (or proximate) storage.  Correctly described and appraised non-sensitive and infrequently-used ephemeral records, or Anon-core@ holdings would be considered for possible deposit in a commercial storage facility or in a common service, minimally secure and self-managed records facility.  In all instances, arrangements would be governed by time-bound, cost-sharing service agreements between agencies or service providers.  It should be noted that UNDP and UNOPS relied solely on UN procurement and contractual protocols to justify their outsourcing arrangements.  

Further, UN/ARMS conducted an internal cost-benefit analysis of off-site storage in 1997 which concluded that off-site commercial storage is generally more cost-effective than on-site (or proximate) storage.  A number of exceptions noted in the analysis have not been fully addressed by UNDP and UNOPS arrangements.  Some records, because of value, sensitivity or frequency of use, require on-site storage in UN (or proximate) premises for reasons of information security and/or efficiency.  Furthermore, the small percentage  (c. 5 percent) of records with long-term continuing value requires their appraisal, creation of retention schedules and implementation of authorised destructions.  Wholesale commitment of unappraised records - many of them disposable - to commercial storage is not cost effective.  ]  

74 		The forthcoming expiration of the lease on the United Nations archives and records facility provides an opportunity to consolidate the management of archives and records and make a thorough cost-benefit analysis of storage methods. Increased delegation of authority to appropriately trained managers by the Secretary-General regarding storage and disposal of their records and archives could be a means of ensuring that they assume responsibility for their own improved efficiency and effectiveness and encourage them to participate in an assessment of the economies of scale that might be realised through a shared agreement among all organisations. Because of other pressures on line managers, this delegation of additional responsibility would require periodic monitoring and/or certification by appropriate archives and record management authorities to assure practices leading to trustworthy recordkeeping and complete archives. 

75 		In its report, the Working Group on Archives and Records Management makes three major recommendations: the establishment of a Coordinating Committee on Archives and Records Management (ARM) to coordinate expertise and to establish standards and policies related to archives and records, and to coordinate with offices away from Headquarters [Comment: As noted below, one recommendation - the Coordinating Committee - is on hold and has been replaced by another; namely, the harmonisation of archives and records policies and procedures for distribution by means of an electronic clearinghouse or bulletin board on the Intranet/Extranet];  the development of an Archives Research Centre as a common service intended to reduce costs, improve protection and accessibility of archives and records and study storage alternatives; and the development of a common strategy for long-term protection and accessibility of electronic records, including digital archives. At the time of the inspection, the Coordinating Committee for ARM was on Ahold@ as per an agreement with the Executive Coordinator for Common Services.

76 		The main constraints identified for the implementation of the Working Group=s plan are: inadequate financial and staffing resources; lack of official commitment of participating agencies to project proposals; unavailability of a site for a Common Archives Research Centre. The proposed establishment of a joint partnership with a non United Nations third party to assist in outsourcing commercial storage of non-core records has been referred to the Office of Legal Affairs for policy ruling in view of the need to keep the inviolability of certain United Nations documents. [Comment: This question has only arisen, so far, within the context of international organizations in Geneva.]

77 		At Geneva and Vienna, every organisation keeps and stores its own records.  There is no common system. Moreover, heads of organisations and their governing bodies feel the need to keep sovereignty over their documentation.  However, it is recognized that economies of scale could be realised through a shared agreement between United Nations organisations in respect of administration and storage of records.

78 		Policies on access and preservation of documents are available system-wide; areas addressed include: rules for public access to United Nations records and archives; access and declassification of security classified records; identification or archival records and authorization for destruction of records. However, their implementation is fragmented and inconsistent in the United Nations system, and specialised agencies have their own set of procedural rules relating to archives and records management functions in their organisations.
79	 	The cooperation of Managers and/or the Executive Bodies of other organisations in the United Nations to expand common services in the area of archives and records management is essential.

Recommendation 8    DM (OCSS) should:
a)	immediately review the proposals [Comment: amended in para. G. 75] of the New York Coordinating Committee of Archives and Management Working Group on Archives and Records Management (WGARM) and use them as a framework for the efficient implementation of new archival systems in all the duty stations; inform/consult with UNOG and UNOV regarding those proposals and their objectives, in order that a cohesive policy may be established.
[Comment: The proposal relating to harmonisation of policies and procedures and their electronic dissemination will serve as a medium for distributing existing policies and procedures and those developed in the course of  pursuing the other two proposals: a Common Services Archives and Research Centre and preservation of electronic records, including establishment of digital archives.]
[Caveats: 
-Local real estate market and UN budgetary conditions will affect the establishment of an Archives and Research Centre in New York, or in any other site. 

-Dissemination of information is of limited use unless recipients are professionally competent to understand and apply policies and procedures distributed.  While electronic exchange mechanisms, i.e. website(s) are under development, UNOG and UNOV should arrange for the survey of their current records preservation and staffing practices and, based on the results, arrange for the population of relevant offices with experienced information professionals.  This is particularly important because of the restriction of UN/ARMS and WGARM activities to advisory services, given current financial and human resources constraints.  The alliance between WGARM and UNOG=s new Archives Committee is a good step in this direction.]

b)	ensure that directives and information on electronic storage and retrieval of records, as well as system up-grade, is current and uniformly effected throughout the United Nations System.
[Comment:
-What is the meaning of Asystem-upgrade?
-Directives and information cannot be uniformly effected throughout the UN System until they have been developed. UN/ARMS has experienced a number of difficulties in exporting its UN standard recordkeeping software (TRIM) to high-profile UN Secretariat offices to assure  integrated electronic  and paper-based records management and development of a trustworthy recordkeeping system.   Varying levels of compliance confirm that  UN/ARMS= advocacy cannot succeed without pressure from top echelon UN management downwards and, thereafter, commitment from client offices to systems recommended.  A digital archive is the logical extension of trustworthy electronic recordkeeping.  ARMS and WGARM have cooperatively developed a detailed statement of work and RFP  for a strategic plan for a digital archives.  But, ARMS= proposed 2000-2001 Biennium Budget provides only partial funding for this endeavour, and additional funding is required.  Success also depends on ITSD acceptance of records management standards applications to electronic records. 

c)	undertake a cost and service level benefit analysis of outsourcing the storage of documents, drawing from the experience of UNDP and UNOPS.   Propose alternatives which address any information security risks or other concerns noted in the requested legal opinion on Acontractual storage and consortium arrangements.@
[Comment: Refer to para. G. 73, which suggests that - according to a UN/ARM internal cost benefit analysis undertaken in 1997 - the UNDP and UNOPS experiences should not serve as a model for other agencies.]

1.	
4 February 1999