UNESCO QUITO / MINISTERIO DE CULTURA Y...

UNESCO QUITO / MINISTERIO DE CULTURA Y PATRIMONIO

General guide for dealing with natural disasters


Published in 2017 by the United Nations Educational, Scientific and Cultural Organization (UNESCO), 7, place de Fontenoy, 75352 Paris 07 SP, France, the UNESCO Office in Quito, Veintimilla E9-53 entre Leonidas Plaza y José Tamayo, Quito, Ecuadorand Ministerio de Cultura y Patrimonio, Avenida Colón E5-34 y Juan León Mera, Código Postal: 170517, Quito, Ecuador.

© UNESCO and Ministerio de Cultura y Patrimonio del Ecuador, 2017

This publication is available in Open Access under the Attribution ShareAlike 3.0 IGO (CC-BY-SA 3.0 IGO) license (http://creativecommons.org/licenses/by-sa/3.0/igo/). By using the content of this publication, the users accept to be bound by the terms of use of the UNESCO Open Access Repository (http://www.unesco.org/open-access/terms-use-ccbysa-en).

Original title: Manual para procedimientos de contingencias en archivos históricos por desastres naturalesPublished in 2018 by the United Nations Educational, Scientific and Cultural Organization (UNESCO), the UNESCO Office in Quito, and Ministerio de Cultura y Patrimonio del Ecuador. The designations employed and the presentation of material throughout this publication do not imply the expression of any opinion whatsoever on the part of UNESCO concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries.

The ideas and opinions expressed in this publication are those of the authors; they are not necessarily those of UNESCO and do not commit the Organization and the Ministerio de Cultura y Patrimonio.

This publication counted with the support of the Heritage Emergency Fund

Graphic design: Esteban Argoti and Bernardo Zamora. Ministerio de Cultura y PatrimonioIllustrations: Ministerio de Cultura y PatrimonioTranslation into English: Patrick Saari

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CREDITS

The present document has been drawn up on the basis of the following: Guide to pre-serving bibliographical materials and archival documents on paper: General consider-ations (2015), by the History Department of the Comprehensive Information Center of the Central University of Ecuador, Guide to preventive measures for cultural heritage property in the event of the threat of earthquakes (2011) and Guide to preventive mea-sures for cultural heritage property in the event of volcanic eruptions (2015), by the Na-tional Cultural Heritage Institute (INPC) and Contingency Handbook: Preventive mea-sures for cultural heritage property in the event of volcanic eruptions, by the Ministry of Culture and Heritage (2016). It has been prepared for the purpose of disseminating knowledge and promoting support in recovering archives (repositories of memory) of the province of Manabí, in the framework of the Local Capacity-Building Project for the Emergency Conservation of Historical Archives in Areas Affected by the April 16 Earth-quake (16A).

United Nations Educational, Scientific and Cultural Organization (UNESCO)The Heritage Emergency FundUNESCO Quito Office and Representation for Bolivia, Colombia, Ecuador, and Venezuela, Culture Sector

Ministry of Culture and Heritage of Ecuador

National Archives of Ecuador

Under-Secretariat of Collective MemoryArchives DepartmentGeneral Archives of the Nation

Central University of Ecuador

History Department

Systematization and technical reviewAuthor: Jorge Corral Fierro, expert consultant in documentary heritageEditing: Culture Sector of the UNESCO Quito Office in and Under-Secretariat of Collective Memory of the Ministry of Culture and HeritageTranslation to English: Patrick Saari

The present publication was prepared thanks to generous support from the Ministry of Culture and Heritage of

Ecuador.

ACKNOWLEDGMENTS:

The present publication benefited from the support of the following persons:

Ivett Celi, Under-Secretary of Collective Memory of the Under-Secretariat of Collective Memory of the Ministry of Culture and HeritageGabriela Montalvo, former Director of Monitoring and Evaluation of the Management of Collective Memory, and Daniel González G., former technical expert of the former Archives Department of the Technical Under-Secretariat of Collective Memory and HeritageAna Irma Yantalema, National Archives of EcuadorDaniela Zúñiga and Mabel Ortiz, History Department of the Central University of EcuadorNatasha Sanmartín, expert consultant in documentary heritageMarcela Rodríguez, General Archives of the Nation of ColombiaAlcira Sandoval Ruiz, Programme Specialist of the Culture Sector, and Ernestina Cortés Albor, Project Coordinator for the UNESCO Quito Office and Representation for Bolivia, Colombia, Ecuador and VenezuelaFabian Bedón, former collaborator of the UNESCO Quito Office.

TABLE OF CONTENTS

PREFACE FROM THE UNESCO 7QUITO OFFICE AND REPRESENTATION FOR BOLIVIA, COLOMBIA, ECUADOR, AND VENEZUELA

UNESCO – MINISTRY OF CULTURE AND HERITAGE 2017 9

INTRODUCTION 12

1. BACKGROUND 17

2. ASSESSMENT OF THE HISTORICAL 23ARCHIVES AFFECTED BY THE APRIL 16 EARTHQUAKE

2.1 Assessment of the Culture and Heritage Sector: Documentary 23Management and Archives Administration Component

2.2 Local Capacity-Building Project for the Emergency 31Conservation of Historical Archives in Areas Affected by the April 16 Earthquake

3. REGULATORY FRAMEWORK 37

3.1 Documentary preservation and conservation 37

3.2 Risk management 45

3.3. International regulatory framework 46

4. GENERAL CONSERVATION MEASURES FOR ARCHIVES 43

5. 1. CONTINGENCY PROCEDURES IN HISTORICAL ARCHIVES 83IN THE EVENT OF NATURAL DISASTERS

5.1 Natural and man-made disasters 83

5.2 Assessment of threats and risks 85

5.3 Stages of prevention, response, and recovery 88in the event of natural disasters

6. PREVENTION AND CONTINGENCY PROCEDURES 102IN THE EVENT OF NATURAL DISASTERS: VOLCANIC ERUPTIONS, EARTHQUAKES, AND FLOODS

6.1 Volcanic eruptions 103

6.2 Tremors and earthquakes 112

6.3 Floods 116

7. GLOSSARY 121

8. BIBLIOGRAFÍA 125

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MANUAL FOR CONTINGENCY PROCEDURES IN HISTORICAL ARCHIVES IN THE EVENT

OF NATURAL DISASTERS

7

PREFACE FROM THE UNESCO QUITO OFFICE AND REPRESENTATION FOR BOLIVIA, COLOMBIA, ECUADOR, AND VENEZUELA

We are aware that cultural heritage is particularly at risk by armed conflicts and natural disasters, owing to its inherent vulnerability. That is why UNESCO has been working unrelentingly to ensure its protection, supporting States Parties and communities to prepare themselves for, and respond effectively to, emergencies, so that they can contribute to restoring hope and social cohesiveness, safeguarding livelihoods, and facilitating resilience. UNESCO is convinced that there can be no sustainable development unless it is supported by a strong cultural component, because culture and heritage are a source of identity, memory and cohesiveness among persons.

UNESCO’s Director-General, Irina Bokova, has given priority to building up the Organization’s response to emergency situations. One of the most noteworthy initiatives undertaken, is the design and implementation of the pillars of UNESCO’s strategic framework for culture in emergencies, in particular the Strategy for Reinforcing UNESCO’s Action for the Protection of Culture and the Promotion of Cultural Pluralism in the Event of Armed Conflict, which includes actions to be taken in the event of natural disasters.

UNESCO Quito Office and Representation for Bolivia, Colombia, Ecuador, and Venezuela and the Ministry of Culture and Heritage of Ecuador, working closely together, implemented the project “Local Capacity-Building Project for the Emergency Conservation of Historical Archives in Areas Affected by the 16 April Earthquake.” The project’s core objective was to provide technical assistance to the territories affected by the magnitude 7.8 earthquake that hit the country on 16 April 2016.

INTRODUCCIÓN

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8

The project, funded by resources from the UNESCO Heritage Emergency Fund, is part of the Organization’s activities to reduce risk from disasters in all spheres of cultural heritage and to guarantee its protection in the event of threats that would undermine its integrity and values.

The present “Manual for Contingency Procedures in Historical archives in the Event of Natural Disasters,” in both its Spanish and English versions, is the outcome of activities carried out during the project and responds to institutional actions taken by the State of Ecuador to identify, highlight, preserve, and disseminate its documentary heritage as a significant manifestation of the country’s historical memory.

This Office recognizes key support provided by the Under-Secretariat of Collective Memory, the Ministry of Culture and Heritage of Ecuador, the Central University of Ecuador, the National Archives of Colombia, and the various municipalities that participated in the project, as well as all those who contributed to preparing the present manual. We hope that this publication becomes a source of relevant information in preventive and heritage conservation efforts.

Saadia Sánchez VegasDirector / Representative

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9

In the event of a natural disaster, every State’s policy is to save lives by activating contingency plans that take control of the emergency and manage it in operational and humanitarian terms. On April 16, 2016, Ecuador, in particular its coastal region, was hit by a devastating earthquake that measured 7.8 on the Richter scale. This event killed 671 persons, impacted more than 24,000 constructions and buildings, and led to severe damage to highways and civilian infrastructure throughout the country. The earthquake highlighted the solidarity of both the Ecuadorian people and the international community, but it also underscored the shortcomings in risk management when dealing with safeguarding historical documentary memory.

Although human and democratic values, in the broadest sense of the word, supported the reconstruction process in the affected provinces, the public is still grieving the irreparable losses that were suffered. That is why it might be considered irrelevant, in view of these figures, to talk about conserving the State’s documentary memory. Nevertheless, it is an aspect that must be examined as a subject for reflection and discussion, as it determines whether or not our legal, administrative, and democratic role in society can be upheld.

An archive is a documentary source that brings us together as a society organized in terms of the State, government, culture, laws, and a security system. The information contained in archives is a basic component for democracy and transparency in the management of various government institutions. Therein lies the importance of safeguarding and preserving the information that is being held in public and private archives.

UNESCO – MINISTRY OF CULTURE AND HERITAGE 2017

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It must be pointed out that, in Ecuador, the damage wrought by the earthquake on the constructions and buildings located in Manabí and Esmeraldas included repositories of high historical value, such as cathedrals, basilicas, heritage landmark homes, school and university facilities, notarial offices, and other local archives. These buildings held important documentary sources that facilitated historical, political, and cultural research in the different periods of local and regional history. Specifically in Manabí, 35% of the infrastructure for the repositories sustained medium and high impacts, which means a substantial percentage of information was lost or, in some cases, totally destroyed.

In the present joint project with UNESCO, the Ministry of Culture and Heritage is making available, to professionals, students, and workers involved in managing historical documentation, the present Manual for contingency procedures in historical archives in the event of natural disasters, which significantly contributes to meeting the need for undertaking conservation and safeguard actions for national historical documentation in the event of natural disasters, as Ecuador is a country located in a high-risk territory. The present document provides important information to design and implement a public policy for historical archives, which the Ministry of Culture and Heritage, with its Under-Secretariat for Collective Memory, is in charge of.

I hope that the contribution being made by the present document shall help to continue building a more democratic and participatory social fabric, where the guarantee of access to information can become a benchmark for the country.

Raúl Pérez TorresMinister of Culture and Heritage

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Concern in the world and Ecuador over safeguarding and preserving documentary heritage is relatively recent. Natural disasters, war, looting, dispersion, social conflicts, illegal trade, destruction, as well as inadequate storage and funding, have led to the disappearance and serious deterioration of documentary heritage throughout the world.

For the United Nations Educational, Scientific and Cultural Organization (UNESCO), heritage is a source of identity and cohesiveness that lays the groundwork, along with creativity, for creating more prosperous, vibrant, and innovative societies of knowledge. UNESCO, in addition to spearheading the defense of culture and development worldwide, also collaborates with the global community to draw up agreements and regulatory frameworks and conduct activities in the field to help governments and local stakeholders preserve heritage.

In 1992, UNESCO established the Memory of the World Programme with the purpose of raising awareness and protecting global documentary heritage and ensuring its universal and ongoing accessibility.

For the Programme, documentary heritage bears an importance that goes beyond the confines of time and culture, and it must be preserved and protected for current and future generations and made available, with due respect for cultural customs and practices, to all the peoples of the world.

Since its birth, the Memory of the World Programme has tried to raise the awareness of governments, international organizations, and foundations about the urgent need to preserve documentary heritage and to ensure access to it. At present, there are 45 national Memory of the World committees. It has also promoted various initiatives involved in identifying those libraries and archives that are in danger and reproducing original documentary heritage material on other carriers.

In 2014, UNESCO established the Emergency Preparedness and Response Unit in the Culture Sector. In 2015, it established the Heritage Emergency Fund, a

1. INTRODUCTION

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13

common, flexible funding mechanism without any allocations earmarked for specific purposes, aimed mainly at providing a practical way for the Organization to respond more quickly and effectively to crises, protecting heritage in situations of conflict, emergencies, and natural and man-made disasters. In 2015, the General Assembly of UNESCO adopted a Strategy for the Reinforcement of UNESCO’s Action for the Protection of Culture and the Promotion of Cultural Pluralism in the Event of Armed Conflict. In April 2017, the Organization’s Executive Board endorsed an Action Plan that encompasses both conflicts and disasters. Finally, in November 2017, an addendum to the 2015 strategy shall be submitted to the General Assembly, which will be addressing, the response to disasters.

The Heritage Emergency Fund is the only UNESCO fund that makes it possible undertake documentary heritage retrieval, conservation, and preservation activities with a cross-cutting and fast-track response approach.

In 1982, Ecuador, in fulfillment of commitments made at the Intergovernmental Conference on the Planning of National Documentation, Library and Archives Infrastructures, convened by UNESCO in 1974, established by law, the National Archives System, comprised of the National Archives Council, the Executive Archives Committee, the Office of the Archives Inspector General, and the country’s public and private archives. Despite these legal and institutional instruments, the country did not satisfactorily meet the goal of preserving its documentary heritage.

In December 2007, the National Government of Ecuador established the Ministry of Culture, today called the Ministry of Culture and Heritage (Ministerio de Cultura y Patrimonio—MCYP), and, at the end of 2007, it signed Decree 816 declaring a “State of Emergency for Cultural Heritage,” for the purpose of establishing measures and strategies to learn about, appraise, protect, conserve, safeguard, and disseminate heritage property. In 2008, the Cultural Heritage Emergency Programme (Programa de Emergencia de Patrimonio Cultural—PEPC), through its Management Unit, conducted the first inventory and register of the country’s cultural heritage, including the permanent and passive archives of public institutions, libraries with old archival funds, and the photography, sound, and film and audiovisual heritage. Thus, nationwide, 2,557 archives and 934 libraries were registered, in addition to 1,400 film documents, 2,311 photographic documents, and 1,750 sound documents.

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With the participation of the former Heritage Coordination Ministry, the National Cultural Heritage Institute (Instituto Nacional de Patrimonio Cultural—INPC), the National Film Council, and some of Ecuador’s main universities, 3,000 registration files were drawn up for the country’s archives and libraries, with information about their location and the conservation status of their documents and containers.

The results of this inventory yielded alarming information about the conditions of the repositories and conservation status of the documentary heritage: only 2% of the repositories in Ecuador were found to be in optimal conditions.

“The results of the registration inform that the documentation, in most cases, is located in inadequate premises, that is, crammed into terraces, basements, warehouses, and even toilets; archives are located in dilapidated buildings and do not benefit from the furniture required; and those in charge of safeguarding them do not have any training in organizing or the preventive preservation of documents. Authorities from various institutions have no idea that they are required to fulfill an obligation to preserve documentary heritage. […] Data obtained show that documentary heritage is in a disastrous situation. In many archives, important documentation from the colonial period and the early republic was found in extremely poor conservation conditions” (Moscoso, 2009: 152-153).

In the framework of the PEPC, pest-control activities were also carried out in more than 360 archives holding historical documentation, security kits were delivered to 36 containers of cultural property (in museums, churches, and archives) in the provinces of Cotopaxi and Manabí, and furniture were provided to 24 archives of the provinces of Chimborazo and Loja.

For the purpose of strengthening the country’s cultural and heritage policies and institutional structures, the Political Constitution of Ecuador, adopted by means of a referendum in 2008, established that the national culture system, among other goals, is aimed at safeguarding the collective memory and cultural heritage and promoting the dissemination of cultural goods and services (Article 379). The Constitution also included, as part of Ecuador’s cultural heritage, the documents, objects, collections, archives, libraries, and museums that have historical, artistic, archeological, ethnographic, or paleontological value (Article 379).

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Other government actions of importance have been implemented over the past few years to consolidate the government policy for the administration and management of documentary heritage. For example, in 2010, the Network of Historical Archives of the Ministry of Culture was established after the Law Amending the Law on the Monetary System and the State Bank provided for the transfer of the cultural areas of the Central Bank of Ecuador to the Ministry of Culture. This Network of Historical Archives is comprised of nine archives nationwide. Likewise, in 2012, on the basis of a Ministerial Agreement, the Basic Statute for the Process-based Organizational Management of the Ministry of Culture was enacted, which included the Under-Secretariat of Collective Memory, whose mission is to draft and propose public policies to strengthen processes aimed at recovering and refreshing societal and collective memory.

Furthermore, in terms of risk management, the specialized units of MCYP and INPC have drawn up the following instruments to protect heritage property in the event of natural disasters:

Guide of preventive measures for cultural heritage property in the event of an earthquake.

Guide of preventive measures for cultural heritage property in the event of a volcanic eruption.

Guide of preventive measures for the safety and protection of cultural heritage property.

After the earthquake that hit the province of Manabí on April 16, 2016, the MCYP, through its Technical Under-Secretariat for Collective Memory and the Historical Archives Department, undertook a series of emergency actions to protect and safeguard the documentary heritage affected by this natural disaster. Likewise, as part of the medium-term and long-term strategies aimed at local capacity building of the repositories of memory to tackle natural emergencies on a timely basis and efficiently (volcanic eruptions, earthquakes, tsunamis, floods, storms, etc.) or artificial emergencies (fires, terrorism, wars, vandalism, theft, illegal trafficking, etc.), the authorities of the country’s culture and heritage sector have undertaken

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the task of preparing various specialized technical instruments, such as protocols, guides, and handbooks providing practical and easy-to-use guidelines to avoid and mitigate irreversible damage in the country’s documentary heritage produced by this type of event.

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The earthquake, which recorded a magnitude of 7.8 on the Richter scale, occurred on 16 April 2016 in the province of Manabí, although it also seriously impacted the provinces of Esmeraldas and Los Ríos, leading to 661 deaths, 12 missing persons, and 6,274 injured. This natural disaster destroyed large urban and rural populated areas, in addition to severely affecting the area’s infrastructure (roads, clean water and electric power supply systems, among others), leaving dozens of thousands of persons without housing and basic services and severely undermining the local economy.

Likewise, the April 16 earthquake affected the cultural heritage and repositories of collective memory, especially those located in the province of Manabí. The cantons most hard hit were Sucre, Portoviejo, Jipijapa, Jama, Chone, Manta, Rocafuerte, Tosagua, Junín, Montecristi, 24 de Mayo, and Olmedo. For example, some of the heritage properties that were severely affected were the Portoviejo Cemetery, the Calceta Tower, the Church of Rocafuerte, and the Minor Basilica of Montecristi. In view of the magnitude of the damage, certain heritage buildings had to be demolished, such as the facilities of the Fire Department of Calceta, the Crystal Pension House of Portoviejo, the Leonardo Viteri Clinic of Bahía, and certain heritage houses of Chone.

According to the survey of archives carried out by the Ministry of Culture and Heritage and the nationwide inventory of cultural heritage property carried out in 2008,1 there were 2,739 archives, of which 252 are historical archives. In the province of Manabí, a total of 166 archives were recorded, among which there are 55 that hold historical information and belong to private collections or to various public or private sector institutions, for example, Decentralized Autonomous Governments (Gobiernos Autónomos Descentralizados—GAD), the Vital Statistics Office (Registro Civil), the Judiciary Council, notarial offices, public registries of real estate property, church parishes, etc.

1 The cultural property inventory was carried out by technical experts from the Polytechnic University of the Coast (Escuela Politécnica del Litoral—ESPOL) in the framework of the Cultural Heritage Emergency Decree (No. 816) of December 21, 2007.

1. BACKGROUND

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These archives contain primary documentary sources pertaining to local and national social, political, and cultural history, with collections more or less organized into various archival funds and that used various kinds of carriers, encompassing the country’s Colonial, Independence, and Republican periods.

According to the inspection conducted by Regional Office 4 of the INPC after the April 16 earthquake, 50% of the infrastructure in the collective memory repositories of the province of Manabí showed slight damage, whereas 35% of these archives sustained medium to severe damage in their installations, and the remaining 15% sustained no damage at all.

Immediately after the natural disaster, the Ministry of Culture and Heritage, according to what was established by Group 7 of the Technical Committee for National Emergency Operations, set up the Emergency Technical Committee for Culture and Heritage. The Technical Committee had the purpose of implementing, over the short, medium, and long terms, technical actions for the assessment, emergency retrieval, and rehabilitation of cultural heritage property and collective memory repositories (historical archives, libraries, and museums) that were affected in the disaster area.

COUNTRY’S ARCHIVESTotales: 2739Manabí: 166

HISTORICAL ARCHIVESTotales: 252Manabí: 55

30

E.. P..

22

114

MANABÍ ARCHIVESOwnership

100

80

60

40

20

0

Source: Systematization of Workshop on Resilience, Memory and Heritage: Restoration of Manabí’s documentary memory. Presented by Catalina Tello, Director of Historical Archives of the Ministry of Culture and Heritage

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UNESCO, through its Heritage Emergency Fund, financed the missions to integrate cultural and heritage aspects into the assessment of the damages and losses in the document entitled “Post-Disaster Needs Assessment (PDNA).”2

In that regard, the Emergency Technical Committee for Culture and Heritage, after two missions comprised of UNESCO experts, authorities from the Ministry of Culture and Heritage, and technical experts of the National Cultural Heritage Institute (INPC) to assess the damage and losses of cultural heritage in the so-called Zone 0, submitted to SENPLADES the document providing a roadmap to tackle the post-disaster emergency on the basis of the following guidelines of action:

Carry out the emergency transfer and relocation of cultural property currently at risk from the collective memory repositories affected by the earthquake to spaces that benefit from minimum guarantees of security and micro-climate,

2 Implemented in response to a disaster or emergency, the PDNA is an exercise spearheaded by the government of the affected country. It provides a platform to the international community to help the affected government in its recovery and rebuilding activities. It also provides a coordinated and cred-ible base for planning reconstruction and recovery. At the same time, it includes risk reduction measures and financing plans.

150%

15%15%

20%2

3 4

1. Low impact2. Medium impact3. High impact4. No impact

Source: Systematization of Workshop on Resilience, Memory and Heritage: Restoration of Ma-nabí’s documentary memory. Presented by Mayra Pullas Villarroel, Inventory Department of the National Cultural Heritage Institute (INPC)

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taking into account the regulations and protocols for packaging, handling, transferring, and registering documentation currently in force in the country.

Promote and organize training workshops aimed at those in charge of safeguarding the documentary heritage on the subjects of preventive conservation and emergency intervention and restoration of affected movable property, taking into consideration their degree of vulnerability.

Digitize the documentary heritage of the containers of collective memory (notarial, church, private, etc. archives).

Examine, draft, and implement public policies that make it possible to highlight collective memory and local culture, as expressed in their cultural, tangible, and intangible property, as well as the diversity of cultural manifestations, using a comprehensive and strategic approach, with actions over the short, medium, and long terms.

Furthermore, in the framework of the Eighteenth Ibero-American Conference of Ministers of Culture held on May 19 to 20, 2016 in Cartagena de Indias, Colombia, a commitment was made between the Ministry of Culture and Heritage of Ecuador and the Ministry of Culture of Colombia, through the General Archives of the Nation, to launch activities aimed at recovering the archives affected by the earthquake that had devastated towns in the province of Manabí.

According to these commitments, an international mission was set up, comprised of experts from the General Archives of the Nation of Colombia, the Ministry of Culture and Heritage of Ecuador, and the National Archives of Ecuador, which proposed the following goals: carrying out an assessment of the conditions of archival materials and documentary conservation; determining the factors affecting the conservation of the document holders; presenting the results on the basis of the measured volume of the repositories visited; and taking an emergency route of action to improve archival processes and conserve the documentary heritage. For these purposes, the inter-agency technical team visited the towns of Manta, Montecristi, Rocafuerte, Pedernales, Bahía, Chone, Portoviejo, and Jaramijó. The results of this mission can be found systematized in the “Assessment Report

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on the Culture and Heritage Sector: Documentary Management and Archives Administration Component.”

According to the results of the above-mentioned assessment, the documentary collection of the province of Manabí, which dates back to the eighteenth century, is currently in conditions of high vulnerability. To tackle this situation, the Ministry of Culture and Heritage requested UNESCO’s support to implement the “Local Capacity-Building Project for the Emergency Conservation of Historical Archives in Areas Affected by the April 16 Earthquake.” In addition, this initiative benefited from substantial participation of the General Archives of the Nation of Colombia, the National Archives of Ecuador, and the History Department of the Central University of Ecuador.

This initiative’s main goal was to build up local capacities on the basis of theoretical and practical workshops focusing on the issues of documentary management and conservation of documentary heritage collections. The above-mentioned project carried out the following activities:

On-site workshop for the preventive conservation of historical documentation. This practical workshop aimed at the custodians of the documentary collection was undertaken, previous coordination, by the technical conservation specialists from the Central University of Ecuador in each one of the 10 selected archives. As part of this activity, the project provided each custodian with a conservation kit (equipment, tools and materials).

At the same time as the on-site workshop was being conducted, a team comprised of UNESCO consultants and the Ministry of Culture and Heritage examined, identified, and selected a group of landmark documents belonging to these historical archives in order to undertake conservation and documentary management processes on these documents. In agreement with those in charge of each collective memory repository, the cultural documentary property was transferred, following strict protocols (packaging, handling, regulations, documentation, and reports) to the specialized laboratory of the History Department of the Central University of Ecuador to be digitized, catalogued, and restored.

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In the facilities of the Alfaro City Corporation, located in Montecristi, the Workshop on “Resilience, Memory, and Heritage: Restoration of Manabí’s documentary memory”, with the participation of national and international specialists, was developed. The purpose of this workshop was to share and exchange know-how and experiences, in order to build up capacities to safeguard, conserve, and manage cultural heritage, with an emphasis on documentary heritage.

Finally, there were follow-up visits to the 10 historical archives that had been given priority, for the purpose of assessing the impact of the workshop that had been held and to return to their places of origin the documentation that had been selected for preservation, digitization, and cataloguing.

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2. ASSESSMENT OF THE HISTORICAL ARCHIVES AFFECTED BY THE APRIL 16 EARTHQUAKE

The present section provides a summary of the principal findings of the “Assessment of the Culture and Heritage Sector: Documentary Management and Archives Administration Component”1 and the Final Report of the “Local Capacity-Building Project for the Emergency Conservation of Historical Archives in Areas Affected by the April 16 Earthquake.”2

2.1 Assessment of the Culture and Heritage Sector: Documentary Management and Archives Administration Component

The assessment by the inter-agency technical team included the visit to 12 archives located in six cantons of the province of Manabí.

After the assessment made in these repositories, the experts concluded that, in general, there are deficiencies in the management and implementation of financial, technical, and physical resources, as well as human resources. This is because of constant administrative changes. In addition, there is a lack of operational staff specializing in documentary management, and there is no budget plan setting priorities on the basis of the needs of documentary management and that takes into account the weaknesses that have been detected and the priorities that are required (infrastructure, management processes, consolidation of documentary management programs, and others). Because of that, the report recommends strengthening archival functions and documentary management, including

1. This document was drafted by Marcela Rodríguez, from the General Archive of the Nation, Colombia, with support from Rocío Pazmiño, from the National Archive of Ecuador, and Daniel González G. and Leon-ardo Auz, technical experts from the Ministry of Culture and Heritage.

2. This report was drafted by the consultants hired by UNESCO, Natasha Sanmartín and Jorge Corral F. The project benefited from the participation of conservation experts from the History Department of the Central University of Ecuador, Mabel Zurita and Daniela Zúñiga, as well as Ana Irma Yantalema from the National Archive of Ecuador.

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information and communication technologies (ICTs), as well as developing policies and plans to protect vital government administration archives.

The main findings of this assessment are presented below in line with the documentary management, archives administration, and documentary conservation component.

2.1.1 Findings of the documentary management and archives administration component

Planning

Although there is a series of standards in force in the country, the institutions of this sector do not have an action plan to draw up general documentary management policies, a documentary management program, or a comprehensive conservation program. In addition, there are few institutions that have a records retention

PORTOVIEJO

JIPIJAPA

- Public Registry of Real Estate Property (Registro de Propiedad)MONTECRISTI

-Canton Head Office of the Vital Statistics Office (Jefatura Cantonal del Registro Civil)JAMA

- Canton Head Office of the Vital Statistics Office (Jefatura Cantonal del Registro Civil)

PEDERNALES

- Archives of the Secretary General of the Municipality of Manta- Municipality

- Public Registry of Real Estate Property (Registro de la Propiedad)

- Public Registry of Real Estate Property (Registro de la Propiedad)

CHONE

CANTON REPOSITORY

- Historical Archive, Portoviejo Museum of the MCYP- Public Registry of Real Estate Property (Registro de la Propiedad)

- Vital Statistics Office (Registro Civil)

- Public Registry of Real Estate Property (Registro de la Propiedad)- Municipality of Jipijapa

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and disposal schedule (RRDS) and, in many cases, they do not have any records assessment schedule (RAS). Likewise, the civil servants in charge of documentary management lack knowledge regarding archiving instruments (inventories, documentary classification table, among others). Finally, development and coordination of the regulatory frameworks on this subject needs to be reinforced.

Production

As for documentary production, the assessment points out that certain institutions draw up procedures that highlight the various steps they are in charge of. In addition, it is pointed out that some of these archives update the procedures that create formats and, although the documentation is registered on the basis of procedures, these records do not appear in the RRDS or other archival instruments. As a rule, the institutions do not have a clear process to update their procedures and the respective RRDS.

Documentary management and paperwork

As for documentary management and paperwork, the assessment points out that, in most institutions, there is a registry of official communications sent and received. Nevertheless, they do not all have a system for monitoring loans in the management archives.

Structuring of documents

Furthermore, the assessment of the structuring of documentary archives in the institutions yielded mixed results. Not all of them have the respective inventory of documents they are conserving in the management archive. Furthermore, some of the institutions simply classify their documents intuitively according to series and subseries. Likewise, in most of the institutions, case files are not identified, nor have they been given page or folio numbers. Finally, the study shows that there is support documentation and, in other cases, the documentation is not assigned to the respective RRDS.

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Transfer of documents

Some institutions do not transfer the documents to the central archive, as required by technical guidelines for archives. For example, there are transfers that do not meet the stipulated records retention time-limits or do not include the respective RRDS or inventory attachment.

Disposal or elimination of documents

With respect to the disposal of documents, the assessment reveals that some institutions carry out the process of selecting and eliminating documents, although several of these do not do it on the basis of the RRSD.

Appraisal of documents

Finally, as for the appraisal of documents, institutions do not know why they keep their documents and for how long they must remain in the management archive.

2.1.2 Findings of the conservation component

The assessment also evaluated the documentary conservation component, for the purpose of identifying the general problems affecting the preservation and recovery of information by examining the factors leading to alterations and deterioration. All of this is geared to drawing up strategies for their maintenance.

Archive areas

Although, as a rule, the institutions have archive areas, the documentation is scattered in various places and is not centralized. Likewise, these areas do not have enough space for storage or have environmental conditions that are adverse documentation preservation.

In some institutions, the information is close to risk areas, a situation that could eventually mean that the information might be lost. For example, these areas are located on unstable or excessively humid ground, making them especially

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vulnerable to floods and earthquakes. Their proximity to industrial areas with high rates of environmental pollution is also a high-risk factor for documentary preservation. Because of their location, some of these institutions could also sustain severe impacts from eventual riots or uprisings.

Furthermore, the infrastructure of the repositories that were visited show that the construction materials or workmanship of the floors, walls, roofs, doors, or painting offer little resistance to deterioration.

Layout of surface areas and document storerooms or storage areas

As a rule, the institutions do not have an adequate system for regulating and delimiting working areas from storage areas in line with the functions of each one. The document storerooms or storage areas have deficient systems for documentation displacement, safety, and handling. In addition, they have inadequate air-conditioning systems, if the parameters set by the standard for conserving documents are taken into account.

Environmental and technical conservation conditions for documentary

material on various carriers

Most of the repositories are exposed to fluctuating environmental conditions (humidity, light, and temperature) beyond the parameters that would be adequate for documentary conservation. Likewise, the deficient ventilation and limited filtering of the air in the archive areas contribute to increasing environmental pollution and altering environmental conditions. Another problem identified in many repositories is the absence of, or deficiencies in, ongoing and periodic cleaning of the facilities, shelves, and conservation units.

The staff does not know which security measures are indispensable to tackle accidents and disasters. The repositories do not include CO2, solkaflam, or multipurpose extinguishers in the event of fire, nor do they have water pumps to tackle flooding or seepage of water, among others. There is an absence of alarm systems, or else these systems are deficient, to warn of fires or burglary, and hardly any signposting to quickly locate the variety of equipment needed to tackle disasters or identify evacuation routes and retrieve documentary units. As

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for security systems to preserve documentation, it was evident that there were no plans to prevent disaster or manage emergencies arising from earthquakes, floods, fires, vandalism, or terrorist attacks.

Storage

There are severe problems as well in the storage of documentation, because it is not always done in line with the technical requirements for the documentary carriers. The design, function, capacity, resistance, and materials used to build the shelves and furniture of the archives do not always meet the needs of the archive. There are also specific deficiencies in the conservation units, because some of them do not meet recommended technical specifications or optimal standards for resistance and protection of the documentary material.

Characteristics of the carriers and disposal of the documents

The archives have been produced on hand-made and industrially manufactured paper of about 75 to 90 grams on average, although there is also a smaller amount of bond paper, thermal paper, newspaper, and vegetable parchment paper (butter paper). The most frequently found formats are letter size and legal size, although there are also double-legal, half-letter, and quarter-letter sizes, as well as ticket sizes such as for toll payments. The colors of the documents are white, for the most part, but there are also, in smaller amounts, documents produced on blue, green, pink, brown, and yellow paper.

Some of these carriers are low quality, which are associated with variations in their resistance and coloration. Some irreplaceable documents of the utmost importance have low-quality print, which makes them hard to digitize to guarantee their conservation. Inks also have problems in terms of fading or bleeding.

Characteristics of the conservation units

The documentation is located on metal shelves not leaning against the wall or resting on the floor but free-standing, sliding shelves, metal filing cabinets, and wooden furniture, generally in good condition. As for the documentation, it is

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organized and placed in hardback ledgers, in reams of documents, AZ, in burlap binders, in packages tied with agave string, and in conservation boxes.

Conservation status of documents

The earthquake significantly aggravated the damages that were already there in the historical documentation examined, directly affecting the storage infrastructure and layout of the documentation, leaving the documents in a precarious state of vulnerability to weather and external factors.

The impact on a large part of the documentation in the archives stems basically from physical factors: inadequate infrastructure for storage and layout of the documentation and poor management of the documents. Chemical and biological factors constitute other causes for document deterioration.

The factors leading to document deterioration can be differentiated as intrinsic and extrinsic. Intrinsic factors are those associated with the poor quality of the documentary carriers (paper), chemical instability (acid-type inks), and the graphic technique used to draft certain documents, which over time and with prolonged exposure to oxygen and light produce changes in the carriers and inks.

The extrinsic factors have to do with man-made and environmental conditions for documentary management and storage. In the case of the archives examined, the man-made conditions triggering physical deterioration of the historical documents are mainly associated with an inadequate management of the documents, which produce, for example, holes or tears, and with placing metallic material onto the document. Likewise, storage and inappropriate interventions have led to a loss of part of the documentary collection.

In the case of environmental conditions, factors involving the temperature and relative humidity of the storage areas have led to documentary deterioration because of the onslaught of biological agents such as mold and insects. Deterioration because of mold is affecting a larger share of the units than deterioration by insects; nevertheless, the former has a low average intensity and a lower percentage of impact, whereas the latter has a medium intensity and the average percentage of

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impact is higher. As indicators for alterations and deterioration as a result of fungal agents (mold), those that appear most frequently are foxing spots, stains, and in severe cases stains followed by pigmentation, degradation of the carrier, and missing elements (which generally have the same percentage of impact). Finally, there is a low incidence of mycelium; nevertheless it is important to note that the presence of mycelium indicates that the deterioration is active, which is a risk factor for the documentation and requires taking measures to clean and disinfect the environment.

The deterioration of the documentary collection is also associated with the location of the furniture and shelves in the storerooms and with the layout of the documentary storage units, which in some cases are in direct contact with the floor. These conditions foster the appearance of micro-climates that provide optimal conditions for the development of microorganisms (mold, etc.) and the appearance of insects.

It is important to note that, in the case of biological deterioration, it is associated as well with the nature of the paper carrier, which because it contains cellulose, among other organic compounds (such as protein-based adhesives), can become a source of nourishment for various types of organisms. The high humidity in certain storerooms also led to physical deterioration, such as humidity stains and warping and creasing of the carriers. Dirtiness is associated with storage conditions (storeroom and furnishings), in addition to the quality and frequency of the cleaning process.

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2.2 Local Capacity-Building Project for the Emergency Conservation of Historical Archives in Areas Affected by the April 16 Earthquake

After the April 16 earthquake, the documentary collection of the 55 historical archives of the province of Manabí, which holds four centuries of the country’s history, is in highly vulnerable conditions, mainly because of the loss of organizational flowcharts and the absence of inventories and storerooms benefiting from micro-climate conditions that can guarantee the management and conservation of the documentary heritage. In addition, the lack of a specific regulatory framework for contingencies for historical archives at risk because of natural disasters led to the exclusion of pre-transfer inventories from the technical procedures for retrieval and to handling documents without any risk-prevention protocols.

To implement the “Local Capacity-Building Project for the Emergency Conservation of Historical Archives in Areas Affected by the April 16 Earthquake,” the MCYP chose 10 historical archives located in the province of Manabí that held documentation of the utmost historical importance and that required urgent conservation and safeguard measures for their protection.

The documentary heritage of the Public Notarial Offices and the Public Registry of Real Estate Property contains highly relevant information for local and national political, social, economic, and cultural history for the end of the nineteenth century and the entire twentieth century. This information includes broad and diverse fields of historical interest, related to public administration, local authorities, the urban and rural economy, migrations and inter-regional ties, gender and family ties, culture and mindsets, urban processes, and technological transformations, among others. Likewise, the documentation of the parish archives, consisting mainly of ledgers for baptism, marriage, and death certificates since the eighteenth century, contains valuable information to understand principally the local ethnic composition and demographic trends during the Colonial period, Independence, and the Republic.

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Portoviejo

Chone

Junín

Montecristi

Portoviejo

Manta

Portoviejo

Sucre

Chone

Chone

Second Notarial Office

First Notarial Office





Parish Office

Parish Secretariat

Public Registry of Real

Parish Office

1877-2016

1895-2016

1953-2016

1899-2016

1925-2016

1923-2016

1783-2016

1723-2016

1916-2016

1818-2009

Public

Public

Public

Public

Public

Public

Church

Church

Public

Church

CANTON PARISH NAME OF ARCHIVE EXTREME DATES OWNERSHIP

(urban parish)

(urban parish)

Estate Property

PRIORITY HISTORICAL ARCHIVESLOCAL CAPACITY-BUILDING PROJECT FOR THE EMERGENCY CONSERVATION OF HISTORICAL

ARCHIVES IN AREAS AFFECTED BY THE APRIL 16 EARTHQUAKE

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Impacts of the April 16 earthquake on priority archives and documentary conservation conditions

According to the final report of the “Local Capacity-Building Project for the Emergency Conservation of Historical Archives in Areas Affected by the April 16 Earthquake,” the 10 priority archives sustained severe material damage and, in some of these repositories, a large percentage of the historical documentation was lost because of this natural disaster. For example, the installations of the First and Second Notarial Offices of Manta and Portoviejo collapsed completely. In the case of the First Notarial Office of Portoviejo, it is estimated that 80% of the documentation was lost.

The floods in some of these repositories, as a result of water pipes and mains being breached during the earthquake, led to microorganisms attacking a large part of the documentation. This situation could have been avoided if the contingency measures recommended in these cases had been taken, such as timely and adequate drying of the affected documentation. The collapse of shelving in almost all the repositories produced mechanical damages in the documentary carriers, that is, the structure of the documents. Because of this situation, 80% of

100% 100% 100% 80% 2% 100% 100% 80% 100% 5%

% Deterioration of documentation

Perc

enta

ge

of d

eter

iora

tion

CONSERVATION STATUS OF DOCUMENTATION120%100%

80%60%40%20%

0%

La M

erce

d

Paris

h A

.

San

Cay

etan

o P

aris

h A

.

San

Este

ban

Pa

rish

A.

Port

ovie

jo

Firs

t Not

ary

A.

Man

ta

Firs

t Not

ary

A.

Cho

ne

Firs

t Not

ary

A.

Mon

tecr

isti

Firs

t Not

ary

A.

Juní

n Fi

rst N

otar

y A

.

Man

ta

Cou

rt A

rchi

ve

Man

ta

Prop

erty

Reg

istr

y

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34

the documentation of the First Notarial Offices of Portoviejo and Junín showed deterioration. In the case of the historical parish archives of Portoviejo, Chone, and Sucre and those of the First Notarial Offices of Chone and Montecristi, 100% of the historical documentation has been affected by deterioration from biological, environmental, and man-made factors.

Eight of the ten repositories that were visited did not comply with the technical infrastructure needed to store documents. In addition, the environmental conditions of humidity and temperature and the characteristics of the various types of carrier and their damages, including those caused by accidents and physical, anthropogenic, chemical, and biological factors are deterioration factors that directly and indirectly jeopardized the documentation.

The archives that preserve their collections in the best conditions are those of the First Notarial Office of Manta and the Public Registry of Real Estate and Mercantile Property of Chone. The documentary fonds of these two institutions show minimal deterioration, which mainly comes from inadequate handling of the documents.

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FACTORS

INTRINSICINDICATORS MECHANISMS

EXTRINSIC

Water Negligible

sustainable carrier

Because of the

action of humidity

Human

HR and T

Biological (mold

and bacteria)

Paper manufacturing

technology

In the middle of the document

there is warping and creasing

Missing elements of carrier

Because of the action of folding

Breaks because of inadequate

management of the document

Mutilation

Because of the fragility of the

carrier and bleeding ink,

appearance of microorganisms

Because book-eating insects

feed on the paper’s cellulo-

se, leaving behind tunnels

throughout the body of the

document

Because of the use of iron

gall ink, which has made

holes the document

because of its high acidity

Because of the materials used

to manufacture paper, such

as oxides, acids, among

others

Humid carrier (paper)

Colored stains: purplish,

pinkish, greenish or brown

Because of the presence

of humidity and dust

Missing elements of carrier

Page perforated in those

parts where there is writing

Brown-colored stains

covering almost the

entire surface of the

documen

3

Biological elements,

insects and/or small animals

Ink (material supported in

the document)

RESULTS OF THE FACTORS OF DETERIORATION: HISTORICAL ARCHIVES

3 It refers to the presence of animals, such as rodents, bats, birds, and cats.

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3.1 Documentary preservation and conservation

Constitution of the Republic of Ecuador, published in Official Gazette

No. 449 of October 20, 2008

Article 83. Ecuadorians have the following duties and obligations, without detriment to others provided for by the Constitution or by law: 13) To pre-serve the country’s cultural and natural heritage and to take care of and up-hold public property.

Article 379. The following are part of the tangible and intangible cultural her-itage that is relevant for the memory and identity of persons and groups and the target of safeguard by the State, among others: …Documents, objects, collections, archives, libraries, and museums that have historical, artistic, ar-cheological, ethnographic or paleontological value.

Article 380. The following shall be responsibilities of the State: To safeguard, by means of permanent policies, the identification, protection, defense, pres-ervation, restoration, dissemination and growth of the tangible and intangi-ble cultural heritage, historical, artistic, linguistic and archeological wealth, the collective memory and the set of values and manifestations that consti-tute the plurinational, pluricultural, and multiethnic identity of Ecuador.

3. REGULATORY FRAMEWORK

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National Development Plan 2017-2021

National Development Objectives

Axis 1: Rights for all during whole life

Objective 2: To strengthen interculturality and plurinationality, revaluating diverse identities

2.3. To promote rescue, recognition and protection of tangible and intangi-ble cultural heritage, local knowledge, world views and cultural dynamics.

2.4. To bolster full exercise of cultural rights, together with the opening and reinforcement of common meeting spaces that foster recognition, valuation and diverse identity development, creativity, aesthetics liberty and individual / collective expressions.

Basic Law on Culture published on December 30, 2016 in the Sixth Supplement, Official Gazette No. 913, Section VII. Collective Memory Subsystem and Cultural Heritage. Chapter 1. Definitions, composition, sectors, and establishment of the Collective Memory Subsystem and

Cultural Heritage

Article 3. Purposes. The following are the purposes of the present Law:

d) Collective memory: Persons, communities, communes, peoples, and na-tions, cultural collectives and organizations are entitled to build and dissem-inate their collective memory, as well as have access to the contents about them that are deposited in the public and private institutions.

f) Access to cultural and heritage goods and services: All persons, com-munities, communes, peoples and nations, collectives and organizations are entitled to have access to tangible or intangible cultural goods and services and to the information about them that public and private institutions hold, without any limitation other than those set forth in the Constitution and the Law.

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Article 7. Cultural duties and responsibilities: All persons, communities, peoples, and nations have the following cultural duties and responsibilities:

a) Participating in protecting cultural heritage and collective memory and in building a violence-free culture based on solidarity and creativity;

Chapter 2. Repositories of collective memory: museums, historical ar-chives, and libraries

Article 31. Repositories of collective memory: They are structured spaces, open to the public, which safeguard and have available documentary heri-tage, cultural and heritage property on various carriers. These spaces include museums, historical archives, libraries, newspaper archives, media libraries, film libraries, and audio libraries, among others.

Article 32. National character of the repositories: The governing body for cul-ture and heritage shall decide upon the national character of the repositories of collective memory, shall authorize the establishment of their offices and fa-cilities, and shall designate their executive authorities. The collections being displayed and stored in the museums administered by the governing body constitute one single asset for legal purposes, viewed as indivisible, inalien-able and not subject to any statute of limitations, so that the cultural objects that comprise them are property of the National Government and are man-aged by the institutions having jurisdiction using a decentralized approach.

Article 36. Historical archives: The following are deemed to be historical ar-chives: the series of documents produced and received by a public or private institution, natural person or legal entity that have completed their life cycle. Historical archives are understood to be spaces for the research and conser-vation of collective memory, by registering the historical processes compiled in their documentary heritage collections.

Article 37. Network of historical archives: The Network of Historical Archives shall be comprised of the National Historical Archive, which shall chair the Network, as well as public institutions that hold historical and heritage doc-

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umentation or documentation that is of interest for the collective memory, including private, church, and community document collections that volun-tarily become part of the system. This Network shall, in turn, be coordinated with the documentary management system, which is in charge of active and intermediate archives.

Article 38. Management and development of historical archives: The govern-ing body for culture and heritage shall draft the public policy for the manage-ment and development of historical archives.

Article 54. Goods and objects belonging to the national cultural heritage: By virtue of the present Law, those assets that comply with the following con-siderations are recognized as national cultural heritage and therefore do not require any other formality:

h) Historical documents, whether complete or incomplete, whether individ-ual or in collections, such as manuscripts or printed material, books, maps, sheet music and scores, telegrams, and any other document, except those that are merely administrative, which might be of historical, symbolic, cultur-al, artistic, numismatic, philatelic, or scientific interest or of interest for the collective memory and which are more than 50 years of age since they were produced, including those deemed confidential, without restriction or detri-ment to copyright and property rights.

i) Film, sound, visual, and audiovisual documents, photographs, negatives, audiovisual magnetic and digital files that are of historical, symbolic, cultural, artistic, or scientific interest or of interest for the collective memory, and in general documents on any kind of carrier that are more than 30 years of age, without restriction or detriment to copyright or property rights.

k) Documentary, archival, and historical bibliographical funds and reposito-ries established by the State based on its various duties, government institu-tions, and levels, as well as by the public or private academic sector.

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General Regulations for the Organic Law on Culture, published on June 6, 2017 in the Official Gazette, Supplement 8. Chapter II of the Collec-tive Memory Subsystem

Article 28. Historical Archives: The series of documents produced and re-ceived by a public or private institution, a natural person or legal entity and that have completed their life cycle are deemed to be historical archives. Historical archives are understood to be collective memory research and conservation places, because they register historical processes compiled in their documentary heritage collections. Historical Archives have the follow-ing goals:

Increasing documentary funds:

a) Preserving the knowledge recorded in the primary sources under their cus-tody for current and future generations.

b) Promoting historical, technical, and scientific research on the basis of their documentary heritage.

e) Fostering national identity by facilitating the appropriation and enjoyment of documentary heritage.

d) Collaborating with other related institutions, such as libraries and muse-ums, to consolidate the collective memory of Ecuadorians.

e) Disseminating documentary cultural and heritage property.

f) Working harmoniously with other State institutions to prevent illegal traf-ficking in historical documentary heritage.

Article 29. Historical documents: According to the Law, the following series of heritage documents are deemed to be documentation of a historical nature, as well as the following series of documents: manuscripts, printed matter, graphic material, cartographic, photographic, sound, electronic, and digital

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documents that currently exist or that, in the future, will be produced in all the institutions of the public and private sectors, as well as those from private individuals and that are of historical importance for research and conserva-tion of the country’s collective memory, in accordance with the parameters specified in the procedures provided for this purpose.

Basic Law on Civil Service

Article 22. Duties of civil servants: Civil servants have the following duties: Looking after the State’s economy and resources and ensuring the conser-vation of documents, tools, equipment, furniture, and property in general entrusted to their custody, administration, or use in conformity with the law and secondary regulations.

j) Submitting to periodic assessments during the discharge of their duties; and safeguarding and taking care of documentation and information, which, because of their job, office, or contract, are under their responsibility, and preventing or impeding improper use, removal, concealment, or disable-ment of the above.

Basic Law on Transparency and Access to Public Information

Article 1. Principle of Disclosure of Public Information: Access to public infor-mation is a right of persons guaranteed by the State.

All information released by, or in the hands of, institutions, bodies, and en-tities, legal entities under public or private law which, for the subject that is the substance of the information, participate in the State or are holders of State-granted concessions, in any of their modalities, in conformity with the provisions of the Organic Law of the Comptroller General of the State; orga-nizations of employees or civil servants of State institutions, higher education institutions that earn income from the State, the so-called nongovernmental organizations (NGOs), are subject to the principle of public disclosure; there-fore, all information they possess is public, except for that specified in the present Law.

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Article 2. Purpose of the Law: The present Law guarantees and governs the exercise of the basic right of persons to information in line with the guar-antees enshrined in the Political Constitution of the Republic, the Interna-tional Covenant on Civil and Political Rights, the Inter-American Convention on Human Rights, and other international instruments currently in force to which our country is a signatory.

It pursues the following objectives:

a) Complying with the provisions in the Political Constitution of the Repub-lic on disclosure, transparency, and accountability which all State institutions comprising the public sector are subject to, as well as high-level executives, authorities, and civil servants, including the institutions specified in the pre-ceding article and legal entities under private law that implement public works, provide services, etc., using government-allocated funds.

To this end, they shall adopt measures to guarantee and promote the struc-turing, classification, and management of information providing an account of government management.

b) Fulfilling international conventions on this matter that our country has le-gally adhered to:

c) Allowing the auditing of government administration and public resources, thereby effectively carrying out genuine social control.

d) Guaranteeing the protection of personal information that is in the hands of the public and/or private sector.

e) Democratization of Ecuadorian society and the full enforcement of the rule of law, by ensuring genuine and legitimate access to public information.

f) Facilitating the effective participation of the public in decision making for matters of general interest and their auditing.

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Article 4. Principles for Enforcing the Law. In the development of the right of access to public information the following principles shall be observed: a) Public information belongs to the citizens. The State and private institutions that are repositories of public archives are their administrators and are re-quired to guarantee access to information; b) Access to public information shall be, as a general rule, free of charge except for reproduction costs and shall be governed by the standards of the present Law; c) The exercise of pub-lic office is subject to the principle of openness and disclosure of its actions. This principle is extended to those entities under private law that exercise state powers and manage public resources; d) The authorities and judges having jurisdiction must enforce the norms of the present Basic Law so that it will foster the most effective exercise of the rights guaranteed herein; and e) Guaranteeing the transparent management of public information so as to fa-cilitate public participation in decision making in matters of general interest and ensuring accountability of the various authorities who hold public office

Metropolitan Ordinance No. 125 (August 2004)

Protection of Documentary Heritage of the Metropolitan District of Quito.

Obligations of citizens and custodians of archives and libraries.

Disasters in archives and libraries.

Prevention of disasters in archives and libraries.

Documentary preservation and conservation in archives and libraries (inven-tories, staff, areas, periodic cleaning, containers)

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Executive Decree No. 816, declaring a Nationwide State of Emergency in the Cultural Heritage Sector. December 21, 2007

Article 1. A nationwide state of emergency in the cultural heritage sector is hereby declared for the purpose of establishing the measures and mecha-nisms to control, use, and steer actions aimed at conserving and preserving the Ecuadorian State’s heritage property so that its disappearance will not lead to serious domestic unrest.

Article 5. The National Cultural Heritage Institute (INPC) shall establish a technical advisory group, with specialists focusing on the issue of security for spaces and equipment that hold cultural property and they shall draw up a general registry for the heritage property that requires special security and protection, identifying those that require immediate priority intervention be-cause of various circumstances of risk or threat.

Article 6. The National Cultural Heritage Institute shall propose the mecha-nisms and actions that are needed in the various sectors to prevent, elimi-nate, or minimize illegal trafficking in cultural heritage property.

3.2 Risk management

Risk management is part of the State’s comprehensive security and is a direct responsibility of every public and private sector entity in the context of its geo-graphic jurisdiction; risk management shall operate continuously as a normal part of their planning and management.

Constitution of the Republic of Ecuador

The Political Constitution of Ecuador (CPE-2008) established the National Decen-tralized Risk Management System (Sistema Nacional Descentralizado de Gestión de Riesgo—SNDGR) and set forth the principle of subsidiary decentralization. It thus provides comprehensive coverage from the central to the territorial level. In addition, levels of attention can be determined and direct responsibilities can be assigned to the system’s various stakeholders.

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In 2008, there was a shift from a system focusing on tackling emergencies to a risk management planning system. As a result of this change, emergency operations centers (centros de operaciones de emergencia—COE) were installed along with eight thematic working groups, consisting of inter-agency groups of representa-tives to provide operational support to facilitate efficient responses to emergen-cies.

Emergencies must be tackled by local authorities depending on their jurisdiction. As a result, states of alert must be transmitted to the highest local authorities, thus activating the respective protocols.

• Article 35: Priority target population.

• Article 389: Protection in the event of disasters.

• Article 390: Risk management (subsidiary decentralization).

Regulations of the Law on Public and State Security

• Article 18: Leadership for the SNDGR.

• Article 19: Composition of the SNDGR.

• Article 24: COE/CGR.

Basic Code for Territorial Planning, Autonomy, and Decentralization

• Article 140: GAD.

3.3. International regulatory framework

On January 13, 2004, the Heads of State and Government of the Americas issued the Nueva León Declaration, whereby they stated: “We are committed to provid-

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ing the legal and regulatory framework and the structures and conditions required to guarantee the right of access to information to our citizens.”1

The American Declaration on the Rights and Duties of Man, whose Article IV establishes that:

Every person has the right to freedom of investigation, opinion, and expression and dissemination of ideas, by any medium whatsoever.

In 1969, the American Convention on Human Rights was signed. Subparagraph 1 of Article 13 of this instrument clearly indicates that:

Everyone has the right to freedom of thought and expression. This right includes freedom to seek, receive, and impart information and ideas of all kinds, regardless of frontiers, either orally, in writing, in print, in the form of art, or through any other medium of one’s choice.

The American Convention expressly enshrines the right to look for and receive in-formation. In the framework of the OAS, both political bodies such as the General Assembly and the bodies of the OAS Inter-American System for the Protection of Human Rights, the Inter-American Commission on Human Rights, and the In-ter-American Court of Human Rights have given broad content to the right to the freedom of thought and expression as enshrined in Article 13 of the Convention, with a description of its individual and social dimensions, from which a series of rights that are protected in Article 17 were drawn.

United Nations Office for Disaster Risk Reduction (UNISDR)

UNISDR is the liaison in the UN System to promote synergies and coordination amongst the various activities for disaster reduction in socio-economic, human-itarian, and development, as well as to provide support to integrating various

1 Declaration of Nuevo León of January 3, 2004, available at: http://www.oas.org/documents/SpecialSum-mitMexico/DeclaracionLeon_spa.pdf

http://www.oas.org/documents/SpecialSummitMexico/DeclaracionLeon_spa.pdf

http://www.oas.org/documents/SpecialSummitMexico/DeclaracionLeon_spa.pdf

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47

related policies. It also serves as the international center for the dissemination of information on disaster reduction.

It has the following goals:

To raise public awareness about understanding disaster risk, vulnerability, and reduction worldwide,

To secure the pledge of government authorities to implement disaster re-duction policies and actions,

To stimulate the establishment of inter-disciplinary and inter-sector partner-ships, including the broadening of networks to reduce risk,

To boost scientific knowledge about disaster reduction.

Furthermore, UNISDR has a Global Platform for Disaster Risk Reduction, which is the main consultative forum for disaster risk reduction worldwide. It brings togeth-er a wide range of stakeholders from various sectors such as development, hu-manitarian work, sciences, among other sectors involved in disaster risk reduction. The Platform is aimed at expanding the political space given by governments to disaster risk reduction in all sectors and to contribute to achievement of the Mil-lennium Development Goals, especially those referring to poverty reduction and environmental sustainability. The Platform, as a global forum, advocates effective and timely action of nations, communities, interested parties, and stakeholders in vulnerability management and mitigation and risk reduction.

Memory of the World: Guidelines to Safeguard Documentary Heritage (re-vised edition, 2002) / prepared by Ray Edmondson. Paris: UNESCO, 2002

The Memory of the World is the documented, collective memory of the peo-ples of the world—their documentary heritage—which in turn represents a large proportion of the world’s cultural heritage. It charts the evolution of thought, dis-covery and achievement of human society. It is the legacy of the past to the world community of the present and the future (1.1.1 – Guidelines).

The world’s documentary heritage is perceived as a whole, the creation over time of communities and cultures which do not necessarily correspond to the nation

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states of today. The Programme is therefore able to recognize (for example) docu-mentary heritage of ethnic minorities within nations, or of single cultures that may overlap the political boundaries of several modern nations (2.2.2 – Guidelines).

Further, the Programme embraces documentary heritage over the whole of re-corded history, from papyrus scrolls or clay tablets to film, sound recordings or digital files. Nothing is too old, or too new, to be beyond consideration. This perspective of time is sharpened by a growing awareness of what has been lost, especially during the 20th century, and the importance of timely action to protect what remains (2.2.3 – Guidelines).

Accordingly, the vision of the Memory of the World Program is that the world’s

documentary heritage belongs to all, should be fully preserved and pro-tected for all and, with due recognition of cultural mores and practicalities,

should be permanently accessible to all without hindrance (2.3.1 – Guidelines).

The mission of the Memory of the World Programme is to increase awareness

and protection of the world’s documentary heritage, and achieve its univer-sal and permanent accessibility (2.3.2 – Guidelines).

Permanent access is the goal of preservation: without this, preservation has no purpose except as an end in itself. The Memory of the World Programme encour-ages democratized, universal access to the whole documentary heritage, sub-ject to due recognition of cultural restrictions and the separate considerations of copyright control, but free of artificial constraints. While perfection may never be achieved, it is right to aim in that direction. This is consistent with the UN Universal Declaration of Human Rights (1948) and the UN Covenant on Civil and Political Rights (1966). Everyone has the right to an identity, and therefore the right of ac-cess to their documentary heritage. This includes the right to know it exists, and where to find it (3.4.1 – Guidelines).

Managing Disaster Risks for World Heritage from UNESCO’s World Heritage Centre.

According to what is indicated in the text of the Manual, disasters entail risks not

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only for the physical attribute embodying the heritage values of the property, but also for the lives of visitors, staff, and communities living on the site or nearby areas and also for important documents collections. Disasters can also adversely influence the local economy owing to the loss of income from tourism and means of livelihood of the population depending on this property.

As the world’s population increases in terms of number and density and moves to areas that are increasingly prone to risk, the communities become increasingly vulnerable, especially the poor and those living in marginalized areas.

Disasters have their origin, on the one hand, in the threats and vulnerability stem-ming from the complex interaction between many factors related to each other. Many of them can be perfectly controlled by human beings. Therefore, it is pos-sible to prevent them or, at least, considerably reduce their impacts, building up the resilience of the properties that must be preserved. In addition, the impacts of one single disaster on cultural and natural properties are usually far greater than the deterioration caused by gradual wear and tear over the long term, and on cer-tain occasions can lead to their complete disappearance. Therefore, the question of disaster risk is usually the first among the priority tasks that heritage adminis-trators must address.

Another commonplace is the notion that heritage, especially cultural heritage, might constitute an additional responsibility in the event of a disaster, either be-cause its protection would require efforts or resources—at a time when the priority focuses on saving lives and goods—or because it adds on to the risks, especially in traditional settlements where buildings do not meet modern building standards for ensuring security. Nevertheless, experience shows that, if the heritage is ade-quately kept, it can contribute positively to disaster risk reduction.

National Risk Management Secretariat of Ecuador (Secretaría Nacional de Gestión de Riesgos—SNGR)

The National Risk Management Secretariat, created as a result of Executive Decree

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No. 42 of September 10, 2009, published in Official Gazette No. 31 of September 22, 2009, is a decentralized government institution in charge of protecting individ-uals and collectivities from the adverse impacts of natural or man-made disasters and drawing up policies, strategies, and standards that promote the capacity to identify, analyze, prevent, and mitigate risks so as to tackle and manage disasters, as well as to restore and rebuild social, economic, and environmental conditions that could possibly be affected by emergencies or disasters.

The goals of the National Risk Management Secretariat are as follows:

Draw up policies, regulations and strategic guidelines for risk management, in-cluding prevention, mitigation, preparedness, response, rehabilitation, recon-struction, recovery, and transfer of risk.

Promote the mainstreaming of risk management as a cross-cutting issue into the management, planning, and development of public and private institutions at all levels.

Promote institutional complementarity and harmonization in the National Decen-tralized Risk Management System, in a framework of public policy-making.

Strengthen the institutional capacities of the National Decentralized Risk Man-agement System for political and technical decision making with respect to the processes of analysis, research, prevention, mitigation, preparedness, early warn-ings, social and institutional capacity building for risk management, response, re-habilitation, recovery, and reconstruction.

Ensure that the National Decentralized Risk Management System is preventive, integrative, and flexible and that it has open channels of communication based on the definition of responsibilities and institutional mainstreaming of risk manage-ment throughout the State’s structure, with the participation of the citizenry and the private sector.

Coordinate relevant research and studies for the development and implementa-

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tion of the National Decentralized Risk Management System.

Coordinate and carry out the actions needed to reduce vulnerabilities in order to prevent, mitigate, address, and recover from the adverse impacts of emergencies and/or disasters in the national territory.

It takes into consideration strengthening, in the citizenry as well as in public and private institutions, their capacity to identify the risks inherent to their respective spheres of action, report these risks, and incorporate actions to reduce them.

Expert Group on Emergency Management and Disaster Preparedness (EG-EMDP), established in 2014 by the International Council on Archives (ICA)

Goal: Coordinate initiatives and exchange good practices in the field of emer-gency management and disaster preparedness (including mitigation, planning, response, recovery).

Objectives:

Work with colleagues in related fields and other responders to achieve this goal,

coordinate activities between ICA and other organizations such as Blue Shield and others,

coordinate and collaborate with ICA sections and branches to provide train-ing and workshop materials for archivists and colleagues in preparing for and responding to disasters, and

research and make available existing resources in many different languages.

Goal:

Facilitate professional mobilization and archival solidarity when disaster strikes.

https://www.ica.org/en/networking/blue-shield

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Objectives:

Liaise with archival and other cultural heritage organizations to respond to disasters when necessary and appropriate,

promote information sharing between professional organizations regarding lessons learned and capabilities to respond,

develop a database of lessons learned provided by professional organiza-tions,

assist in the compilation of disaster plans, case studies, etc. for future dissem-ination,

in the event of a disaster, contact the affected institutions to determine their needs to recover as time and effort permits, and

assist ICA in its advocacy for the protection of cultural heritage patrimony.

In 1979, UNESCO published, in close collaboration with the ICA, studies of the Records and Archives Management Programme (RAMP), General Infor-mation Programme, and the United Nations International Scientific Informa-tion System (UNISIST)

a) The UNESCO Division of the General Information Programme has drawn up a programme coordinated over the long term, called the Records and Archives Management Programme (RAMP), for the purpose of meeting the needs of Member States, especially in developing countries, in those sectors special-izing in document management and archives administration.

The basic elements of the RAMP Programme respond to the general issues of the General Information Programme itself. Thus, the RAMP encompasses projects, studies, and other activities aimed at:

1. Fostering the drafting of (national, regional, and international) information pol-icies and plans.

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2. Fostering and disseminating information management methods, standards, and rules.

3. Contributing to the development of information infrastructure.

4. Contributing to the development of specialized information systems in the spheres of education, culture, communication, and social, exact, and natural sci-ences.

5. Fostering the training and education of information specialists and users.

Convention for the Protection of Cultural Property in the event of Armed

Conflict with Regulations for the Execution of Convention 1954

The Hague, 14 May 1954

- First Protocol, The Hague, 14 May 1954

- Second Protocol, The Hague, 26 March 1999

Article 1. Definition of cultural property

For the purposes of the present Convention, the term ‘cultural property’ shall cov-er, irrespective of origin or ownership:

(a) movable or immovable property of great importance to the cultural heritage of every people, such as monuments of architecture, art or history, whether reli-gious or secular; archaeological sites; groups of buildings which, as a whole, are of historical or artistic interest; works of art; manuscripts, books and other objects of artistic, historical or archaeological interest; as well as scientific collections and important collections of books or archives or of reproductions of the property de-fined above;

(b) buildings whose main and effective purpose is to preserve or exhibit the movable cultural property defined in sub-paragraph (a) such as museums, large

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libraries and depositories of archives, and refuges intended to shelter, in the event of armed conflict, the movable cultural property defined in sub-paragraph (a);

(c) centers containing a large amount of cultural property as defined in sub-para-graphs (a) and (b), to be known as ‘centers containing monuments’.

Article 2. Protection of cultural property

For the purposes of the present Convention, the protection of cultural property shall comprise the safeguarding of and respect for such property.

Article 3. Safeguarding of cultural property

The High Contracting Parties undertake to prepare in time of peace for the safe-guarding of cultural property situated within their own territory against the fore-seeable effects of an armed conflict, by taking such measures as they consider appropriate.

UNE-ISO/TR 18128 IN

Information and documentation. Risk assessment in documentary management processes and systems

It provides guidelines and examples based on the general risk management pro-cess set forth in Standard ISO 31000 applied to risks involved in documentary management processes and systems. It encompasses:

a) risk identification;b) risk analysis; andc) risk assessment.

The result of the risk analysis with respect to documentary management process-es and systems must be incorporated into the general framework of the organiza-tion’s risk management. As a result, the organization will have better control of its

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documents, their quality, and their use for the purposes of the organization.

Chapter 5, risk identification, provides a detailed list of the areas of uncertainty associated with documentary management processes and systems that serves as a guide to identify risk.

Chapter 6, risk analysis, provides guidelines to determine the consequences and probabilities of the risks identified, bearing in mind the presence (or absence) and effectiveness of any existing control.

Chapter 7, risk assessment, provides guidelines to determine the level and type of risks identified.

UNESCO Emergency Preparedness and Response Unit and Heritage Emer-gency Fund

Disasters stemming from natural or man-made hazards, including earthquakes, fires, floods, landslides, and typhoons, cause serious damage and even the total destruction of countless cultural and natural heritage sites, museums, cultural in-stitutions, and intangible practices over the years.

In post-conflict and post-disaster situations, recognition and materialization of ac-tions for cultural diversity, in terms of their heritage and creative components, give new meaning to life and arise as positive forces supporting dialogue, mutual understanding, reconciliation, social stability, and reconstruction.

To better help its Member States prepare themselves for emergency situations and tackle them, UNESCO established an Emergency Preparedness and Response Unit in 2014 for the Culture Sector. In 2015, it established the Heritage Emergency Fund, which is a flexible common funding mechanism without any specific ear-marked allocations, conceived to enable the Organization to provide rapid and effective response to crises. As indicated above, this is the only UNESCO fund that addresses the issue of documentary heritage conservation and restoration in the event of disaster.

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As for disasters, the Heritage Emergency Fund reflects the principles of the Sen-dai Framework for Disaster Risk Reduction 2015-2030, adopted by the United Nations General Assembly in March 2015.

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4. GENERAL CONSERVATION MEASURES FOR ARCHIVES

Archival documents are part of a documentary life cycle, which starts when they are created or produced in an office archive and ends when they are dis-posed of or kept in a historical archive. Specifically, archives are classified in accordance with the life cycle stage in which the documentation is currently in: management or office archive, central archive, intermediate archive, or histor-ical archive. A given archival process or a specific form of documentary man-agement pertains to each one of these archives.

The management or office archives are comprised of documentation coming from administrative management activities. By its nature, these documents are used constantly and their permanence in this type of archive is usually for about two years. The permanence of the documents shall be set forth in the Records Retention and Disposal Schedules (RRDS), drawn up and approved by each archive and the authorities having jurisdiction.1 The RRDS contribute to archival planning, by defining an annual timetable that establishes the re-tentions and transfers of the documentation to the institution’s corresponding archives. The controlled management of the volume of documentation pre-vents the documents from overflowing in the archives, thus contributing to its adequate conservation.

Once the documents have completed their active phase of being processed in the management or office archives and have been confirmed by the records retention schedule, they must be transferred to each institution’s respective central archives and then, depending on the criteria and time-limits set in the country’s regulatory framework, they must be transferred to the historical file.

1 Records Retention and Disposal Schedules (RRDS) are a basic archival instrument that classifies the in-stitution’s documents according to its organizational and functional structure. These tables indicate the criteria for the retention and final disposal of the documentation, after the documentary appraisal by each one of the documentary groupings (General Archive of the Nation, Colombia).

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Established in the document production unitDocuments up to two years oldOngoing consultation and located in the same office

Stores documentary transfersStores documentary series produced in the office archivesReceives, conserves, organizes, appraises, describes, lends, and disseminates documents

Conserves the documentary series of the entire institutionPrevents the collapse of historical archivesSelects the seires for either elimination or conservation

Stores documents with historical, informative, and/or heritage value (permanently)Conserves, restores, disseminates, and provides consultation services (research and culture)

MANAGEMENT OR OFFICE ARCHIVE

CENTRAL ARCHIVE

INTERMEDIATE ARCHIVE

HISTORICAL ARCHIVE

The premises allocated for this type of archive must meet certain indispens-able requirements to prevent jeopardizing the documentation they safeguard.

The correct classification of the archives, according to the documentary life cy-cle and the corresponding archival processes, makes it possible for the various archives to establish adequate strategies and actions to guarantee adequate documentary conservation.

These general conservation measures encompass both the aspects involved in localization, design, adaptation, and maintenance of the archive’s infrastruc-ture and its documentary management, administration, and conservation. Pri-or to adopting these measures, an assessment or recognition of the current and real status of all these aspects must be carried out.

Among all these parameters, the assessment of the state of documentary con-servation is especially important to implement the optimal general conserva-tion measures in historical archives.

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Data about the archive: address, telephone, e-mail, etc.

Environment (conditions)

Furniture, measurements, and capacity

Conservation of documents

Documentary management: Types of archives, documentary typology, volume of documents per type of unit, level of documentary description by unit, identification of documentary management processes, documen-tary manager(s), reprography, services, dissemination.

Storage

Staff of the archive: positions, work schedule, level of schooling, role, duties, etc.

Infrastructure or building: building materials, accesses, surface square meters, architectural layout, security systems.

PARAMETERS FOR ASSESSING THE ARCHIVE AND ITS STAFF

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FACTORS

INTRINSIC

INDICATORS MECHANISMS

EXTRINSIC

Negligible sustainable carrier Because of the action of humidity

The middle of the document the surface is warped.

Elements missing from the carrier

Because of creasing.Tearing because of inadequa-te handling of the document

Mutilation.

Fragility of the carrier and bleeding ink, appearance

of microorganisms

Book-eating insects feed off the cellulose of the paper,

leaving behind tunnels in the entire body of the document

Because of the use of iron gall ink, which makes

holes in the document because of high acidity

Caused by the materials used in manufacturing paper, such

as oxides, acids, among others.

Humid carrier (paper)

Colored stains: purple, pinki-sh, greenish or brown

Because of the presence of humidity and dust

Elements missing from carrier

Holes in the sheet in those parts where the writing is

located

Brownish stains throu-ghout the entire surface

of the document

2

Water

Human

HR and T

Biological (mold

and bacteria)

Paper manufacturing

technology

Biological

elements,

insects and/or

small animals

Ink (material supported in

the document)

2 Las Tablas de Retención Documental (TRD) son un instrumento archivístico básico que clasifica los documentos de la entidad de acuerdo su estructura orgánico – funcional. Estas tablas señalan los criterios de retención y disposición final de la documentación, luego de la valoración documental por cada una de las agrupaciones documentales. (Archivo General de la Nación, Colombia).

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1. Reserved area2. Private area3. Public area

1 70%

10%20%2 3

-For the storeroom of the documents. This space must have a greater storage extention and capacity.- Working areas

- For the administration.- Facilities, service areas.

- For receiving users: consultation room.- Meetings

The following table presents the principal criteria used to identify the state of documentary conservation: deterioration factors to which the documents are exposed, the indicators indicating that these deterioration factors are present, and the main causes for their appearance.

The general archival conservation measures that must be taken into consider-ation to guarantee the optimal preservation of documents are presented be-low.

Physical conditions of the archive

Building

The archives must have various areas for it to function adequately. Depending on its function (management, central, and historical), the equipment and fa-cilities needed for it to perform shall be installed. For example, in the case of historical archives, it is indispensable to install a restoration workshop or labo-ratory.

Although archives cannot always reckon with all the specialized areas needed to carry out their activities, they must have at least the minimum following: documentary storeroom, loading and unloading, classification, and preventive conservation of the documents, and finally a reading room facilitating user ac-cess to the archive’s information.

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The following table shows the areas into which this kind of archive is divided and how the recommended percentage shares of the building’s total surface should be assigned to each one of these spaces.

When a pre-existing building is designated for the functioning of an archive, adaptations and remodeling must be carried out to meet the needs and re-quirements of this type of institution.

The planning for building or adapting a building for an archive must include the participation of the archivist, because this is the professional who will be able to guarantee that this space will be functional and sustainable over time.

The building housing an archive must have a structure preferably made of reinforced concrete and which avoids using wooden elements. The archive building’s structural capacity must take into consideration the factor of the documentary volume to be stored. This infrastructure must be planned so that it can have a useful life cycle of at least 20 years and with space for future ex-tension beyond its planned duration.

The types of floors that are recommended for this type of building are hard-ened concrete with a smooth finish or micro-finish or also an enameled finish. When these materials are not available, porcelain and/or ceramic tile floors can be installed, taking into account the load or weight it can withstand. This type of floor prevents the accumulation of dust and are noteworthy for being cold, flame retardant (fireproof), and with minimum abrasion, ideal for the con-servation of documentary carriers.

When an archive is located in a previously built infrastructure, the following actions must be considered:

Selecting the first floor to locate the archive’s storeroom(s). Conducting a technical assessment of the structure with the assis-

tance of a civil engineer. If necessary, reinforce the structure’s floor using a wire mesh, elec-

trically welded in both directions, or reinforcement rods in the floor and the use of hardened concrete. For these measures, the floor

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must withstand a minimum load of 1,200 kg/m2 for every 2.20 me-ters of shelves.

As for the location of the archive, the following criteria must be taken into ac-count:

Avoid locating the archive in places at risk of atmospheric, acoustic, thermal, etc. pollution.

Avoid locating the repository near gullies, rivers, or other geograph-ical areas potentially at risk of being affected by landslides, earth-quakes, eruptions, floods, gullies and rivers, etc.

If the archive is located in tropical areas or climates, control mea-sures required for this type of environmental condition must be tak-en, for example, periodic fumigations and installing adequate air conditioning systems, among others.

Storeroom area

The design or adaption of the area of the documentary storeroom must take into consideration the characteristics of the carrier and format of the docu-ments. For security reasons and to uphold the environmental conditions, its location must be outside the areas of archival work, consultation, and user services.

This space must incorporate flame-retardant (fireproof) materials and fire-con-tainment doors. The building must also include materials that are easy to clean and that withstand the passing of vehicles carrying heavy loads. Walls must preferably be smooth and built with materials that breathe, such as plaster. In addition, direct sunlight, as well as atmospheric pollution factors, must be prevented from reaching the documentation.

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Storage conditions

Furniture for the archive

The material for the furniture of the management or office archives (horizontal and vertical filing cabinets) must preferably be made of metal. In the central or historical archive, metal shelves or compact or mobile cabinets are indispens-able.

Metal shelves must be anchored to the floor and must have a maximum height of 1.80 meters in order to be accessible for the staff. If the height is greater, access mechanisms must be included to handle the documents. To prevent damage from flooding, the bottom shelves must be placed at a height of 10 to 20 cm from the floor. Likewise, compact or mobile cabinets must be anchored correctly to the floor, using a system of sliding rails to facilitate displacement.

Other highly important indications that must be taken into consideration are as follows: between the wall and furniture there must be a distance of 20 cm, to ensure adequate ventilation and circulation of air and to avoid the migration of humidity to the documents. Likewise, to facilitate access to the furniture, the circulation space between shelves must be between 70 and 90 cm and there must be a central corridor of 120 cm.

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Traditional metal shelvingMade of metal (which can be coated with fireproof and rustproof paint), coated with noncombustible and anti-corrosion paint, with slotted angles. It sometimes has four to five metal shelves. This type of shelving may be of two kinds: metal with shelves or upright metal beams (for palletized loads)

Use: Allows storing lever arch files, T2, T3, and T15 boxes

Compact or sliding shelving

Made of metal and melamine, with intermediate tray dividers or shelves that can be adjusted to the size of the binders or boxes. They save space because of the sliding system which makes each shelf easy to move to create lateral corridors. Their length varies (from 185 cm up to 465 cm) depending on the amount of pieces used inside a given space.

Use: Allows storing lever arch files, folders, T2 and T3 boxes

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PRIVATE AREA

PUBLIC AREA

SHELVES

WINDOW

WINDOW

RESERVE

NATURAL VENTILATION

NATURAL VENTILATION

Storage units

The documents, whether loose-leaf or bound, belonging to the archive re-quire, to the extent possible, storage units (boxes and binders) for their insu-lation and protection. The storage units must be chosen in accordance with the characteristics of the carriers (paper, plans, maps, posters, photographs, etc.), that is, weight, size, and function.

To prevent physical deterioration of the documents, such as warping, break-ing, and tearing, among others, the storage capacity of these conservation units must be strictly complied with.

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TYPE OF STORAGE UNIT STORAGE CAPACITYMATERIAL

Plastic folder

L4 lever arch file

L8 lever arch file

Plastic

Cardboard

Cardboard

100 A4 sheets

250 A4 sheets

500 A4 sheets

500 A4 sheets or 5 folders or2 L4 lever arch files or1 L8 lever arch files

1m12 T2 boxes

Gray cardboard lined with binding material (external part) and acid-free paperboard (inner

part in contact with the documentation)

One or various documents considering the formats and

shape of case files

Acid-free customized containers

Acid-free paperboard or foldable paperboard

One document per envelope considering the

shape of the case file

Acid-free customized envelopes

T2 technical

box

Corrugated cardboard



2000 A4 sheets, or20 folders or8 L4 lever arch files or8 L8 lever arch files

1m3 T15 boxes

T15 box

1000 A4 sheets or10 folders or4 L4 lever arch files or2 L8 lever arch files

1m6 T3 boxes

T3 technical

box

26cm

38cm

8cm

16 cm

27 c

m

34 cm

40 cm

26 cm

38 cm

TYPE OF STORAGE UNIT

STORAGE CAPACITY TECHNICAL SPECIFICATIONS

NUMBER OF CONSERVATION

UNITS IN FURNITURE

MATERIAL

Acid-free customized envelopes

Acid-free customized containers

Handmade binding

Acid-free boxes

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16-21° C(Daily variation: 3° C)

45-60%(Daily variation: 5%)

RECOMMENDED RANGES FOR PAPER CARRIERS

Temperature Relative humidity

Environmental conditions and monitoring

The principal factors of documentary deterioration are associated with the en-vironmental conditions of the archives or repositories. Inadequate tempera-ture or humidity levels and sudden changes in these levels, exposure to certain types of artificial lighting or sunlight, dust and environmental pollution, among other environmental conditions, can lead to serious damage to the documen-tary carriers. In addition, depending on the materials of the carriers (types of paper and ink), these environmental conditions can trigger harmful biologi-cal, mechanical, and chemical reactions detrimental to adequate documentary conservation.

Temperature and humidity

There is no ideal temperature or relative humidity level for the adequate conservation of documents. There are only ranges and values that help to minimize sudden changes in the materials of the carriers. This means that a temperature or humidity level that is acceptable for one material may be catastrophic for another. The temperature and relative humidity ranges that must be taken into consideration for maintenance of the paper carriers are summarized in the following table.

Special documentary carriers or carriers other than paper, such as photo-graphs and those covered with parchment, leather, or textile, specific humidi-ty and temperature ranges and measurements are required for each one.

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RANGES RECOMMENDED FOR OTHER CARRIERS

CARRIER RELATIVE HUMIDITYTEMPERATURE

15 – 20 °C 30 - 35%

45-60% /textile 30-50%

30 - 40%10 – 18 °C

18 – 20 °CParchment, leather or textile bindings

Color photographs

Black and white photographs

3 Los parámetros recomendados han sido obtenidos de comparar los rangos que sugieren: El Archivo General de la Nación de Colombia, la ISO 1179, DIBAM, NORTHEST e IFLA.

Sudden variations in temperature and relative humidity in the archives or re-positories affect the dimensions and mechanical properties of the organic ma-terials. If the repository is exposed to high temperatures and relative humidity, it is highly likely that microorganisms (mold) will appear in the documents and that pests and insects will attack the carriers. Likewise, heat and low relative humidity can lead to drying and cracking of leather, parchment, paper, and adhesives.

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WHEN IS IT DONE? WHAT IS DONE?

Two or three times a day (morning, noon, and afternoon)1-2

3-4-5

6-7

Monthly

Weekly

Recording and analyzing humidity and temperature

Measuring humidity and temperature

Monitoring humidity and temperature

2

3

4

5

6

7

If the data loggers are digital, set apart one day per month to download the information into

the computer, otherwise write the data down on a special form for that purpose.

Add up the recordings for humidity and temperature and calculate the monthly average for both.

Review sudden changes in temperature and humidity, considering the recommended ranges at the start of this measurement.

The dehumidifiers must be emptied constantly and the cooling systems must be checked constantly depending

on the changes recorded.

1

Draw a sketch or graphic design that makes it easy to identify and detect the data loggers.

Place the humidity and temperature data loggers (thermo-hygrometers) in strategic places of the documentary repository.

If major changes in conditions are identified, corrective measures shall be implemented such as the

use of humidifiers (to reduce humidity in the environment) or cooling systems (to prevent heat from

building up) to even out the conditions or sudden changes in temperature and relative humidity.

Measures for controlling and monitoring temperature and humidity

Controlling and monitoring temperature and humidity in historical archives is an essential procedure in order to remedy, on time, any variation in these en-vironmental factors that could affect the documents.

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200-300 lux

50-100-200 lux

Consider if there is any natural light and the measure taken to use artificial light.

These ranges are applicable when the presence of natural light is entirely

excluded.

TEMPERATURA

Reading rooms

50 - 70 luxDuring an eight-hour day for up to

60 to 90 days.For exhibition

Storage area, docu-mentary repository

AREAS LEVEL OF LIGHT REMARKS

Lighting

Inadequate lighting in the repositories or archives can trigger harmful chem-ical reactions in the documentary carriers. The most frequent types of deteri-oration, some of it irreversible, in documentation, because of lengthy or brief exposure to various types of light (visible, infrared, and ultraviolet), are as fol-lows: chemical breakdown of organic materials (paper, leather or textile bind-ings, etc.) and discoloration or darkening of the paper.

Therefore, to prevent this type of damage in the documentation, it is highly important to consider the levels of light and the type of lighting that is cho-sen to light up the repositories. In that regard, the lighting of an archive must include fluorescent equipment with minimum ultraviolet rays. In addition, the levels of lighting must be adjusted to the size or area of the repository that needs to be lit.

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HOW IS IT DONE?

WHAT TO DO?

Remove documentation from each shelf.

Cleaning and disinfecting the furniture and physical premises

WHEN IS IT DONE?

Every six months or year (depending on volume of documents)

1

Clean from top to bottom so that any accumulated dust can fall without going up to the upper shelves.2

Remove settled dust from shelves with a low-powered vacuum cleaner without neglecting to clean the top shelves because that is where the largest amount of dust accumulates.

3

Use sprays with low toxic content (ionic detergent or acetic acid dissolved in a proportion of 1:5, respecti-vely, or antiseptic alcohol dissolved in water in a proportion of 1:3) and it is removed using a dishcloth or wipe, which must be discarded after use.

4

Cleaning and maintenance

For adequate documentary conservation, it is indispensable to periodically clean and disinfect the repositories and documents. It is very important to avoid the accumulation and sedimentation of solid particles on the furniture and documentation. It must be taken into account that adequate and constant airing and ventilation of the documentary storerooms prevent dust from ac-cumulating in these spaces and therefore prevent microorganisms (mold) that attack the documents from thriving.

During these activities, the following security measures must be taken to pro-tect the staff’s health and to ensure the adequate handling of the documents: using suitable garments (apron, gloves, mask, etc.), low-toxicity cleaning agents and disinfectants, and low-powered vacuum cleaners to get rid of the dust, among others.

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4 Some of the security systems included in the tables presented below are costly. Because of that, we also present more economic alternatives, but which perform the same function.

Automatic extinguisher system(smoke detectors)

Monthly

Yearly

Alternative: Hand-held extinguishers: CO2, Solkaflam, or multipurpose

Visual inspection by the person responsible for the archive who

checks that the devices are operating correctly and are being cleaned and transmits the relevant

information.

Review by a person from the fire department if deemed necessary

Monthly The person responsible for the library and archive visually checks

the condition of the hand-held extinguishers (corrosion of the

bottles, expiration date).

FIRE-EXTINGUISHER SYSTEM PERSON RESPONSIBLE FOR CHECKINGPERIODIC CHECKING

Security systems for archives

To ensure the conservation and preservation of documents, as well as to guarantee the security of the staff safeguarding them, the archives must have the following minimum security systems as a priority:4

Fire prevention and fire-fighting systems

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Air conditioning: Ventilation and air purification

Every six months

Alternative: Household fans

The person responsible for the library and archive and/or the documentary

custodian checks air intake and outtake, maintenance of ventilation system for at least six hours, ongoing maintenance of

the system, air filter.

Daily The person responsible for the library and archive and/or documentary

custodian does the following:1.Places the household fans to improve

air circulation in the repository.2.Schedules about three hours of

operation, with two hours of interruption.

VENTILATION OR AERATION SYSTEM PERSON RESPONSIBLE FOR CHECKINGPERIODIC CHECKING

Closed circuit TV and automatic alarms

Monthly

Monthly

Alternative: motion sensors, private security services

Inspection by building or premises manager, who checks that all devices

are operating correctly.

Inspection by building or premises manager, who checks that security

staff and motion sensors are working.

ANTI-THEFT SECURITY SYSTEMS PERSON RESPONSIBLE FOR CHECKINGPERIODIC CHECKING

Ventilation or aeration system

System against theft or vandalism

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75

It is very important to bear in mind that these systems require periodic moni-toring and maintenance for them to operate adequately. The cost of this item must be included in the yearly budget for the archives or repositories.

Handling of the documents

The inadequate handling of documents is another most common cause of documentary deterioration. Because of that, it is of the utmost importance to follow the recommendations indicated below in order to prevent possible damage to the documentation:

Always use surgical gloves and mask to handle the documents. Avoid photocopying the document, to the extent possible. Handling documentation with dirty hands is forbidden. If it is important to digitize the documents as a preventive conservation

measure, the conservation conditions of the documents, how they are to be handled, and their formats must be ascertained prior to the digitiza-tion.

Avoid using metal staples, clips, clasps, or fasteners on the documents. Instead, galvanized staples or plastic clips, clasps, or fasteners can be used. To prevent mixing up simple documentary units in a case file, plastic dividers must be used, replacing metal staples and identifying or labeling these dividers.

Do not use rubber bands to bind documentation; because they are made of gum, rubber, and hydrocarbons and do not withstand heat and high temperatures, as a result of which they stick to the documents.

Documents must be handled on the basis of their respective storage unit, whether it is a folder or a binder. In both cases, the storage unit must never be pulled or held from the upper part of the document in order to prevent breaking or tearing. The right way to handle it is to always take it from the middle of its spine.

When the documents are transferred from one archive to another, they must be stored in technical boxes. In addition, during the transfer, the boxes must be handled with both hands and in no case can they be thrown on the floor.

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76

Tape should never be used to mend documents (breaks, tears, etc.). This activity must be carried out using special mending tape that has special archive-quality features.

To prevent accidents in the documentation that might lead to stains on the carriers or might jeopardize the legibility of the information, docu-ments must never be handled with dirty hands, and no eating or drinking is allowed on them.

Handling documents in the presence of microbiological organisms and

pests

The staff handling documentation having microbiological deterioration must not suffer from any clinical respiratory problems or skin problems because these illnesses may be aggravated by this.

To handle this type of documentation, it is necessary to use special per-sonal protection equipment, consisting of a disposable overall garment or coat, latex or nitrile gloves, a mask with a filter for particles, sanitary cap for the hair, and if necessary safety glasses.

Contaminated documentation must be isolated from the rest of the docu-ments. To this end, cardboard boxes or envelopes made of lint-free cloth may be used, labeling and identifying them as “microbiological deteri-oration” Until the documentation has been treated, the cloth must be changed periodically. Likewise, to reduce the humidity, dehumidifiers or desiccants, such as dry packs of silica gel, must be placed in the boxes.

Since sudden changes in temperature can trigger the proliferation of mi-croorganisms, placing the contaminated documentation in areas benefit-ing from environmental control is recommended.

It is very important to wash one’s hands and face with antibacterial liquid soap before and after isolating the documentation. This procedure makes it possible to reduce the risk of disseminating the microorganisms.

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77

- Use cotton gloves for hand-

ling.

- Never touch the emulsion

side of photographic images in

the case of negatives, over-

head transparencies, slides,

etc.

- Place the photograph on a

stiff support for transport

(acid-free paperboard).

- Do not use extraneous

elements to fasten the mate-

rials (clips, staples, elastic

bands, etc.).

- Paper, cardboard, or

plastic can be used for

their storage as long as

they meet the following

conditions: high-cellulose

content (87%), neutral pH,

low sulfur content, and

without any lignin, alkaline

reserve, metal particles,

etc.

- Polyester can be used (as

long as the environment is

stable), except for printouts

and negatives with fragile

surfaces, glass supports,

tintypes.

Avoid exposure to light and

particulate elements from the

environment:

Black-and-white printouts

and negatives

Temperature: 18° C

Relative humidity: 30 to 40%

Color materials:

Temperature: below 2° C


PHO

TOG

RAPH

IC

MAT

ERIA

LS

Do not press the disc

with your fingers, in order

to prevent particles from

getting trapped in the

disc’s grooves.

- Store them in flexible polye-

thylene bags and discard any

cardboard, paper, or PVC.

- Do not place the discs one

over the other or other loads

over them.

- Store vertically and by size

to prevent uneven pressure

from being exerted on discs

that have different sizes.

Sudden and rapid changes

in environmental conditions

can impact the chemical

composition of the plastic

that the disc is made of:

Temperature: 18° C

Relative humidity: 40%

AUD

IO O

N D

ISC

- Use gloves for handling

discs.

- Preventing sharp-edged

surfaces from being in

contact with the discs.

- Do not use any cleaning

solvent.

- Clean disc edges with

light air blown from inside

to outside.

Use acrylic boxes to store

discs.

Use dust-free and cool environ-

ments for storage:



OPT

ICAL

MED

IA

Use lint-free cotton

gloves, holding only the

edges of the film to

prevent scratches, wear

and tear, or creasing.

- Each film must be stored

separately from the others.

- Separate deteriorated

materials from those that are

in good condition.

- For storage, the same

wrapping used for photogra-

phic materials can be used.

- Films on plates are placed

in sleeves and then in spe-

cial boxes.

- Films on reels/spools

(cinematographic, microfil-

ms) are kept spooled with

the emulsion and inside

boxes with materials such as

polypropylene or polyethyle-

ne.

- This material is stored in a

dark, dry, and cool environ-

ment with adequate air

circulation.

Depends on the type of

support for the film and

frequency of use (tempe-

rature ranging from -5 to

20° C and relative humi-

dity ranging from 20 to

40%)

Annual variation: 2° C

and +/- 5%FILM

(MO

VIES

)

- Avoid handling and if hand-

ling is required, lint-free cotton

gloves must be used.

- Do not touch the magnetic

tape.

- Do not use any product for

cleaning the tapes.

- Do not use adhesive tape to

label the magnetic tapes.

- Ensure adequate maintenan-

ce of equipment to prevent

damage to the tapes.

- Use a cleaning cassette after

a damaged tape has been

used.

- Rewind the tapes completely.

- Protect the tapes and repro-

duction equipment from dust.

- Avoid places with dust.

- Do not expose the tapes

to sunlight.

- Store vertically.

- Use reels and containers

or cases of the highest

quality to store the tapes.

- Do not use paperboard

that might be acidic to

store the tapes.

Dry cool places are required

for storage:

Temperature: 15° C (+/- 3)


MAG

NET

IC M

ATER

IALS

(cas

sett

es, a

udio

, ree

ls, d

isket

tes,

etc

.)

HANDLING PROTECTION ENVIRONMENTAL CONDITIONS*

Conservation measures for documents on special carriers

- 78 -



78

- Use cotton gloves for hand-

ling.

- Never touch the emulsion

side of photographic images in

the case of negatives, over-

head transparencies, slides,

etc.

- Place the photograph on a

stiff support for transport

(acid-free paperboard).

- Do not use extraneous

elements to fasten the mate-

rials (clips, staples, elastic

bands, etc.).

- Paper, cardboard, or

plastic can be used for

their storage as long as

they meet the following

conditions: high-cellulose

content (87%), neutral pH,

low sulfur content, and

without any lignin, alkaline

reserve, metal particles,

etc.

- Polyester can be used (as

long as the environment is

stable), except for printouts

and negatives with fragile

surfaces, glass supports,

tintypes.

Avoid exposure to light and

particulate elements from the

environment:

Black-and-white printouts

and negatives

Temperature: 18° C


Color materials:



PHO

TOG

RAPH

IC

MAT

ERIA

LS

Do not press the disc

with your fingers, in order

to prevent particles from

getting trapped in the

disc’s grooves.

- Store them in flexible polye-

thylene bags and discard any

cardboard, paper, or PVC.

- Do not place the discs one

over the other or other loads

over them.

- Store vertically and by size

to prevent uneven pressure

from being exerted on discs

that have different sizes.

Sudden and rapid changes

in environmental conditions

can impact the chemical

composition of the plastic

that the disc is made of:

Temperature: 18° C


AUD

IO O

N D

ISC

- Use gloves for handling

discs.

- Preventing sharp-edged

surfaces from being in

contact with the discs.

- Do not use any cleaning

solvent.

- Clean disc edges with

light air blown from inside

to outside.

Use acrylic boxes to store

discs.

Use dust-free and cool environ-

ments for storage:



OPT

ICAL

MED

IA

Use lint-free cotton

gloves, holding only the

edges of the film to

prevent scratches, wear

and tear, or creasing.

- Each film must be stored

separately from the others.

- Separate deteriorated

materials from those that are

in good condition.

- For storage, the same

wrapping used for photogra-

phic materials can be used.

- Films on plates are placed

in sleeves and then in spe-

cial boxes.

- Films on reels/spools

(cinematographic, microfil-

ms) are kept spooled with

the emulsion and inside

boxes with materials such as

polypropylene or polyethyle-

ne.

- This material is stored in a

dark, dry, and cool environ-

ment with adequate air

circulation.

Depends on the type of

support for the film and

frequency of use (tempe-

rature ranging from -5 to

20° C and relative humi-

dity ranging from 20 to

40%)

Annual variation: 2° C

and +/- 5%FILM

(MO

VIES

)

- Avoid handling and if hand-

ling is required, lint-free cotton

gloves must be used.

- Do not touch the magnetic

tape.

- Do not use any product for

cleaning the tapes.

- Do not use adhesive tape to

label the magnetic tapes.

- Ensure adequate maintenan-

ce of equipment to prevent

damage to the tapes.

- Use a cleaning cassette after

a damaged tape has been

used.

- Rewind the tapes completely.

- Protect the tapes and repro-

duction equipment from dust.

- Avoid places with dust.

- Do not expose the tapes

to sunlight.

- Store vertically.

- Use reels and containers

or cases of the highest

quality to store the tapes.

- Do not use paperboard

that might be acidic to

store the tapes.

Dry cool places are required

for storage:

Temperature: 15° C (+/- 3)


MAG

NET

IC M

ATER

IALS

(cas

sett

es, a

udio

, ree

ls, d

isket

tes,

etc

.)

HANDLING PROTECTION ENVIRONMENTAL CONDITIONS*

- 79 -



79

Documentary management: description, appraisal, and disposal of docu-ments

Documentary description processes carried out in central and historical ar-chives facilitate access to information and the physical location of the docu-ments in the archive. The most important tools for archival description are the inventory, the guides, and the catalogues. Documentary inventory is a tool used for archival description and makes it possible to learn about the type of documentation that is being kept in the archive, the physical location of the documents in the repository, the documentation’s conservation condition. Learning about the conservation status of the documentation makes it pos-sible to accurately ascertain the restoration measures it requires. In addition, these procedures are essential to take measures to prevent natural disasters in archives, for example, the identification of landmark documents or those that have special historical value, as well as the drafting of a priority salvage plan for these documents.

Furthermore, the appraisal and disposal of the documents are also useful to prevent improvised transfers and uncontrolled growth of the volume of doc-uments. Purging or elimination is an archival procedure to identify the docu-mentation that must be eliminated. This procedure must be implemented by a specialized committee which, prior to the purge, appraises the historical, legal, and administrative value of the archive’s documents. This activity avoids accumulating documents in the repository; therefore the purge becomes an indispensable activity for documentary conservation. It must be recalled that the best way to avoid accumulating documentation in the repositories is to avoid producing unnecessary documents.

As for the threats of earthquakes and volcanic eruptions, a policy to digitize documents after they have been appraised by the documentary funds must be implemented. Digitization guarantees the preservation of information in the event of disasters. After a disaster, the original documents must be transferred to safe areas.

- 80 -



80

To select an archival repository, analyze the risks involved (incoming sunlight, environmental pollu-tion, areas close to rivers, etc.).

Assess the archive to learn about its conditions.

Ensure that there is an inventory of the documenta-tion to learn about its conditions (description level, storage location, conservation status, etc.).

Draw up a disaster contingency plan

Consider the conservation parameters when digiti-zing the documentation.

Periodically clean the premises, furniture, and documentation.

Do not exceed shelving capacity when storing documentation or, failing this, avoid cramming the

documents.

Monitor and control the documentation reposi-tory’s environmental conditions (relative humidity

and temperature, lighting) and implement correc-tive measures if irregularities appear.

If there are any biological impacts (insects, microor-ganisms) on the documentation, isolate the mate-

rial in a separate area, using protection equipment for the staff, and request assistance from a docu-

ment conservation specialist.

Periodically inspect the repository: infrastructure, electric power installations, sanitary facilities, con-

ditions of furniture, etc.

Train users on how to handle documents appro-priately, to ensure their conservation.

Handle the documentation carefully and, if it is historical, use gloves and mask.

Avoid to the extent possible the use of metal ele-ments such as staples, clips, etc., replacing them by plastic elements.

Do not use commercial adhesive tapes for improvi-sed repairs.

Use storage units according to the format and observe storage capacity limits.

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

Basic advice for documentary conservation

- 81 -



81

To select an archival repository, analyze the risks involved (incoming sunlight, environmental pollu-tion, areas close to rivers, etc.).

Assess the archive to learn about its conditions.

Ensure that there is an inventory of the documenta-tion to learn about its conditions (description level, storage location, conservation status, etc.).

Draw up a disaster contingency plan

Consider the conservation parameters when digiti-zing the documentation.

Periodically clean the premises, furniture, and documentation.

Do not exceed shelving capacity when storing documentation or, failing this, avoid cramming the

documents.

Monitor and control the documentation reposi-tory’s environmental conditions (relative humidity

and temperature, lighting) and implement correc-tive measures if irregularities appear.

If there are any biological impacts (insects, microor-ganisms) on the documentation, isolate the mate-

rial in a separate area, using protection equipment for the staff, and request assistance from a docu-

ment conservation specialist.

Periodically inspect the repository: infrastructure, electric power installations, sanitary facilities, con-

ditions of furniture, etc.

Train users on how to handle documents appro-priately, to ensure their conservation.

Handle the documentation carefully and, if it is historical, use gloves and mask.

Avoid to the extent possible the use of metal ele-ments such as staples, clips, etc., replacing them by plastic elements.

Do not use commercial adhesive tapes for improvi-sed repairs.

Use storage units according to the format and observe storage capacity limits.

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

Figura 1: Ilustraciones compuestas sobre conservación Fuente: [Documento de word (2017)].

- 82 -



82

5. 1. CONTINGENCY PROCEDURES IN HISTORICAL ARCHIVES IN THE EVENT OF NATURAL DISASTERS

Contingency procedures are a series of actions that archives or repositories must

implement before, during, and after a natural disaster has occurred. Adequate

implementation of these actions shall help to prevent and mitigate the damage

produced by this type of high-impact event. Contingency procedures must also

include the drafting of a contingency plan, in which each archive defines, in writing,

these actions in detail, with their respective timetables and persons in charge.

5.1 Natural and man-made disasters

Disasters or adverse events are, in many cases, catastrophic events, triggered by

natural phenomena, such as earthquakes, volcanic eruptions, floods, tsunamis,

massive landslides, etc.1, or by human action (anthropogenic), such as fires,

environmental pollution, vandalism, armed conflicts, etc. As a rule, disasters are

unforeseen events that seriously alter the economic, social, and cultural dynamics

1 In certain cases, human actions can trigger them. For example, deforestation can be a factor that in-creases the threat of flooding. On the other hand, the use of explosives for extraction activities can lead to landslides.

Floods Acts of war, terrorism, vandalism

Earthquakes Fires, water (broken pipes, seepage, etc.)

Volcanic eruptions Explosions

NATURAL MAN-MADE (ANTHROPOGENIC)

- 83 -



83

of a given place or territory. Because of that, they cannot be addressed or tackled

only with the resources available at that time, although preventive measures can

be taken and suitable and timely contingency procedures can be installed to

mitigate the damage they can cause.

Planning is a useful methodological tool to manage an archive and its various areas,

for example, the administrative area, the area of technical processes, the fund-

raising area, and the area for obtaining equipment and improving infrastructure,

the architectural features, and information and communication technologies

HOW IS IT DONE? WHAT IS DONE? WHO DOES IT? STAGES

Assess the building’s internal and external environmental threats, review preventive measures in

force.

Monitor fire protection systems, maintenance of systems and

facilities.

Review building’s layout plans, list of salvage priorities, staff training,

salvage operations, instructions for long-term rehabilitation, etc.

Follow emergency procedures provided, conduct preliminary

evaluation of scope of damage, dry wet materials.

Set priorities for conservation work. Draw up a conservation program in

stages, rehabilitate premises impacted by the disaster, examine the disaster, and improve the plan.

Ascertain the hazards for the building and its

collections.

Implement measures that prevent or reduce

all dangers.

Develop a prepared-ness, response, and

recovery plan in writing.

Procedures to follow when the disaster

occurs.

Restore the disaster site and the damaged materials to secure stable conditions.

Document custodian/-curator

Documents custodian/-curator and technical

expert

Person in charge of library repository

and/or archive and/or the documents custo-

dian/curator

Library and/or archive staff

Library and/or archive repository staff

Risk assessment

Prevention

Preparedness

Response

Recovery

1

2

3

4

5

WHERE IS IT DONE? Libraries of all kinds, including historical libraries. Central, intermediate and historical archives

- 84 -



84

(ICTs), among others. Along with these planning areas, the archives must also draft

contingency procedures and guidelines for taking action to prevent and mitigate

the damage caused by natural or man-made (anthropogenic) disasters.

Contingency procedures must include: a) an assessment of natural threats and the

risks which the archive is exposed to; b) general and specific preventive measures

that the repositories must adopt to tackle each one of the natural threats identified;

and c) the response and retrieval of the documents and archive after the natural

disaster has occurred. Each one of these stages includes priority and responsible

actions for their coordination and implementation.

5.2 Assessment of threats and risks

Each one of the archives or repositories must use a simple methodology to identify,

typify, and characterize the natural threats to which they are exposed. The threats

refer to the likelihood that potential damaging natural phenomena might occur

over a specific period of time and in a known locality or area.

The most recurrent natural disasters or adverse events in Ecuador are the following:

high tides, floods, high surf, gales, landslides, volcanic eruptions, structural and/

or forest fire, structural collapse, earthquakes, tsunamis, and drought (EIRD, 2015).

After the threats are identified, the risks the archive is exposed to in the event

these threats materialize must be specified. The risks refer to the estimate or

calculation of the losses or damage triggered by a natural or man-made threat

over a specific period of time in the future. The risks are dynamic and may increase

or decline depending on the intensity of the threat-hazard and the vulnerability

or susceptibility of the archive, its infrastructure, staff, and documentation to the

- 85 -



85

Earthquakes, tremors, tsunamis, tidal waves, volcanic eruptions with

fumaroles and ejections

Phenomena stemming from inside the Earth (internal

geodynamics)

Massive movements of land, such as landslides, caving in, mudslides,

etc.

Phenomena occurring on the earth’s surface (external geod-

ynamics)

Floods, hail, gales, rainstorms, frost, drought, snowfall

Hydro-meteorological and oceanographic phenomena

TYPOLOGY OF NATURAL THREATS

THREATS DESCRIPTION

impacts of that threat.2 In other words, the probable risk or damage may be worse

to the extent that both factors or one of them will vary. The risk can be classified

as intensive or extensive.

2 The types of vulnerabilities are as follows: social, structural, economic, environmental, and managerial failings.

Intensive Damages and losses caused by phenomena that do not occur and/or recur frequently, but which are large-scale and very intense (earthquakes, volcanic eruptions, tsunamis, etc.).

Extensive

TYPES OF RISK

RISK CHARACTERISTICS

Damage and losses caused by highly frequent and/or recurrent phenomena, but whose magnitude and intensity range from moderate to low (landsli-des, floods, etc.). The cumulative losses may be very substantial over time.

- 86 -



86

To specify the risks, it is necessary to assess the following components:

The external conditions surrounding the archive, for example, the presence of

chemical industries, drainage pipes, routes for shipping hazardous materials,

and adjacent building projects, among others.

Infrastructure: Stability of the ground where the archive is located, as well as

the structural soundness and general conditions of its facilities.

Documentary funds: In this case, the following parameters must be taken into

consideration:

› Typology of the materials of the document: Depending on the technology

used for documentary production (carrier or paper and ink), it is possible

to estimate what kinds of damage the documents are most prone to, for

example, those associated with humidity and fire, among others.

› Relevance of the storage or conservation units.

› Identifying the shelves built into the structural elements of the building

in the case of earthquakes.

› Identifying water seepage, excess humidity, incoming particulate

elements (dust).

Identifying if the storage units are placed close to sources of water or on the

bottom shelf of the shelving, where this information would be damaged in

the case of flooding.

Analyzing cleaning procedures to control the appearance of microorganisms

or insects.

- 87 -



87

Analyzing security procedures to prevent vandalism.

Analyzing the vulnerabilities of documentary management, for example,

if there is an inventory, guide, or index for the documentary fonds or if an

appraisal of the documents has been carried out and, on the basis of that

appraisal, if safeguarding has been envisaged or a priority rescue strategy

drafted for the landmark or most important documents held by the archive.

5.3 Stages of prevention, response, and recovery in the event of naturaldisasters

As indicated earlier, reducing or mitigating risks, damages, or losses in historical

archives because of natural disasters depends on the actions that are carried out

before, during, and after a natural disaster has occurred. Each one of these stages

has its specific goals, activities, and timeframes.

In addition, each one of the natural disasters shall cause specific impacts and

damages. Because of this, it is necessary to establish specific prevention, response,

and recovery actions for each one of these natural threats. Nevertheless, there

are general criteria for acting in each one of these stages, which must be applied

regardless of the type of natural disaster that occurs.

PREVENTION STAGE

The prevention measures are all those actions undertaken before the natural

disaster occurs, for the purpose of avoiding or reducing the damage or loss caused

by the possible natural disaster.

Risk map

On the basis of the risk assessment carried out earlier, a map must be drawn

pinpointing the risks and the repository’s vulnerable places to any natural disaster,

- 88 -



88

with the participation of all of the archive’s staff and the support of a technical expert

from the Risk Department of the National Cultural Heritage Institute (INPC). For

these activities, drafting a simple drawing showing the layout of the archive and

its surroundings is recommended. Afterwards, on this map, the following should

be shown: the vulnerable areas and the potential risks, the current deterioration

of the building and its surroundings, the safe places and hazardous ones, the

evacuation route(s), and meeting places.

Ongoing monitoring, maintenance, and security measures of the archive

Periodic measures for the archive’s monitoring or inspection, maintenance

and security are essential to prevent and reduce the impacts on the archive

stemming from natural disasters. These measures have to do with the condition

of the infrastructure, the maintenance of the security systems, the cleaning of the

repository, and the implementation of general security measures in the archive.

- 89 -



89

› Periodic inspection, evaluation, and updating of the risks identified in

the archive, with support from the respective local and national public

institutions (Risk Management Secretariat—SGR, Decentralized Autonomous

Government—GAD, National Police Force, Fire Department of Ecuador, etc.).

› Supervision and daily monitoring of the archive’s security measures and

systems (against fire and theft and for ventilation).

› Periodic maintenance of security systems.

› Appropriate ongoing cleaning of the archive.

› Safe storage far from the storeroom for inflammable products and materials

(cleaning products, office supplies, etc.).

› Labeling of documents and hazardous materials and products.

› Placement of shelves, furniture, equipment, and documents in compliance

with maximum load limits on floors and walls.

› General signposting of the areas indicating the layout of the archive and

security equipment.

› Signposting for evacuation route(s).

- 90 -



90

Preventive documentary management

Before a natural disaster, the documentary inventory must be updated and a copy

of the inventory kept in a place outside the risk area. This activity shall be under the

direct custody of the documentation. Likewise, at the same time as the inventory

is updated, a documentary appraisal shall be carried out. As a result of this task,

the documents that must be salvaged as a priority during the disaster and those

that shall receive priority treatment after the natural disaster shall be identified.

Figura 2: Fotografía de conservación Fuente: UNESCO (2017).

Staff training

With support from local and national institutions in charge of risk management,

every archive must plan and implement an ongoing training program for its staff.

This training program must include practical courses on emergency actions that

must be implemented before, during, and after a natural disaster has occurred,

basic first-aid procedures, and the management of toxic substances and solvents

- 91 -



91

Figura 3: CC0 1.0 Universal (CC0 1.0)

used in storerooms, workshops, and laboratories. Training modules should also

be provided on the regulatory framework and the institutional structure of risk

management and cultural heritage in Ecuador. Adequate ongoing training fosters,

among those working in archives, a culture of self-protection and safeguarding of

documentary collections.

Dissemination

One of the principal responsibilities of the archives with their employees and

users is the timely dissemination of information about risks, to those who are

exposed in these places, with respect to possible natural disasters and about

the emergency and security measures that must be implemented in these cases.

Dissemination and awareness-raising can be carried out through various channels

of information: workshops, conferences, working meetings, radio and television

broadcasting spots, audiovisual presentations, posters, leaflets and foldouts for

mass distribution.

- 92 -



92


Drills

Natural disasters almost always occur unexpectedly and, sometimes, the impacts

of these natural phenomena are aggravated by panic, improvisation, and lack

of coordination among the affected population. To avoid this situation, it is very

important to carry out drills in the archives about how staff must act in the event

of an emergency stemming from a natural disaster. Drills are implemented in

accordance with an established security and protection plan for both human beings

and landmark documents exposed to the risk of natural disasters. After every drill,

an evaluation must be carried out to ascertain the real response capacity of the

archive employees and to incorporate the necessary remedies to the security and

- 93 -



93

protection plans. Periodic drills are recommended so that the staff and users of the

archives can learn to take care of themselves, prepare themselves, and implement

preventive measures in the event of an emergency.

Basic emergency equipment and materials

To ensure that harm to employees and impacts on the archive’s documentation,

as a result of a natural disasters, are tackled on a timely basis, there must be basic

emergency equipment and materials available: protective helmets, felt gloves,

surgical gloves, mountain boots, harness with snaps and security rope, back braces

for loading, protective glasses, batteries, gas lamps, plastic aprons, toolkit, and

ladders so property located in unsafe places can be reached.

Included in the basic emergency equipment, there must be a first-aid kit, with

the following elements: a working flashlight with new batteries, scalpel handles,

scalpel blades, a reamer, clamps, cotton, demineralized water, alcohol, traditional

Japanese paper (washi), polyvinyl acetate, large and small paintbrushes.

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RESPONSE STAGE

Response to a natural disaster is decisive, not only to save the life of employees

and users of the archives, but also to prevent greater damage or the loss of

documentation. Contingency actions during this stage must be implemented

in accordance with the emergency plan previously established and taking into

consideration the security conditions prevailing in the building after the natural

phenomenon. Adequate coordination with local rescue and relief institutions is

essential for implementing the emergency plan effectively.


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If the archive needs to be evacuated, the following procedures must be followed:

Turning on the evacuation alert signal, by the person in charge of the archive’s

emergency notifications or activities.

Disconnecting the source of electric power supply. Every single employee of

the archive must unplug the electrical appliances and equipment in his or her

custody.

Archive users and employees must take with them indispensable personal

articles, although not a heavy load.

Carry out the evacuation in an orderly fashion and rapidly. To avoid accidents,

no one should run.

During the emergency, the elevator must not be used.

In the evacuation give priority assistance to children, pregnant women, the

elderly, and persons with disabilities.

Do not, for any reason, go back to the building.

Leave the building and head for the safe place previously decided upon.

Stay in the safe place and follow the instructions of local risk management

authorities.

RECOVERY STAGE

The recovery stage refers to previously established procedures to salvage

documentation affected by the natural disaster, rehabilitate the building, and

progressively restore the damaged documentation. This stage must closely follow

the recovery plan set up earlier before the natural phenomenon had occurred.

Furthermore, in the planning stage, a person must be designated to be in charge

of coordinating the recovery procedures and setting up teams responsible for the

stages of salvaging the documentation, rehabilitating the building, and restoring

impacted documentation. These teams must be previously trained and benefit

from the support of specialized institutions and technical experts in each one of

these activities.

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The intervention of the salvage team shall take place after the building’s stability

and security have been guaranteed.

Some of the main procedures that must be complied with during the recovery

stage are presented below:

Bringing together the staff on the basis of a previously established chain of

communication.

Evaluating the damages and risks to the building’s infrastructure, with the

support of experts and technical staff of the National Risk Management

Secretariat. After this evaluation, the volume of damage, the priority

intervention areas, the evacuation routes, and the number of persons who

will be working on extracting materials must be estimated.

After the technical evaluation, entrance into the repository must be

organized and the principal damage occurring to the archive’s furniture and

documentation must be appraised.

Stabilization of the environment. Water and excessive humidity are risk factors

present in most natural disasters. These conditions favor the proliferation of

pests and microorganisms in the documentation. The immediate measures

for the purpose of stabilizing the environment are as follows: eliminating the

pockets of water or humidity, opening or, if necessary, breaking open doors

and window to let in continuous currents of air and to reduce the temperature.

Clear hallways and corridors.

Identify, classify, and label the documentation on the basis of its recovery value

and priority. There is no reason at all to close ledgers, eliminate bindings, try

to flip pages, etc.

Transfer of the documentation to safe areas, as determined by the respective

authorities.

Documentary recovery procedures shall be applied depending on the type

of disaster (fire, water, landslides, etc.). Priority shall be given to stabilizing,

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cleaning, and protecting the documents. Basic repairs must also be carried

out on the documentation, for example, fastening a loose sheet, vacuum

cleaning molds, or building a fitted box.

Rebuilding the archives: structural reinforcement of the building if necessary,

cleaning up the rubble and dust, reconnecting basic services (electricity,

water supply, telephone, etc.), repairing or replacing damaged furniture, local

fumigations, installing or repairing security systems (against fire and theft and

for air conditioning), among others.


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Preparation stage (prevention and contingency plan)

The preparation stage is prior to the stages described above and consists of

drafting a written plan, which establishes in detail the preventive, response, and

recovery measures that the archive must implement before, during, and after a

natural disaster. For example, as indicated above, in the prevention stage, the

natural threats and possible risks which the staff, documentation, and building are

exposed to must be assessed.

On the basis of this assessment, the preventive measures must be specified,

along with the drafting of a timetable to implement each one of them, depending

on their importance and priority. Some of these measures, as indicated earlier,

are as follows: the review of the building’s plans and short, medium and long-

term improvements and rehabilitation in the archive’s infrastructure (structural

reinforcement, replacement of damaged pipes or electrical systems, etc.); the

installation of alarms, staff training, etc., and the definition of timely communication


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mechanisms and systems to guarantee the timely transmission of information to

the emergency response and relief centers. Specific preventive and contingency

measures must be established (response and recovery) depending on the type of

natural threat (eruptions, earthquakes, floods, etc.).

The success of the prevention and contingency plan in the event of natural disasters

depends on a clear and precise definition of both the activities and those in charge

of coordinating and implementing them. Those in charge and their duties must

meet the needs and capacities of each archive. Nevertheless, it is suggested that

at least the following should be defined:

Person responsible for the general management of the disaster or

emergency, in charge of coordinating the drafting and implementation of

the prevention and contingency plan in the event of natural disasters. This

work must be conducted with technical support from local government,

the National Risk Secretariat, and the National Cultural Heritage Institute.

Support must also be requested from professionals from various areas

(architects, engineers, topographers, custodians, and curators among

others).

Person responsible for emergency activities.

Person responsible for the maintenance and availability of security

systems.

Person responsible for notifying the occupants and external relief services

(official spokesperson).

Response commission or brigade: comprised of volunteer employees from

all sections of the archive, in charge of providing an immediate response

to the natural disaster. It is recommended that maintenance staff, who

are familiar with managing electric power, water, air conditioning, and

security system installations, participate in this group. This group must

receive specialized training in first aid and other emergency procedures

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to address this type of natural event. Designating a brigade coordinator

is recommended.

Recovery commission or brigade: this group shall act after the natural

disaster has occurred and once there are enough guarantees that they

can return to the archive or repository. This group’s main responsibility

is to retrieve the affected documentation. Designating a brigade

coordinated is recommended.

The disaster plan (prevention, response, and recovery) must be realistic and

must establish measures in keeping with the priorities and economic and human

resources that are available. Because of this, planning for disasters is an open-

ended process subject to periodic changes and adjustments.

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6. PREVENTION AND CONTINGENCY PROCEDURES IN THE EVENT OF NATURAL DISASTERS: VOLCANIC ERUPTIONS, EARTHQUAKES, AND FLOODS

The present chapter presents prevention and contingency measures that

are recommended for three types of natural disaster: volcanic eruptions,

earthquakes, and floods.

6.1 Volcanic eruptions

A volcanic eruption is characterized by the violent or quiet emission of solid, liquid,

or gaseous matter from the cracks or openings in the earth’s crust. This natural

phenomenon occurs after seismic movements and the emission of fumaroles (a

mixture of gas and vapor).


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Erupting volcanoes eject molten rock known as lava, whose temperature is over

700º C. Ecuador is located in what is known as the Pacific Ring of Fire, characterized

by the presence of numerous active volcanoes.

HAZARD FACTORS› Fall of pyroclasts and ash.

› Increasing load on the roofs of containers and collapse of weak or very

old roofs.

› Lahars, avalanches, or mud and rock flows.

› Collapse of the structures of the archives.

› Total or partial loss of historical documentation.

PREVENTION STAGE Normally, a volcanic eruption does not occur suddenly. Prior to the eruption,

volcanoes transmit various signals to us about their level of activity. Because of

that, alert levels have been established depending on the proximity of the natural

event’s occurrence. For each one of these alert levels, a series of measures aimed

at mitigating or reducing the risks of a volcanic eruption is recommended.

The preventive measures for historical archives to address this type of natural

event are as follows:

1. Identifying the container and its surroundings to ascertain which sites are most

vulnerable to a volcanic eruption and the fall of ash.

2. Undertaking prior maintenance for roofs to prevent partial or total damage

and implement a cleaning method that does not jeopardize the security of either

persons or cultural property.

3. Stocking up on cloth to seal cracks and other places where there are currents of

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air such as doors and windows. It is also important to cover the building’s siphons

or drains with canvas cloth or rags to prevent ash from entering. Ash solidifies

when it comes into contact with water; therefore this could lead to blockage and,

as a result, flooding.

4. Having materials available to cover and safeguard most of the documents,

and if necessary to carry out emergency packaging. Because they are fragile,

documentary property requires individual packaging, using neutral pH materials

and, if applicable, individual containers.

5. Being sure there is protection equipment available, such as masks to protect

from the dust and gas; safety glasses; large and small paintbrushes with soft boar

bristles in various sizes; and cotton or surgical gloves.

6. Checking that the shelves and documentation are safe from possible seismic

movements and entry of ash. If necessary, documentation deemed priority in terms

of value should be evacuated.

7. Choosing beforehand a safe physical space to transfer documents, previously

packaging them using technical criteria to prevent damage.

8. Individual packaging or group packaging is recommended, depending on

the shape, size, and fragility of the cultural property. In the case of textiles, avoid

folding or creasing and insert neutral pH paper or cardboard between each piece

and in the box to prevent damage from acidity.

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Response stage depending on the alerts

The alerts to address volcanic emergencies are warnings transmitted by the

authorities so the population and various institutions can act in accordance with

the stages of the eruption process. The types of alert are: white, yellow, orange,

and red.

White alert

The white alert indicates that there is no likelihood of any eruption in the near

future. This is the time to carry out the aforementioned prevention activities.

Yellow alert

The yellow alert is activated when a threat is growing in terms of extension and

severity, which leads to the assumption that, if the natural disaster suddenly does

occur, it cannot be controlled by normal local resources. This alert indicates that

the resources needed to intervene, depending on the evolution of the destructive

event, must be prepared.

What needs to be done when there is a yellow alert?Stock up on the materials and tools needed to mitigate possible impacts:

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› Inspect the conditions of electric power and water supply facilities. If any

malfunctioning is identified, those in charge of the building’s management

and administration must carry out the necessary corrective measures

immediately.

› Under the coordination of those responsible, response and recovery

brigades or commissions must come together to review the contingency

plan (duties and responsibilities: official spokesperson, evacuation, checking

spaces, subsequent evaluation, etc.).

› Designate those in charge of handling the keys and others mechanisms to

open the storeroom and service areas.

› Keep the building’s layout map in a visible place for staff and users.

› Review the evacuation routes for each area and check they are adequately

marked.

› Carry out evaluation drills to assess the capacity to respond and improve

the measures that have been designed.

› Check that roofs, gutters, water drains, external pipes, and sewage are

totally clear and free of any accumulated debris or garbage.

› Choose the location of the most representative documentary property to

facilitate its timely evacuation.

Rolls of cloth and plastic

Industrial masksSafety glasses Clear adhesive tape

Tubes of cold silicon Various toolsSponge padsCardboard boxes for archives

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› In order to label and mark the documentation in line with its value and

importance, using the following emergency signs is recommended.

› Identify and administer a safe site for the final transfer of the documentary

collection. Transport must also be taken care of on a timely basis for the

emergency transfer of the documentation.

Red: Landmark collections

Yellow: Medium-value but irreplaceable collections

Green: Frequently used collections

Blue: Replaceable Collections

› Check the conditions of stability of the shelves and furniture where the

documents are deposited. The shelves must be anchored to the floor,

ceiling, and walls.

› Install curtains made of lint-free cloth or polyester fabric (lightweight,

resistant to mold, insects, and abrasion, washable, not affected by sunlight

or weather) to cover the shelves.

› Relocate large-format books that might be prone to falling; they must be

placed horizontally on a stable support.

› Alert authorities about the risk of having collections located in a basement.

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Orange alertThe orange alert indicates that a warning has been issued about major damage

that could affect a population group; as a rule, this damage is irreversible, but in

some cases mitigation measures can be taken to reduce the impacts of the natural

disaster.

What to do when there is an orange alert?› Decide whether or not the archive’s activities and services should be

suspended. This decision depends on the instructions given by the National

Risk Management Secretariat.

› Announce to the archive’s users the measures that must be taken into

consideration if a red alert is declared.

› The timeframe for suspending activities and service shall depend on the

institution’s capacity to reestablish the conditions of the building and

documentation for adequate service to the public.

› Those documents identified as landmark documents must be correctly

packaged and safeguarded. Each box must bear a label with information

about its contents and the sign “FRAGILE” must be affixed on it, as well as

arrows providing instructions on how the box must be placed.

› The stacking of the boxes must follow instructions given by the person in

charge of the documentary fonds. The boxes must not be placed on top of

each other.

› Evacuate the landmarks documents to a safe site that has been previously

decided upon or that has been previously designated by national authorities.

› Placing silica gel dehumidifier packs with the documentary property is

recommended. Preferably, one pack must be inserted for every cubic meter

of storeroom. The silica gel pack prevents humidity from accumulating in

its perimeter.

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› Lower the installed curtains to cover the shelves in order to minimize the

impact of ash on the documentary fonds.

› Place transparent adhesive tape diagonally on the windows to prevent the

damage that breaking windows can cause to the collections or persons.

› Place wet cloths in those places where there are drafts and block siphons

or drains to prevent ash from accumulating.

› Check and ensure the stability of the shelves or furniture holding the

documentation that will not be evacuated.

› Preventive measures must be taken to prevent possible looting.

Red alert

A red alert indicates that there is an imminent catastrophic hazard that will be

affecting and exerting important consequences for the lives and infrastructure of

the population.

What to do in a red alert?

› Evacuate the users and then the staff.

› If it is within your reach and part of your duties, disconnect the electric

power circuit.

› Go straight to a safe place.

› The official spokesperson must keep the staff and authorities informed

about the details of emergency actions. The communication transmitted

by the cultural center’s official spokesperson must be based only on official

media (National Risk Management Secretariat, National Police Force, Fire

Department).

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RECOVERY STAGEIn the recovery stage, the hazard triggered by the volcanic eruption has passed. At

this time, therefore, the physical recovery stage for the building and documentary

heritage has started in order to continue providing usual services to the public.

During this stage, the following actions must be implemented:

› Report the status of the situation to the National Cultural Heritage Institute

(INCP) and coordinate emergency actions to retrieve and restore the affected

historical documentary funds.

› Unless otherwise instructed by the SNGR, the staff must prepare to resume

their activities and plan for re-opening the service 72 hours after the event.

› Check the water supply intake, as well as gas valve and electric power outlet,

and reconnect them if there is no malfunctioning. Hydrosanitary installations

must also be inspected and repaired, if necessary.

› Review security systems: against theft and fire, for ventilation and alarms in

general, in order to reestablish adequate conditions for safeguarding the

documentary fonds.

› To clean the repositories, the acquisition of adequate working garments and

protection materials for the staff has to be considered: such as industrial

masks against dust, helmets, gloves, safety glasses, and cleaning products

for cultural property such as vacuum cleaners, soft boar bristle brushes, and

others.

› Once the building’s stability has been checked, working brigades must be set

up according to what was set forth in the contingency plan.

› It is suggested that the general cleaning process must start from top to

bottom for all the furnishings.

› Remove all materials covering the ventilation and water flow areas. Remove

the ash from the roofs and drain pipes and put it in burlap or plastic bags

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to prevent blockage of the drains and prevent flooding. When undertaking

these tasks, coordination must be established with local authorities in charge

of security.

› Evaluate the conservation conditions of the documentation affected by the

natural disaster. It is suggested that you must proceed with the emergency

retrieval and cleaning of each one of the documents. For this activity, guidelines

and advisory services from a historical documentation conservation and

restoration specialist are required. Advice can be requested from the Ministry

of Culture and Heritage and the INPC.

› For the emergency retrieval of the affected documentation, the following

recommendations must be taken into consideration: do not open and shut

ledgers, because their structure is fragile; do not enclose any documentation

in plastic or hermetically sealed materials, in order to prevent any severe

biological infection; humid materials must be spread out on a surface in the

shade and at no time should they be stacked on top of each other; bundles

of documents must be tied together with cotton thread or string but never

with rubber or elastic bands.

› If the documentation has been attacked by mold, insects, or small animals,

this situation must be reported to the INPC and the documents must be

packaged in lint-free cloth until a documentary conservation and restoration

specialist checks them and recommends the adequate conservation treatment

they require. The person(s) handling the documentation must be protected

by wearing gloves, mask, safety glasses, and adequate working garments.

› Check the stability of the furniture in the documentary storerooms. Ascertain

whether they have to be discarded, repaired, or kept.

› After the first documentary retrieval and conservation, measures have been

implemented, transfer the evacuated documents to the repository and place

them in their original locations.

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6.2 Tremors and earthquakes

An earthquake or tremor is a vibration from inside the Earth, which is propagated in

the shape of waves in all directions. Many large-scale earthquakes have their origin

relatively close to the Earth’s surface and oftentimes, their epicenters are located

close to densely populated areas. To a large extent, the destruction triggered by

earthquakes is a consequence of the absence of timely prevention measures. The

buildings most affected by this type of natural phenomena are those that are built

on landfills or other unstable ground and on steep slopes or close to gullies.


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Risk factors

Total or partial collapse of documentation located on unstable shelves or

without adequate anchoring.

Shock wave

Breaking of a building’s glass and windowpanes, which could cause various types

of damage to the documents.

Preventive measures

1. Specify the historical background of seismic activity in the region where the

archive is located and periodically monitor the earthquakes that occur there.

2. Assess the condition of the building’s structure.

3. The area’s seismic history, frequency, and intensity, along with the assessment

of the building’s structures, shall facilitate the risk management analysis aimed

at taking the preventive measures required in the archive’s building. These

tasks must be carried out with the technical support of the local and national

institutions in charge of risk management.

4. Review the service supply lines to the buildings: water supply pipes, sewage

system, electricity, telephone, fuel (natural gas). These measures shall prevent

these services from being blocked or damaged, thus reducing the risk of

secondary damage from fire or flooding.

5. Update the inventory of the documentary fonds.

6. Anchor the shelves to the floor, walls, or ceiling.

7. Have materials available for emergency packaging. Because of their

fragility, documentary property requires individual packaging, using pH

neutral materials and, if necessary, individual containers.

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8. Keep the documentary storerooms clean and tidy.

9. Make sure evacuation routes are clearly indicated.

10. Ensure that the archive’s furniture do not interfere with the emergency

routes or exits, in order to prevent accidents.

RESPONSE STAGEIf the staff is in the archive during the tremor or earthquake, the instructions below must be followed:

1. Keep calm and stay in a safe place until the authorities report that the

situation has gone back to normal.

2. Go under a sturdy piece of furniture such as a desk or go to a corner of the

room or next to a concrete column providing safety.

3. Once the earthquake has passed, use the stairs to leave the building. Never

use the elevator.

4. Bear in mind that, in buildings, fire alarms and water sprinklers are usually

automatically turned on when there are earthquakes.

Immediately after a seismic threat, the instructions below must be followed:1. Be prepared for possible aftershocks.

2. Keep informed about the news on the phenomenon that has just occurred

and about any alerts in force.

3. Examine electric power installations and disconnect them.

4. Undertake a quick preliminary evaluation of the damage sustained by both

the archive’s building and its documentation.

5. Evacuate the documentation identified as priority and transfer it to a safe

place.

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6. Move away from the building calmly, if you believe it is at risk of collapsing.

Recovery stage

In the recovery stage, the danger arising from the tremor or earthquake has

passed. At that time, therefore, the physical recovery stage of the building and

the documentary heritage starts so that the usual services provided to the public

can continue.

1. Evaluate the structural conditions of the building and highlight on the

building’s architectural plans the structural elements that have sustained

cracks, breaks, collapse, or displacement in terms of their center of gravity.

2. Examine and record the damages to the functioning of the electric power

installation, roofing, water supply networks, and fuel systems.

3. After evaluating the installations and the structure of the building, the

priority actions to be tackled must be defined. The financial resources needed

have to be requested from the respective institutions.

4. Carefully clean the documentary storeroom: shelves, walls, and floors. For

this task, a vacuum cleaner must be used, and after that with an alcohol pad.

5. Seal the storeroom’s windows with filters to prevent the infiltration of direct

sunlight and the entry of dust particles that might accumulate on the surface

of the document.

6. Seal entrances and exits where rodents might pass. Place rubber coverings

on access ways to prevent insects from coming in.

7. Evaluate the conditions of the documentation and draw up an emergency

intervention plan with technical support from INPC. Before the specialized

intervention, the immediate basic measures for documentary recovery that

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the custodians must implement are as follows:

- Use soft boar bristle brushes to clean and eliminate rubble remnants

from the documentary units.

- Place the documentary units in storage boxes and cover them with pH

neutral textiles to prevent the accumulation of particulate elements left

over from the disaster.

6.3 FloodsA flood occurs when a place is suddenly covered in water. The most common

causes of floods are as follows: rivers bursting their banks, heavy rainfall, and rising

tides, among others. The damage caused by water is one of the most frequent

threats in documentary storerooms. Even small accidents such as water seepage,

water mains and pipes breaking, sometimes associated with other natural events

such as tremors or earthquakes, can cause irreversible damage to paper carriers.


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Risk factors

› Immediate impacts on the documentation, stemming from its absorption

of the water: it is evident in the soiling, especially when the floods include

mud and silt. Physical and chemical problems appear, such as warping and

contraction of the carriers, bleeding of ink, compacting of documentation

on coated paper, degradation of the carriers, softening of the glues for the

binding and the emulsions or chemical substance coating the photographic

films and the breakdown or loss of protein-based materials, mainly leather

and parchment.

› Over the medium term, biological deterioration is detected in the documents.

Within less than 72 hours after the flood, under normal temperature conditions

of -20°C, colonies of mold and bacteria appear on the wet documentation.

In warm climates, the presence of biological contamination is very fast and

severe.

Preventive measures

To prevent and mitigate damages to the archive’s documentation because of

flooding, the following measures are recommended:

›Seal the archive’s roof and drains and inspect them regularly. In the event of

serious damage, they must be replaced.

›Build low walls and gradients on the floor or ground which can be reached

by water from the flood, as well as sinks or drains connected to the sewage

system.

›Review and repair windows, doors, and other mechanisms through which

rainwater can seep.

›Periodically clean roof gutters.

›Storage units should not be located under water pipes or sources of excess

humidity.

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›Storage units must be stored at least 10 centimeters from the ground, and

the bottom shelf of the shelving should preferably remain empty.

›Avoid storage in basements or in other areas where documentation can be

exposed to hazards in the case of flooding.

›If there are eminent dangers of flooding, it is advisable to install alarms for

rapid detection of water.

›In the event of fires or earthquakes, automatic sprinklers used for security

against fires usually use water and, in the event of emergencies, they can be

activated and damage the documentation. Because of this, it is important to

keep the documentation in storage units to prevent their contamination by

microorganisms stemming from the humidity.

›To keep optimal parameters in terms of temperature and relative humidity

in the documentary repositories, it is recommended that dehumidifiers and

data loggers be installed for the daily monitoring of these weather variables.

Response and recovery stage

Wet paper documents increase in size and their boxes or bindings do as well until

they break. In addition, sheets of paper get stuck together and the operation of

separating them requires a great deal of care to prevent further and even more

serious damage. Because of this, the documents require immediate action and

careful handling to prevent the proliferation of microorganisms or unwanted drying

of materials on coated paper.

There are various ways of drying documents affected by water. However, drying

techniques must take into account the type and intensity of the event, the level of

damage, and the volume of affected documentation, and ultimately, the features of

each carrier (paper, photograph, audiovisual material, etc.). Various documentary

drying techniques are presented below.

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Open-air drying› Open-air drying of humid documentation is the most common and lowest-

cost drying technique. It can be used for wet or slightly humid documents.

However, one of the disadvantages of open-air drying is the warping of the

documents, water stains, and the possible appearance of microorganisms.

› The environment for this intervention must be clean, dry, and ventilated. The

temperature must be below 20º C and humidity under 50%. If these weather

variables are not available, it is possible that microorganisms shall proliferate

on the documents.

› Removing excess humidity with cold clean water is recommended. For this

task, the type of ink on the carrier must be taken into account. And this

technique must never be applied for inks that can bleed or on pictures that

have faded because of humidity.

› To speed up the process and reduce the growth of mold, ensuring air circulation

at all times using electric fans in the drying area is recommended. The electric

fans should not be aimed directly at the documents that are being dried.

› Avoid prolonged exposure of the documents to direct sunlight to prevent

the inks from becoming unstable and accelerating ageing of the paper.

› When flipping the sheets very carefully, absorbent sheets must be inserted

(paper towel or blotting paper) for every given number of pages, starting

with the end of the ledger.

› Insert sheets with porous paper to extract existing humidity and accelerate

total drying.

› While the documents are drying, periodic inspections must be carried out to

detect, on a timely basis, the growth of mold.

› On certain occasions, floods come with dirt and mud. In these cases, it is

necessary first to remove the dirt using biosecurity materials and garments

such as gloves and masks.

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› Humid documents or photographs that cannot be dried out in the open air

within two days must be frozen to inhibit the growth of mold.

DehumidifiersDehumidifiers are industrial devices that remove humidity. Installing them in areas

affected by flooding is recommended. In addition, they can precisely monitor the

repository’s temperature and humidity.

Drying by vacuum freezingDrying by vacuum freezing consists of placing the documentation in a vacuum

chamber at a temperature below 0º C. The documents remain frozen there to

inhibit the appearance of microorganisms.

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7. GLOSSARY

A

Archive: Cultural institutions where documents brought together by public or private legal entities, in the exercise of their activities, are collected, safeguarded, structured, and disseminated for the purpose of using them for research, culture, information, and administrative management. It focuses on administrative and official documents of an institution. Its organization generally pertains to matters, origins, and dates of importance.

B

Biodeterioration: Certain changes that take place in the properties of a material caused by the vital activities of certain organisms, such as insects, bacteria, mold, small animals such as rats, bats, etc.

C

Conservation: A discipline that is aimed at avoiding, to the extent possible, the deterioration of objects, ranging from a book or movable asset to a park or cathedral. Although conservation also includes active interventions or restorations, at present attempts are being made to prevent these activities and most conservation efforts are now aimed at what is called preventive conservation. In other words, preventing objects from being exposed to unnecessary damage.

For example, making sure that museum exhibition rooms are air conditioned, with controls for temperature and relative humidity, as well as air quality; that pictures are exhibited with little light, without any light bulbs or sunlight shining directly on them; that places that hold heritage objects are periodically disinfected to avoid pests, such as termites in the wood or moths in textiles, etc.

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Custody: Responsibility for taking care of documents based on physical ownership but which does not always entail legal ownership or the right to control access to the documents.

D

Deterioration factors: They are elements that degrade the physical structure of a movable or immovable asset, leading to internal deterioration that triggers chemical processes in the composition of objects. There are intrinsic factors that are triggered by the composition itself of the objects and there are extrinsic factors, which are all the damage caused by conditions external to the asset, such as humidity and temperature.

Disaster: Sudden unwanted event that is capable of altering a community’s social and economic structure, leading to major material damages and numerous losses of human lives and which exceeds the response capacity of primary health care or emergency institutions to effectively address its consequences.

Document: It is any physical carrier containing information. The INPC adds that it is “all expressions in a natural or coded language and any other expression, whether sound or image, recorded on any kind of carrier, including digital carrier, that must safeguarded because of its historical and cultural relevance.”

F

Funds: A series of documents, regardless of their documentary type or carrier, produced organically and/or accumulated and used by a physical person, family, or institution in the course of their activities and functions as producer.

I

Intervention: Any conscious and positive action or supposedly positive action, whether targeted or generic, on a heritage property or complex and its surroundings.

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M

Mechanical damage: Deterioration produced by storage and transport conditions leading to structural damages to the documents.

Meteorological threat: Potential occurrence of natural processes or phenomena of atmospheric, hydrological, or oceanographic origin such as tropical cyclones, torrential rainfall, intense wind, electrical shocks, snowstorms, hail, drought, tornados, downpours in lakes or at seas, extreme temperatures, sandstorms, which can lead to death or injury, material damages, interruption of social and economic activities, and environmental degradation.

Microorganisms: Organisms, life forms, or living things, mostly single-celled organisms, which can be responsible for the deterioration of documentation and the cause of illnesses, including severe ones, for the staff handling the documentation.

P

Preservation: It involves continuous intervention that starts initially with the recognition and declaration of the cultural property as a heritage asset. Its goal is keep conditions stable by controlling environmental factors. It permits the use of materials that inhibit, halt, or delay deterioration.

R

Risk: Probable magnitude of damage to persons and their property in a specific territory or ecosystem (or in some of their components) over a given period of time, associated with the presence of one or various potential threats and with the degree of vulnerability that exists in that environment.

Risk analysis: Systematic study that makes it possible to identify and assess everything that threatens the physical integrity and economic and cultural values of cultural heritage.

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Risk of disaster: Likelihood of detrimental consequences or expected losses because of a disaster (death, injury, property, means of livelihood, interruption of economic activities, or environmental deterioration) as a result of interactions between natural or anthropogenic threats and the vulnerable conditions to which a community is exposed.

S

Seismic threat: Technical term describing, in figures, the statistical probability of having an earthquake of a certain seismic intensity occurring at a given site for a period of time. It can be calculated in regions and locally, for which the parameters of the seismogenic sources must be considered, as well as the records of events occurring in each source area and mitigation of the land’s movement.

T

Threat: External risk factor with respect to the exposed vulnerable subject or system, because of the potential occurrence of a natural event or one triggered by human activities, with a given magnitude, which can be evident in a specific site or a given duration, enough to produce adverse impacts on persons, communities, production, infrastructure, goods, services, environments, and other dimensions of society.

V

Vulnerabilities: Internal risk factor or system pertaining to the degree of exposure to sustaining some kind of damage because of the appearance of a specific threat, whether of natural or man-made origins, because it is intrinsically prone to be damaged. They have a multidimensional nature, which is expressed through various dimensions: physical, cultural, psychosocial, environmental, economic, political, and institutional.

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8. BIBLIOGRAFÍA

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