Section 1 - Introduction and how to use the Contents

Transcription

Section 1 - Introduction and how to use the
UN Recordkeeping Toolkit
Contents
Introduction
What is a Recordkeeping Toolkit?
Why is Records Management Important?
Who is the Toolkit for and How to Use it?
Which Parts of the Toolkit Should I Focus On?
More Information
ARMS pages on the Intranet:
http://iseek.un.org/m210.asp?dept=579
ARMS pages on Internet:
http://www.un.org/depts/archives
Email:
[email protected]
HQ Fax:
+1 212 963 4414
Records Centre Fax:
+1 212 963-8686
Introduction
Records and information are important assets of the UN, supporting its work,
underpinning and documenting decision-making, and providing evidence and
accountability. Without access to records the organisation would be unable to
function. Effective recordkeeping meets the dual challenge of maintaining and
accessing records that are necessary for operations, and disposing of records and
duplicates that are not needed any more. All UN staff has a role to play in
recordkeeping and this Toolkit has been developed to support you in carrying out
your recordkeeping responsibilities.
This Toolkit supports recordkeeping at all levels in all areas of peacekeeping
operations. It provides clear instructions and resources to manage the
recordkeeping function at all stages of mission operations. It aims to make sure
that the policies and principles of records management are clear to all staff and
Recordkeeping Toolkit for Peacekeeping and Political Operations
Version 3 - January 2010
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that there is a transparent and comprehensive set of policies, procedures and
guidance that staff can and should follow to achieve effective records
management at a consistent standard across all peacekeeping operations.
By using this Toolkit, following the records management procedures, and
meeting the standards, you and your team will be practising best practice
records management. The benefits outlined above will be ensured and the risks
of not having authentic and reliable records for as long as required by the UN
itself and its stakeholders will be reduced to an acceptable level.
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What is a Recordkeeping Toolkit?
A recordkeeping toolkit is a set of tools to support records management. This
toolkit is a manual that provides links to relevant resources, forms, checklists,
documents and useful information and explanation that you can use in several
ways to help you manage your records better. The main “tools” used in this
toolkit are:
The Main Things to
Remember about…
Appears at the beginning of a section to give you a simple
set of the most important issues to understand and
master for that area of records management
Glossary term
Words highlighted like this in the text are defined at the
end of each section and appear in the glossary in the
appendices
Frequently
Asked
Questions (FAQs)
Frequently asked question: explain a concept, why we do
records management tasks, compares different things etc.
Checklist
A list of actions that need to be done to complete a
records management task or list of items needed to
support a task
Information Box
Gives additional information in the form of a handy
reference list or text
Document
Text highlighted like this points to an ARMS or UN
document which should be referred to or used in
conjunction with procedures for the task under discussion
Form
Points to a form that should be used in conjunction with
procedures for the task under discussion
Table
Gives information in a tabulated format for ease of
reference and understanding
Annexes
Text highlighted like this points to a Toolkit annex
containing, a document, form or sample.
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Each Toolkit section consists of:
A front page with a:

high-level list of contents

“Main things to Remember” list for the topic covered
An introduction
Sub-sections as appropriate to the subject matter
At the end:

Checklists referred to in the text

Tables, if they are particularly complex or detailed

A list of other Toolkit sections which are closely related to topic
covered

Documents and forms relating to the section

The glossary for highlighted words

FAQs relevant to the section
Information Box
We strongly recommend that you use this Toolkit in conjunction with other
records and archives management resources that you can find on the ARMS
website (http://archives.un.org/unarms).
At our site you can test your
knowledge with an e-learning programme in records management.
Be sure to contact ARMS if you need help in using the Toolkit or would like to
give us feedback.
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Why Is Records Management Important?
The main aim of records management is to document the UN’s business, to
ensure that there are readily accessible, adequate records to provide evidence of
activities and decisions for as long as required, and that redundant records are
kept no longer than necessary. The benefits of effective records management
are:

Decision-making and operations are properly supported with appropriate and
necessary records

Records are created and managed in compliance with standards, best practice and
stakeholder expectations

The records provide evidence of policy, decision making and actions/transactions
thus demonstrating the UN’s accountability and transparency

Staff time is saved because filing systems are fit for purpose and easy to use

Staff time is saved in retrieving records efficiently when they are needed again

Record storage and equipment is cheaper and more efficient because redundant
records can be removed from filing and server space

Duplicates and old versions are identified and destroyed as soon as possible,
saving time and space

Records which the UN formally and consistently judges to be no longer required
are securely destroyed and the details documented

Vital records are identified, protected and accessible in support of business
continuity and disaster recovery efforts

The small volume of records with value as archives are identified and managed
appropriately.
Who is the Toolkit for and How to Use it?
The Toolkit has been written primarily for staff in UN peacekeeping and political
field missions. However, it has been written so that it can easily be adapted to
other UN offices, such as those in the Secretariat, other duty stations or offices
away from HQ.
Each UN staff member is a stakeholder in improving recordkeeping in the UN
since we all create, use, and manage records. However specialized records
management staff should develop in-depth knowledge of all areas of
recordkeeping, whereas key partners such as ICT staff will need to focus on
specialized areas. To help you identify the parts of the Toolkit you should focus
on, please refer to the table below.
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Which Parts of the Toolkit Should I Focus On?
Toolkit Section
UN staff
member
Head of
Mission or
DMS/CMS
Information
Management
Officer
Information
Management
Assistant
ICT staff
Recordkeeping in the UN
9
9
9
9
9
Records creation and capture
9
9
9
9
9
Managing sensitive information
9
9
9
9
9
Classification plans
9
9
9
9
Retention schedules
9
9
9
9
Managing email
9
9
9
9
Records in special formats
9
9
9
9
9
9
Setting up a records storage facility
9
9
Recordkeeping Toolkit for Peacekeeping Operations
Version 3 January 2010
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Toolkit Section
UN staff
member
Head of
Mission or
DMS/CMS
Managing a records storage facility
Information
Management
Officer
Information
Management
Assistant
9
9
ICT staff
Emergency preparedness for a
records storage facility
9
9
9
Risk and vital records
9
9
9
9
9
9
9
9
9
9
9
Transferring records to HQ ARMS
9
Access to and use of UN records and
archives
9
Destroying records
9
9
9
Reviewing recordkeeping systems
9
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9
Section 2 - Roles and responsibilities for
recordkeeping in the UN
Contents
Main Things to Remember About Roles and Responsibilities for Recordkeeping
in the UN
Introduction
Policy
Roles and responsibilities
Other Relevant Toolkit Sections
Documents Relating to this Section
Glossary
Frequently Asked Questions (FAQs)
Main Things to Remember about Roles and
Responsibilities for Recordkeeping in the UN

Heads of Mission are responsible for ensuring is the mission has an
Information Management Officer, to support UN records management
policy, and for the coordination of the implementation of records
management in the mission.

Information Management Officers and Information Management Assistants
are responsible for day-to-day records management issues in the mission:
with ARMS support they implement and maintain the local records
management system.

All UN staff are responsible for creating records, ensuring that they are
properly captured and classified and that records are kept secure and
neither destroyed prematurely nor kept too long.
Introduction
United Nations records comprise any data or information, regardless of its form
or medium, maintained by the United Nations as evidence of a business
transaction. The UN’s records and archives may be in paper or digital format, or
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any other medium that is appropriate to support the work of the creating office
or department. UN records consist of not only those created and used at the
Secretariat Headquarters but also those records created and used by Secretariat
units away from HQ and subsidiary organisations, including peacekeeping and
political operations.
Policy
The Secretary-General’s Bulletin on Recordkeeping and the Management of
United Nations Archives (United Nations Archives and Records Management –
ST/SGB/2007/5) sets out UN policy and responsibilities with respect to records
management. You can find more about what ARMS does, more policies and
guidance, and how its staff can help you in the Toolkit section How ARMS
Supports Recordkeeping in the UN and on the ARMS Internet pages
(http://archives.un.org/unarms) or via the UN intranet.
Information Box
“United Nations offices are required to carry out their business in an
accountable, transparent and efficient manner. Good recordkeeping is an
essential requirement for efficient administration and accountability. It is the
basis for establishing and maintaining documentary evidence of United
Nations activities and helps UN offices to manage and preserve their
corporate memory for short and long-term purposes.”
ARMS Standard on Recordkeeping Metadata
Roles and responsibilities
All UN staff has an important role to play in ensuring that adequate and reliable
records are created and maintained for as long as they are required to support
the UN’s work, to provide evidence and a body of historical records. There are
several functional groups of staff with core responsibility for recordkeeping as
follows:
All UN staff
Each UN staff member has responsibilities to ensure that they create records and
capture or file them with related records in a recordkeeping system, and that
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they comply with the rules that pertain to the legal title to and inviolability of
Secretariat records, which specify, inter alia:

All records, regardless of physical form, created or received by a member of the
Secretariat in connection with or as a result of the official work of the United
Nations are the property of the United Nations

Staff members separating from the Organization shall not remove any records
from the United Nations premises; records are to be retained within their work
unit for future business use, unless disposal is authorized in an approved
retention schedule. A staff member is entitled to have a reasonable number of
unrestricted documents copied at his/her expense and to retain his/her private
papers

Staff are prohibited from altering, destroying, misplacing or rendering useless any
official document, record or file that is intended to be kept as a record of the
Organization or in compliance with ARMS procedures.
Recordkeeping
and
the
Management
of
United
Nations
(ST/SGB/2007/5) sets out in detail the responsibilities of all UN staff.
Archives
Management Responsibilities
Directors of Mission Support/Chiefs of Mission Support have a responsibility to
provide resources necessary to establish mission recordkeeping systems that are
compliant with United Nations requirements, and to:

Recruit qualified information management personnel

Support the development of a compliant electronic records management system

Review and subsequently approve records management policy, procedures, and
project plan, etc.

Co-ordinate between the information management, information technology,
facilities, and other staff

Approve resources for staff training and development in all recordkeeping
competencies

Approve resources for technology, space, supplies and services necessary to
maintain the records management programme in secure and compliant conditions

Monitor and evaluate the records management programme
See the Guidebook on Delegation of Authority (Department of Management,
2007) for more information.
Responsibilities of Information Management Officers
The Information Management Officer is responsible for implementing a missionwide records management programme, and for developing records management
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procedures and practices specific to team needs, and to liaise closely with ARMS
to fulfil records management requirements.
Other responsibilities are:

Establishing records
requirements
management
project
objectives,
scope
and
resource

Developing records management practices, tools, and training in support of the
mission’s substantive mandate and programme of work based on best practice
methodology (for more information on establishing these, see the Toolkit section
Recordkeeping in the UN)
x
Coordinating the implementation of the Peacekeeping File Classification Scheme
(PK FCS) for business records across all mission business units
x
Coordinating the implementation of the Peacekeeping Operations Retention
Schedule (PORS) for business records across all mission business units

Designing and implementing strategies and systems to manage electronic records

Overseeing transfer to ARMS’ custody for secure storage and preservation those
records no longer needed for current business (typically after three years) but
which need to be retained for administrative, legal, or historical purposes

Establishing suitable conditions for the maintenance of records

Implementing ST/SGB/2007/6 Information Sensitivity, Classification and
Handling, to identify, classify, handle and manage sensitive records to prevent
unauthorized access and disclosure

Participating in UN disaster recovery and business continuity planning by
developing strategies to develop procedures to identify and manage vital records.
Responsibilities of Records Management Focal Points
Records Management Focal Points (often support staff with other responsibilities)
will have particular responsibilities for managing records and files in their office.
They will be the point of contact for their office with the Information
Management Officer. Records Management Focal Points will work with the
Information Management Officer to:

Oversee receipt and transmission of records from the office

Implement the Peacekeeping File Classification Scheme (PK FCS) in the office for
both paper and electronic records

Apply retention policy according to the Peacekeeping Operations Retention
Schedule (PORS)

Transfer records to the mission records storage facility when inactive.
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Communications and Information Technology Staff
The mission’s Communications and Information Technology Section (CITS)
needs to ensure that the information systems it makes available for records
management purposes comply with ARMS functional and technical requirements,
taking into account that records created and managed in non-compliant systems
must not replace paper originals. CITS will also assure that records created
and maintained using mission ICT resources are managed securely and in
keeping with business continuity requirements.

Section 3 - How ARMS Supports Recordkeeping in the UN

Section 4 – Recordkeeping in the UN

Section 15 - Transferring Records to UN ARMS
Documents Relating to this Section

ARMS Standard on Recordkeeping Metadata (ARMS, 2003)

Guidebook on Delegation of Authority (Department of Management, 2007)

Peacekeeping Operations Retention Schedule (PORS) (ARMS, 2006)

Sample Vacancy Announcements for Information Management Officer
(P3), Supervisor, Mail, Pouch and Registry (FS5) and Registry Assistant
(FS4)

Recordkeeping and
(ST/SGB/2007/5)

Information Sensitivity, Classification and Handling (ST/SGB/2007/6)
the
Management
of
United
Nations
Archives
Glossary
Private papers: Those papers belonging to UN staff which have no connection
with the official work of the United Nations but which have been kept in their
office.
Recordkeeping: The administrative function of controlling all aspects of records
creation, receipt, use, maintenance, evaluation, access, preservation and
destruction.
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What is an Information Management Officer?
Information Management Officers are staff appointed by the office or mission
whose role is to take primary responsibility for managing records to ARMS
standards so that mission business needs are met. The Information Management
Officer may have one or more Information Management Assistants to assist
him/her. They work closely with the ARMS team, which can provide training and
consultancy support.
What are Private Papers?
Private or personal papers are those papers belonging to UN staff which have no
connection with official work of the United Nations but which have been kept in
their office. For example the proceedings of a professional body, a résumé or a
Christmas card list.
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Section 3 - How ARMS supports
recordkeeping in peacekeeping and
political operations
Contents
Main Things to Remember about how ARMS Supports Recordkeeping in
Peacekeeping and Political Operations
Introduction
Role of and Mandate of ARMS
How ARMS can help you
Documents
Glossary
Main Things to Remember about how ARMS
Supports Recordkeeping in Peacekeeping and
Political Operations

ARMS is responsible for the development and implementation of
policy, standards and guidance on records management at the UN

As records professionals, the ARMS team and its counterparts in the
field are responsible for ensuring that the UN has the records
needed to support its mission and work and to ensure accountability
and transparency for all UN stakeholders

Successful records management depends on strong collaboration
between ARMS, records managers in the field, and information
technology staff. Support from management and from operational
and administrative staff in offices to carry out certain recordkeeping
tasks is essential.
Version 3 – January 2010
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Introduction
The UN Archives and Records Management Section (ARMS) has overall
responsibility for ensuring that UN records are created, maintained and
either destroyed or preserved as permanent archives. ARMS is responsible
for establishing the UN archives and records management programme as
well as supporting the implementation of local systems. Essentially ARMS
provides professional expertise, procedures, policies and advice in all
aspects of recordkeeping and management of archives.
Role and Mandate of ARMS
Responsibility for policy development, standards setting, provision of
advice and overall management of the records and archives of the United
Nations,
including
Secretariat
units
away
from
Headquarters,
peacekeeping operations, and subsidiary organizations of the United
Nations, is centralized in the Office of Central Support Services’ Archives
and Records Management Section (ARMS). ARMS has three primary
responsibilities:

to ensure that the UN has appropriate and adequate records management
systems

to protect and preserve the United Nations archives as an irreplaceable
part of the collective memory and cultural heritage of the organisation.

to provide services to United Nations staff and to the public
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Information Box
UN Offices, Departments, Organs and Secretariat
Units to which ARMS’ Policies and Guidelines Apply
Secretariat
UN Headquarters’ Departments
UN Office at Geneva (UNOG)
UN Office at Vienna (UNOV)
UN Office at Nairobi (UNON)
Subsidiary Bodies
Military Staff Committee
Standing Committee and ad hoc bodies
International Criminal Tribunal for the Former Yugoslavia
International Criminal Tribunal for Rwanda
United Nations Compensation Commission
Peacekeeping and Political Missions
Regional Commissions
Economic Commission for Africa (ECA)
Economic Commission for Europe (ECE)
Economic Commission for Latin America and the Caribbean (ECLAC)
Economic and Social Commission for Asia and the Pacific (ESCAP)
Economic and Social Commission for Western Asia (ESCWA)
How ARMS can help you
ARMS’ team of knowledgeable and experienced professionals provides a
comprehensive advisory service by distance and on-site. On request,
ARMS can review your system(s) and records requirements. Based on the
findings, they will develop a plan to establish a compliant records
management programme. In addition ARMS will:

Integrate records management into wider information management
initiatives
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Assist in developing vacancy announcements, conducting competency
based-interviews to facilitate staff selection, consultant selection, etc.
Note: DPKO has delegated to ARMS responsibility for technical clearance
of all field staff in records management and registry functions

Provide specifications for specialized resources and materials for managing
paper and electronic records

Inventory or survey your records as a preliminary to improving your
system or checking that it is fit for purpose

Identify vital records in support of business continuity and disaster
recovery planning

Provide training and briefings to all levels of staff

Evaluate/audit operational records management systems

Develop and approve retention schedules for records of peacekeeping
operations

Establish a security classification scheme

Design and implement
classification plans

Assess and adopt appropriate information technology applications

Evaluate and select off site storage

Transfer older records to semi-active storage (according to the retention
schedule)

Destroy records designated of no continuing business, legal or historical
value (again according to the retention schedule)

Appraise or evaluate unscheduled records for destruction, interim storage
or permanent retention as archives

Identify archival records

Manage field mission inactive records at its Records Centre in New York
appropriate
recordkeeping
systems
and
All of the Toolkit sections are relevant.
Documents

Guideline on Delegation of Authority (Department of Management,
2007)

Recordkeeping and the Management of United Nations Archives
(ST/SGB/2007/5)
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Information Sensitivity, Classification and Handling
(ST/SGB/2007/6)
Glossary
Archives: those records which have been selected for permanent
preservation because of their administrative, informational, legal and
historical value as evidence of official business of the UN. They are a small
subset of the UN’s records.
Destruction: the act of destroying records, regardless of media,
according to appropriate procedures which ensure they are no longer
accessible. (Destruction is part of the wider function of records disposal).
Records: documentary materials, regardless of form or medium, received
or created by the United Nations or by members of its staff, which provide
evidence of UN policy, activity, decisions or transactions.
Recordkeeping: The systematic creation, use, maintenance, and
disposition of records to meet administrative, programmatic, legal, and
financial needs and responsibilities.
Records Management: Field of management responsible for the efficient
and systematic control of the creation, receipt, maintenance, use and
disposition of records, including processes for capturing and maintaining
evidence of and information about business activities and transactions in
the form of records.
What Is Destruction?
Destruction is the act of destroying UN records which have reached the
end of their retention period. It is carried out according to ARMS policies
and procedures to ensure that destruction is properly authorized and
documented. It cannot be carried out without explicit approval from the
Chief, ARMS, and a designated responsible official from the originating
office. In peacekeeping and political operations, the Peacekeeping
Operations Retention Schedule (PORS) may be used in lieu of explicit
approval from the Chief, ARMS; approval from the designated official from
the originating office (P4 or higher), however, is still required.
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Contents
Main Things to Remember about Recordkeeping in the UN
Introduction – What is Recordkeeping?
What is a Recordkeeping System?
The Purpose of Recordkeeping Systems
How Do We Develop a Records Management Programme?
Aspects of Paper Recordkeeping Systems
Aspects of Electronic Recordkeeping Systems
Mapping Paper and Electronic Recordkeeping Systems
Procedures
Documents
Glossary
Main Things to Remember about Recordkeeping in
the UN

A recordkeeping system brings together the people and processes which
create records, the records themselves and tools for their management,
into a framework of policies, procedures and guidelines.

When designing or reviewing recordkeeping systems, it is important to
remember that the longer records need to be kept the more management
they require.

Recordkeeping systems must support your mission’s business needs,
whether they contain only paper records, only electronic records or a
mixture of the two.

Until the approval and implementation of a standard software application
to support records management across the organisation. the official record
format is paper, even if you have an electronic records management
system,.
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The ‘paperless office’ is far from being a reality in the UN. It is more
realistic to integrate different paper and electronic systems into a single
‘hybrid’ recordkeeping system that is simple but fit for purpose.

Only electronic records in electronic document and records management
systems (EDRMS) which meet ARMS standards can be relied upon as
evidence of the UN’s work and actions.

All records regardless of format must be retained using the same retention
schedule (Peacekeeping Operations Retention Schedule – PORS).

The underlying principles for managing paper records apply to managing
electronic records; how those principles are applied may differ because of
the nature of the medium.

Electronic data and records should be routinely and regularly backed up to
protect them in the event of an emergency.
Introduction – What is Recordkeeping?
In the course of carrying out peacekeeping operations a trail is left behind
documenting what has been done. Recordkeeping is the conscious creation,
capture, management and use of this document trail – records – to meet the
information needs of peacekeepers and the wider UN, to provide evidence of
work done, and to meet the wider expectations placed on DPKO, peacekeeping
field missions and the UN by Member States, other stakeholders, and society at
large.
A recordkeeping system brings together the peacekeeping functions, activities
and transactions and the people who carry them out, the resulting records, the
conceptual model used to understand what records are, the tools used to
manage records over time, and the framework of policies, procedures and
responsibilities underpinning the whole.
The interrelationship between recordkeeping and peacekeeping operations is
shown in the diagram below:
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S torage
M anage R ecords
C apture R ecords
C reate R ecords
Field M ission
M anagem ent
R etention
schedules
A ccess
Transactions
Field M ission
S upport
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S ecurity
classification
T axonom ies
P roviding
A ccountability
S takeholders
M eeting
E xpectations
Activities
Field O perations
P eacekeeping O perations
Delivery
Evidence
Interrelationship of Peacekeeping with Recordkeeping
Record Keeping
Know ledge
Inform ation
R ecords
The records model used in the UN is called the lifecycle. It consists of four
phases:

creation/receipt

active

semi-active/inactive

archive or destroy
This can be represented graphically:
archive
create/
receive
active
semi-active/
inactive
destroy
Records are created or received as part of the UN’s official business and enter
their active phase. During this phase they have the highest value for the
information they contain which can be used to provide evidence of what has
happened or to inform further work. Over time the information value or
relevance of the information within a record lessens and the record enters its
semi-active or inactive phase. During this phase records are infrequently
referred to but must still be kept either for legal or evidential reasons or for their
longer-term historical value. At the end of a record’s life it is either destroyed
because it has no further value, or is sent to the United Nations Archives to be
permanently preserved where it can be used for historical research and by the
organisation as part of its long-term memory.
The tools for managing records are used in different ways at different stages of
the lifecycle. The main tools for mission records (covered in more detail in other
Toolkit sections) are:
Classification Plan (see Section 7 – Records Classification Schemes for
Peacekeeping Operations)
‘A system that describes standard categories and that is used to organize
records with common characteristics’. Also known as a classification
scheme or file classification scheme.
Retention Schedules – Peacekeeping Operations Retention Schedule (PORS)
(see Section 8)
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‘A comprehensive instruction covering the disposition of records to assure
that they are retained for as long as necessary based on their
administrative, fiscal, legal and historic value.’
Storage
‘The decision to capture a record implies an intention to store it.
Appropriate storage conditions ensure that records are protected,
accessible and managed in a cost-effective manner.’
Information Security (see Section 6 – Managing Sensitive Information)
‘The policies, procedures and practices required to maintain and provide
assurance of the confidentiality, integrity and availability of information.’
What is a Recordkeeping System?
A recordkeeping system is a set of tools, policies and procedures which together
creat, capture, organise and classify records to facilitate their secure
management, preservation, retrieval, use and disposition. Importantly, it is the
‘logical’ system for managing records and is independent of the formats records
are created in. Implementing a recordkeeping system in a modern organisation
requires records managers, archivists, communication and information
technology systems (CITS) professionals, managers and the staff who create
records (i.e. everyone!) to work together for a common goal – good information
governance.
It is the responsibility of your team leader, unit or department manager, Head of
Mission or Director of Mission Support/Chief of Mission Support to ensure that
your office has a recordkeeping system suited to its particular requirements. The
recordkeeping system in your office may be called the ‘filing system’ or the
‘registry’. Each mission should have an Information Management Officer, often
in the General Services Section, to design and implement the system.
Recordkeeping systems in the UN have three main elements:

Systems and procedures for creating and capturing records

Systems for classifying and filing records, and filing procedures

Retention schedules and retention action procedures
The ‘paperless office’ has not become a reality, and because these elements are
not specific to any one format, whatever size your recordkeeping system is or
what you call it, it must cover all the records created (paper, electronic, etc.).
The involvement of your Communication and Information Technology Section
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(CITS) staff is important to ensure that your computer systems can manage
electronic records as well.
The Purpose of Recordkeeping Systems
They are important for ensuring that the evidence and information created in the
course of carrying out the business is appropriately managed. Filing systems
allow us to link and manage individual records so we can:

access them in context and know we have the ‘whole story’

add new material and retrieve existing records

remove the need to rely on memory or searching large numbers of documents to
find things

simplify routine housekeeping responsibilities, such as the transfer and authorised
destruction of records
Sometimes records need to be managed individually as well as in context. A
registry system is where each record (correspondence, report etc.) is registered
in to a manual system or database and given a registration number. Details of
the recorded item are captured (e.g. sender, addressee, date received etc.) and
subject or other indexing terms added. The record will be given a file reference
and either sent directly to the appropriate staff member for action or filed and
sent in context with all similar records to the appropriate staff member.
Registries are best for offices which receive large volumes of records which
require close tracking.
How Do We Develop a Records Management
Programme?
The tools ARMS provides in this Toolkit are intended to harmonize and
standardize recordkeeping practices across all missions, and to eliminate the
need for missions to develop local, ad hoc practices or to ‘re-invent the wheel’.
However, each mission will need to plan for and execute the implementation of a
records management programme. This will be the responsibility of the mission’s
Information Management Officer, in partnership will relevant stakeholders such
as CITS staff, and managers of substantive business units.
ARMS provides a Manual for Design and Implementation of Recordkeeping
Systems (DIRKS) as a framework and practical guide for implementing a
recordkeeping system in your mission. The DIRKS methodology is an 8-step
methodology to be used for the design or redesign of systems that create,
capture and maintain records. The manual seeks to expand on the methodology
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and explain how it can be used to design and implement best practice systems
to ensure organizational efficiency and accountability. 'Systems' examined in this
manual include the software and hardware components, but also policies,
procedures, recordkeeping tools and strategies, and people. It also includes
useful appendices such as a guide to developing a business case and risk
analysis.
The primary audiences for the manual are records managers, records
management project teams and consultants responsible for designing
recordkeeping systems or building recordkeeping functionality into existing
systems.
This Toolkit includes a sample work plan for developing a records management
programme based on the DIRKS methodology.
Aspects of Paper Recordkeeping Systems
Although the basic principles for managing records remain the same regardless
of the format, there are some differences between recordkeeping systems
designed primarily to manage paper records and those designed to manage
electronic records.
Filing Cabinets and File Folders
Teams should have designated filing stations for paper records. A filing station
consists of one or more filing cabinets or lockable cupboards with enough space
around them for you to comfortably open drawers or doors to retrieve files. A
clear cabinet top or table in a non public, secure space nearby can be very useful
to place files for return, new records for filing, files for charging out, etc. The file
list for the records series in the filing station should be available, for example in
a pocket on the side of a cabinet. File drawers or cupboards should be clearly
labelled with details of the file series and the portion of files in the drawer (for
example “Personnel Files surnames A to G”).
Active records must be filed inside folders. Manila, accordion, or pressboard
folders are required for all files transferred to ARMS, so using this type will
eliminate the need to re-jacket records at the time of transfer. Binders are not
accepted. All file folders should be clearly and correctly labelled with the file
reference and title, the date the file was opened (normally the date of the
earliest record) and the office, department or field mission name. Including the
relevant retention schedule can be helpful as an indicator of how long the
records are to be kept (remember to always check against the Peacekeeping
Operations Retention Schedule (PORs) before carrying out any disposal actions).
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As with most office practices, filing procedures should be documented. Examples
of guidance on filing, and an example filing procedure for personnel records are
included below. It is also important to inventory files on a regular basis to
ensure that none have been lost.
Example of Guidance on Filing
Types of files
Each mission should maintain the following files:

series of files to cover its activities (substantive and administrative).
Confidential files should be created as necessary;

personnel files for staff members, including locally-recruited staff, military
observers, etc. and applicants for employment. All personnel files are
considered Confidential per ST/SGB/2007/6, and must be marked as such.
Control of subject files

File folders — File folders should be conspicuously marked with the name
of the mission to which they pertain. This is most important in order to
ensure that records can be readily identified when they are forwarded to
Headquarters for temporary retention or permanent custody. The
information on the front cover of the file should be imprinted with rubber
stamps or permanent markers.

Charge-out of files — A record should be kept in the file cabinet of files
charged out to an individual or to another office.

Inventories — At least once a year an inventory of files should be taken
to ensure that no files have been lost.
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Example of Filing Procedures (for Personnel Records)
Maintenance of personnel case files

Personnel file folders — Each personnel file folder should bear the name
of the individual concerned (family name followed by given names), his or
her start and end dates of service in the mission, and a notation as to the
status of the individual, i.e. international or local staff member, military
observer, applicant, etc. This information is most important in order to
ensure that records are readily identifiable when forwarded to
Headquarters for processing.

Charge-out of personnel files — a simple record should be maintained
in the file cabinet when any personnel file is charged out to another office.
The following are the three types of personnel files normally maintained by
missions:

Official status file or Working personnel file — Contains all material
other than items filed in the personal file: administrative correspondence
and forms pertaining to an individual staff member (including local staff)
or military observers. Personnel action forms and special service
agreements are filed on the left-hand side of the file folder and all other
relevant records on the right-hand side.

Personal file — Contains information considered strictly personal to
which only the individual concerned and a strictly limited number of
designated officials have access. Whenever the personal file is consulted,
the staff member shall be notified of the reason and of the name of the
consulting official. The personal file should at all times remain within the
premises of the personnel records unit.

Application file — Contains a candidate's applications and related
correspondence prior to appointment. On appointment a candidate's file is
converted to an official status file.
Records Retrieval
One of the main reasons to file and maintain records is to be able to find them in
the future. Offices therefore need a system which includes the following
practices and procedures:

how to locate files using the classification plan and any indexes

how to indicate a file is ‘charged out’ to a member of the team
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maintaining a log of charged out files

monitoring the charged out log to ensure team members return files when
finished with them

reminding teams members to return files promptly

returning files to correct space in the filing station or interim archive (the correct
shelf or drawer in the filing station, the correct box and shelf space in the interim
archive)
Closing Files and Part Files
A file is the smallest logical element of a filing system and is where records are
stored. A part is a subdivision of a file, consisting of a separate file cover and
containing a subset of the records in the file. Parts are sometimes called
volumes and are often created to reflect a cycle in the business, the most
common being the financial year cycle. It is a little confusing that the physical
folder containing records is usually referred to as a ‘file’ whether it is a (logical)
file or a part!
Unless a file is about a very specific or short-lived business activity or subject,
most will require subdividing into parts. When a file is first created the first part
is automatically created – every file has a part one.
The most common ways of closing a part are:

when it becomes full (no more files can comfortably be put into the cover)

when twelve months of it being opened have passed

at the end of a relevant business cycle (the financial year, the staff performance
appraisal year, etc.)
For more information on file closure procedures see the Managing Records in a
Mission Records Storage Facility section of this Toolkit.
Aspects of Electronic Recordkeeping Systems
The Challenges of Managing Electronic Records
Electronic records pose some recordkeeping challenges that have not arisen in
the paper arena. They:

…are easily overlooked because they are not physical ‘things’;

…are easily changed but those changes are not always easily seen;

…can be moved from one medium to another, potentially compromising their
authenticity;
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…are easily corrupted or damaged, especially when being moved;

…are not necessarily linked to each other to show relationship and context, unlike
papers bound in a file cover which are;

…are easily duplicated which is good because it allows reuse of existing
information but bad because it becomes harder to identify the official record;

…are technology-dependent – they require hardware,
operating system) and a power supply to access them;
software
(including

…are not always ‘fixed’ – some databases and some web pages are constantly
changing.
How electronic records are cared for during their lifetime will determine whether
these challenges are met to ensure the quality and even the availability of these
records over time.
Electronic Document and Records Management Systems
(EDRMS)
Electronic records should be captured in an electronic document and records
management system (EDRMS). An EDRMS controls how records are created,
ensures that all the components needed for them to be considered reliable are in
place, and manages them over time up to the point they are either permanently
archived or destroyed. They differ from an electronic document management
system (EDMS) by including the following:

records classification plan (imported or newly created)

records retention schedules (imported or newly created)

automated addition of recordkeeping metadata (e.g. disposal values, dates added
to all records saved in to a particular file, access controls and security
classifications)
An EDRMS can be very powerful tool and help you to be more consistent and
efficient in your records management practices. The Secretariat and DFS/ICTD
are now in the process of developing an Enterprise Resource Planning (ERP) and
an enterprise content management (ECM) system which will be compliant with
ARMS’ Functional Requirements for Recordkeeping Systems which, in turn,
reflect international best practice and standards.
Unless your mission has implemented an EDRMS which complies with
ARMS recordkeeping standards, the official record format remains paper
and all electronic records must be printed and filed until ERP and ECM is
rolled out to your mission or. ARMS and the Peacekeeping Information
Management Unit (PK IMU), OUSG/DPKO, strongly discourage the
development and implementation of non-standard systems, such as
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Lotus Notes in conjunction with scanning, as they do not meet
requirements for recordkeeping. Please contact ARMS ([email protected]) if
you have questions about this.
Managing Electronic Records in the UN ICT environment
Whether or not you have an EDRMS you will be creating electronic records in
some or all of:

Lotus Notes email

The Microsoft Office suite (Word, Excel, PowerPoint and possibly Publisher and
Access)

Special systems or databases which you use for specific tasks and functions, for
example the Idea Database, Field Personnel Management System (FPMS),
Peacekeeping Database (PKDB).
You may be keeping those records in a variety of places electronically, such as:

Shared drives

Personal drives

Websites (website files on a server)

Intranet pages (intranet files on a server)
Whilst it is harder to organise and manage electronic records if you do not have
an EDRMS, it is possible to make it easier and more effective by following the
guidance in this Toolkit. If you do you will also find it will take less preparation
when you do move to ECM.
Managing the Retention of Electronic Records
There are no differences between paper and electronic records when it comes to
deciding on how long to keep them. The Peacekeeping Operations Retention
Schedule (PORS) applies to all mission records regardless of format. There are
some special considerations for implementing PORS for electronic records.
Grouping (or Aggregating) Records:
Records relating to a single transaction should be stored together and retention
applied to the whole (including authorised destruction). Setting up a folder
structure for electronic records which stores those relating to the same
transaction together makes it much easier to manage them over time. This can
be done by replicating your classification plan used for paper records. If it is not
possible then the system you are using must allow them to be sorted or grouped
in some way so that all records due for destruction can be brought together (e.g.
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using a job number or other reference as the first part of a title and then sorting
a list of electronic items by title).
Deleting Electronic Records:
Deleting electronic records is not the same as destroying them. For records
management, ‘destroy’ means ‘destroy all copies’ which is relatively easy to
achieve for paper records. But electronic records have special characteristics we
need to be aware of.
There may be copies of electronic records in more than one folder or on more
than one system (including on system backups). All must be found and
destroyed at the same time in line with PORS. There may also be paper copies
which must be destroyed. Giving users clear guidance in the beginning about
where to store the official record and how to manage other copies/duplicates will
make it easier when the time comes to destroy them.
Something you may need to consider for sensitive records (information
considered Confidential or Strictly Confidential per ST/SGB/2007/6) is more
technical. Computer systems store electronic objects in the next available space
on the drive. Each electronic object is given a ‘tag’ so they can be found and it is
these tags which allow objects to be grouped into folders. When an electronic
object is deleted, most computer systems just remove the tag. The object
appears to have been deleted but in fact remains on the hard drive until it is
overwritten by a new electronic object and may not be overwritten for a long
time.
More information is available in the Toolkit section Destroying Records, in ARMS’
Guideline on Information Sensitivity, Classification and Handling, or from the
UN’s
ICT
Quality
Assurance
and
Risk
Management
Section
(http://iseek.un.org/webpgdept1_16.asp).
Records of Destructions:
When you destroy any records a certain amount of information must be retained
to provide evidence of what has been destroyed and according to what authority.
ARMS’ Standard on Recordkeeping Metadata gives details of a metadata stub
which must be retained for electronic records which have been destroyed. It can
be used at the level of the individual record or for groups of records. The
metadata elements that must be retained are:

Identifier: system ID and file classification ID

Title

Date: opened and closed
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Disposal: retention schedule identifier; effective date; authorized by; comment
(if applicable)
These elements need to be captured or saved from destruction of the record.
You need to make sure you have the option of user-defined comment and if the
date of destruction does not happen when it is scheduled to, the disposal date
must be captured.
Preserving Electronic Records:
Technology is changing very quickly and records created on today’s systems and
software may not remain accessible for as long as they need to be retained. For
example, records created in early versions of some word processing software
can not be opened or read in the latest versions. How to protect electronic
records is a very important issue.
ARMS has primary responsibility for ensuring that electronic records with
enduring value are preserved and accessible over time. They will work with you
to recommend strategies for preservation such as migrating them to new
storage media and/or new versions of software. Always document how your
systems work so that in the future consideration can be given to the technical
environment in which the records were initially created. However, remember
that the official record format remains paper.
No records should be transferred to ARMS on CDs. When the transfer of
electronic records to ARMS is essential, the ARMS team will work closely with
you to make sure that metadata or other information required to access the
records accompanies the records transferred.
Some pointers to ensure that your electronic records are well managed for long
term preservation:

Do not back-up or ‘archive’ your electronic records to CDs, flash drives or other
portable media

Carry out and document retention actions in a timely fashion to ensure that your
system is kept as uncluttered as possible

Exercise effective version control

Manage duplicates so that they are destroyed as early as possible (including
managing the content of backup tapes)

Capture and manage appropriate descriptive and technical metadata

Concentrate your resources on electronic records which are not available or
cannot be rendered in paper format
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Security and Back-ups
The UN Information Technology Services Division (ITSD) is responsible for
computer security, including firewalls and virus protection. They are also
responsible for preventing unauthorised access to electronic systems and
information.
ST/SGB/2007/6 - Information Sensitivity, Classification and
Handling, and the ARMS/DPKO Toolkit on Information Sensitivity support ITSD’s
efforts to build a sound information security infrastructure.
DPKO issued a policy in 2004 providing instructions to individual staff on backing
up personal computers: PC Back-Up Policy [i.e. SOP] (http://dpko-intranet1.dpko.un.org/DPKOIntranetDocs/Documents/POL_PC_BACK_UP_2004.doc)
Electronic records require hardware, software (including operating systems) and
a power supply to access them. Malfunctions or disruptions to any of these
elements can corrupt electronic records. The section Managing risks and
protecting vital records in this Toolkit provides guidance on how to protect your
electronic records and ensure they are available when needed.
Electronic Recordkeeping Responsibilities
When you use computers/IT systems and communications resources for your
work you produce transactions and instances of data that are electronic records.
All records – paper and electronic – created or received by staff are the property
of the United Nations and must be maintained as evidence of UN activities and
decisions. Recordkeeping systems must therefore be devised to ensure that this
is possible.
Responsibilities for Information Management Officers:

Liaise with ARMS to meet records management requirements

Develop procedures and practices specific to their area in keeping with ARMS’
policy and standards (detailed in this Toolkit)

Ensure that all staff are aware of the recordkeeping system, including the
procedures in place, and their responsibilities
Responsibilities for IT specialists:

Liaise with ARMS to ensure systems meet records management requirements
Responsibilities for ICT Security:

Implement and maintain access controls to electronic information

Make and maintain backups of servers
Responsibilities for individual staff members:
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Create adequate records

Print to paper and file records with others related to them

Follow ARMS procedures to ensure they do not destroy records
Everyone has some responsibility for looking after records. More information is
available in the Toolkit section Roles and Responsibilities for Records
Management in the UN.
Mapping Paper and Electronic Recordkeeping
Systems
In most offices the two primary records formats are paper and electronic. At
present the United Nations official record format is paper. This is because there
is no standard electronic recordkeeping application approved for use across the
whole organisation. Until then this happens all records must be maintained on
paper in physical files. However as many records are created and saved initially
in an electronic environment, integrating their electronic management (i.e.
before formal capture in paper files) into the recordkeeping system is beneficial.
To manage electronic records in the same way as their paper counterparts it is
important to first understand something about how they relate to each other.
You may be more familiar with paper records than electronic records. Paper
records are often grouped together (by subject, business transaction to which
they relate etc.) and fastened inside folders to form files. To help manage them
as part of the recordkeeping system, files are given titles and unique
identification numbers and organised according to a file classification scheme.
Over time files are either destroyed or transferred for permanent preservation
based on decisions predetermined in retention schedules.
Records are being created using computers and are often saved onto local or
shared drives in a hierarchy of folders which can be likened to the file
classification scheme used to organise paper files. Few of these folder structures
are consciously created to manage records. They lack the same level of control
applied to managing records in paper files (e.g. few electronic folders are
managed according to retention schedules) and, unless you are familiar with the
system, are harder to retrieve information from. It is only by integrating the
management of electronic records into the recordkeeping system that you can
provide an appropriate central corporate repository for all records accessible to
all parts of the mission.
Like most modern organisations, the UN is moving towards managing its
electronic information using specialised software. For the UN this is an Enterprise
Content Management (ECM) system which will assist units in establishing
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effective recordkeeping systems. This system should be made available in some
field missions beginning late 2009. Some teams already have an electronic
records management system (ERMS) or electronic document management
system (EDMS) in place, whilst others only have the personal and shared drive
spaces that are part of the regular Microsoft Office set-up. Wherever your office
is placed in managing electronic records or in the move towards implementing
organisation-wide ECM, you can do a lot to pave the way by ensuring that your
current system meets best practice.
Whilst creating many of their records electronically, UN offices and field missions
must manage them in paper recordkeeping systems as the best means of
preserving the evidence of their business transactions. At the same time ARMS
recognises that many records created electronically can not be adequately
printed to paper, e.g. databases and complex spreadsheets and that these will
have to remain electronic. Where complex electronic records have long-term
value, the mission’s records manager should plan for their transfer to ARMS’
recordkeeping systems by consulting with ARMS.
Like paper records, electronic records are subject to retention and disposal.
Decisions about how long records should be kept should reflect business needs
and will be identical for both formats. Disposition of electronic records should be
documented in the same way as non-electronic records, whether they are
destroyed or transferred to ARMS.
This section, together with the sections on Records Creation and Capture and
Managing Email, gives guidance on how to manage your electronic records to
ensure that you can rely on and access them for as long as you need to and that
you can also transfer them to ARMS in such a way as to ensure their continued
reliability, accessibility and preservation.
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Table: Mapping Electronic and Paper Recordkeeping Systems
Paper Records
Creating records manually, in a form etc. or
receiving from external sources.
Fastening records generated from the same
activity into a folder
Positioning in some kind of a classification
scheme (usually dependent upon which file
the record is assigned to)
Storage in filing cabinets.
Retrieval of records via classification scheme,
a file list and/or some kind of index.
Application of retention schedules to govern
how long records kept in the office, in
storage, when destroyed and if of archival
value.
Electronic Records
Creating documents and data resources on a
computer
Capturing or saving the records we create into
folders, databases etc. thereby linking related
records either in folders or by tagging
Some kind of classification structure as
appropriate (remembering that computer
records do not sit together physically so they
can be classified with a tag)
Appropriate storage which includes media,
software/format, hardware and operating
system
Retrieval of records by browsing folder
hierarchy, using indexes (if created) or search
functionality
Use of retention schedules to determine when
electronic records should be moved off-line,
deleted or transferred to the archives.
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Procedures
Each mission, office, department and unit should develop a set of filing
procedures based on the advice in this section of the Toolkit. Several examples
have already been given above, but if you need advice or help, you can contact
ARMS staff. You can also use the filing procedures checklist below to ensure you
have a system that conforms to ARMS standards.
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; Checklist: Filing Procedures
Filing procedures must include the following:
A written file classification scheme and notes about what it is and what it is
trying to achieve
Official file locations (file stations) and network drives and folders
File list for each series of records available at each file station and in each
drive or folder
Clearly labelled file drawers and folders
Who should be filing
Detailed instructions about filing – selecting the right file for a record, what
order to place the record on the file etc
Detailed instructions about indexing (if this is practised)
Detailed instructions about cross-referencing
Identification and separation of permanent records from temporary records
What kinds of material should not be filed
Clear rules on file or part closure/cut-off for each records series (when to
close a file or part and open a new one etc)
How to add a new item to the file classification scheme
How to re-name an item in the classification plan
Detailed instructions about retrieving files, including who can have access
Detailed instructions about returning retrieved files
Security procedures, limiting access to records in all media to authorized
personnel
Arrangements for storage of security classified and other restricted records
Clear requirement and procedures for an annual inventory of all files
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Section 2 - Roles and Responsibilities for Records Management in the UN

Section 5 - Records Creation and Capture

Section 6 – Managing Sensitive Information

Section 7 – Classification Plans for Peacekeeping Operations

Section 8 – The Peacekeeping Operations Retention Schedule

Section 9 – Managing Email

Section 12 – Managing Records in a Mission Records Storage Facility

Section 14 – Managing Risks and Protecting Vital Records

Section 17 – Destroying Records
Documents

DPKO PC Back-Up Policy (DPKO, 2004)

Field Administration Manual (DPKO)

Functional Requirements for Recordkeeping Systems (ARMS, 2003)

ST/SGB/2007/5 Record-keeping and the Management of United Nations
Archives

ST/SGB/2007/6 Information Sensitivity, Classification and Handling

Manual for Design and Implementation of Recordkeeping Systems
(DIRKS) (ARMS)

Peacekeeping Operations Retention Schedule (PORS) (ARMS,2006)

Records Management Programme Evaluation tool (ARMS)

Standard on Recordkeeping Metadata (ARMS)

Sample work plan based on DIRKS (Excel spreadsheet)
Glossary
Disposition: the range of actions and processes to which records are subject
over time, such as retention, destruction and transfer to other storage and/or
custodians
Electronic document and records management system (EDRMS): an
electronic system in which records are collected, organized, and categorized to
facilitate their secure preservation, retrieval, use, and disposition.
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Classification plan: A system that describes standard categories and that is
used to organize records with common characteristics. It islso known as a
records classification scheme or file classification scheme.
Filing system: the policies and procedures concerning file organization, storage
and indexing which support their retrieval, use, and disposition.
Recordkeeping system: a system in which records are collected, organized,
and categorized to facilitate their secure preservation, retrieval, use, and
disposition.
Record series: documents arranged in accordance with a filing system or
maintained as a unit because they result from the same accumulation or filing
process, or in the same activity; have a particular form; or because of some
other relationship arising out of their creation, receipt, or use.
Registry: a registry is a paper recordkeeping or filing system which should be
run by experienced staff (in the case of peacekeeping operations: Information
Management Assistants). The word registry comes from the practice of entering
the file details in a register which enabled it to be controlled and tracked.
What is an electronic record?
An electronic record is electronic data that has structure, content and context.
To be reliable, an electronic record must have:

structure: the format of the electronic record and any links to attachments or
other related documents

content: the information in the structure of the electronic record conveying the
evidence of the transaction

context: the information about the transaction, creator, date, security and access,
language, disposal, format etc. of the electronic record and which is normally
separated in the structure from the content
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Section 5 – Records Creation and
Capture
Contents
Main Things to Remember about Records Creation and Capture
Introduction
Why Create Records?
When to Create and Capture Records
How to Create and Capture Records
Folder and Document Titles
Version Control
UN Records Received from External Sources
Duplicate and Copy Records
What are Non-Records?
What about Personal Records that I Keep in my Office
Documents
Glossary
Main Things to Remember about Record
Creation and Capture

You should create or capture the records your office needs to
document operational and business processes, and for evidentiary,
transparency and accountability purposes.

You should save or file records along with the others that support
the same task.

You should not file duplicates, personal papers, reference material
or UN parliamentary documents (ST/SGBs etc.) or publications.

The mission Information Management Officer should develop rules
and procedures so that everyone knows what kind of records need
to be created and kept as evidence of that work or to inform it
again in the future.
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Introduction
The first phase in the life of a record is its creation and capture. When
carrying out an action or making a decision it is important to create and
capture an accurate record of it. Some records which affect the UN are
created by others (e.g. contractors or stakeholders) and must also be
captured to provide a complete and reliable picture of the business of the
UN. Some things that appear to be records may not need to be captured
because they are duplicates (e.g. copies of records created and captured
in other parts of the UN and sent to you for information) or because they
are not records of a UN activity or decision.
All records, regardless of their format, should be filed or organised so that
related ones are linked in some way and can be retrieved when required.
This section provides guidance on how to achieve this, including how to
name and version control electronic records.
Why Create Records?
All UN staff have a responsibility to create records that document their
work in order to:

Provide member states and citizens with evidence of UN decisions and
actions

Inform colleagues and ourselves of what has been done or decided

Provide templates or examples of how things have been and should be
done

Keep track of progress in projects and processes
Each UN office, department, mission or unit should have the following
recordkeeping provisions in place:

Written guidance on what records should be created, and the format of the
official record

Guidance and instructions for documenting policies and decisions

Guidance on working papers, working files and drafts, and their status as
records (or otherwise)

Guidance on creating and using finding aids (e.g. indexes)
These provisions will vary from office to office but this Toolkit gives help
and guidance to assist you to meet the ARMS standards.
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When to Create and Capture Records
A record must be created when evidence of decisions or actions and
transactions is needed. It should be done whilst the action is occurring or
decision is being taken, or soon afterwards. Using computer systems may
create the record at the same time as carrying out the business activity,
but as the UN’s official record format is paper it is perfectly acceptable to
use a paper based filing system.
Records are required for important substantive and administrative
decisions,
actions
and
transactions
(substantive
records
and
administrative records).
How to Create and Capture Records
There are different ways records can be created including:

handwriting notes

completing forms or templates

creating and transmitting an email

creating a memorandum or note for file

creating word processed documents

taking photographs (taken either digitally or traditionally)

making video tapes, DVD and traditional film recordings

making audio tapes, CD and other audio recordings

entering data into a database
There are also different ways records can be captured. Capturing records
is a responsibility of all UN staff members and includes capturing:
1. paper-based records by physically placing them in a file in the
correct part of your office’s file classification scheme
2. electronic records by either saving them into files within an ARMS-
approved electronic document and records management system
(EDRMS).
For convenience, electronic records should be saved into a folder structure
on a shared or network drive as part of the creation process, but because
the UN’s official record format is paper, they must be printed and filed.
More guidance is available in the Toolkit section Recordkeeping in the UN.
Important business emails should either be saved like other electronic
records (i.e. taking them out of your email system and into an electronic
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file within the ECM or an EDRMS) or printed along with any enclosures and
placed in a paper file. Take care to ensure any enclosures are also saved
and filed with the email record.
Folder and Document Titles
Although the official record will be in paper, it is important to be able to
easily retrieve electronic copies from within shared or network drives, or
from within the ECM or an EDRMS. Folder and document titles are the
principal tools in electronic record retrieval and the same principles should
apply to paper records as to electronic records. It is therefore important
that you have rules in place for giving meaningful titles to folders and
documents. The rules not only ensure swift retrieval of records but also
make selecting file titles more consistent and efficient.
Naming Conventions
Your local recordkeeping system should include naming conventions for
files and documents as part of the creation process. These rules should
include how the various parts of the title are ordered. This will allow you
and your colleagues to easily locate and retrieve records either by
searching on the name or by browsing files and folders through the
‘Windows Explorer’ function.
In developing your naming conventions, remember that the document or
file names that result must indicate what a record is about and must
relate to your mission’s approved file classification scheme.
Elements of Document Titles
Document titles can be made up of a number of different elements
combined in different ways. This table gives the main ones to consider:
Table: Document Title Elements
Element
Recommendations
Example
Organisational
structure
Put in reverse hierarchical
order (most general first): <
department, office/division,
section/unit>
Emergency Liaison Branch,
OCHA
Date
Always use the format year,
2005-10-31
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month, day so the
documents will sort in
chronological order: <yyyymm-dd>
Document type
Agree standard terms; make
document type the final
element in the title
policy; plan; guideline;
letter
Personal name
Use the order:
<lastname_firstname>
LeRoy_Alain; Ban_Ki-moon
Information about the version of a document may also be included, but
see below for more information on version control.
It is not necessary to include the application used to create or open a
document in titles because Microsoft Office software indicates it in the file
extension. For example, in a file titled ‘General Ledger spreadsheet for
2006-07.xls’ the word ‘spreadsheet’ is unnecessary as this is indicated in
the ‘.xls’ file extension.
Having selected which elements you require in your titles, decide on their
order to give the most useful information first. This will vary depending on
the type of document and how it is most easily searched for. For example:

for records about electoral capacity building:
<document type> may be most appropriate
<topic>
<recipient>
training electoral monitors – Smith_John – letter );

for financial accounting records: <order number> <invoice date> <vendor
name>
00432 - 2006-06-01 – Ballotboxes’R’Us Limited
Length of Titles
Try to keep titles short but meaningful, especially with email records.
Remember that Microsoft operating systems will only allow a maximum of
256 characters (including spaces and slashes) in the entire folder path
(i.e. from the root to the file extension). File titles (including folder path)
longer than this will cause instability in your operating system.
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Codes in Document Titles
File classification schemes use codes to identify a folder’s
functional/activity category (e.g. HRM-01 = Human Resources – Planning,
strategy). These codes will become familiar to you and your colleagues
and may be used as the first element in folder titles. In document titles it
is best to avoid codes (or repeat file codes) and only use words (numbers
for dates only).
Slashes, Full Stops and other Characters
Because of the way computer systems work, using symbols (i.e. any
characters other than letters and numbers) may cause problems if you try
to use them in folder or document titles. Microsoft uses back slashes ( \ )
as part of its file path and therefore they can not be used in titles.
Similarly some older versions of Microsoft use full stops ( . ) solely to
separate out the file extension which can make electronic records
unreadable. Hyphens
( - ) or underscores ( _ ) can be used as
replacements.
Folder, Document Titles and other Metadata
A title is one type of metadata (see ARMS’ Standard on Recordkeeping
Metadata) and may include information captured in other metadata fields
(e.g. <date>). Information in the title field facilitates searching for
records.
Developing and Documenting File and Folder Naming
Conventions
Using your file classification scheme as the basis you should develop your
file and folder naming conventions with your colleagues, taking guidance
and seeking approval from your mission records manager. This will ensure
that the naming conventions are workable and can be used for all the
documents and folders that your team needs.
Version Control
Version control reduces the risk of individuals or teams working from or
updating the wrong version of a document – or sending out the wrong
version in the first place. Without some form of version control time can
be wasted trying to find the current version. Sometimes teams or
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managers will want to track changes to a document over time and
possibly revert to older versions. Because the official record format is
paper, any significant early versions which are wanted for later reference
must be printed and filed. See ARMS’ Guideline on Version Control for
details on how to set up version control procedures for your office where
needed.
UN Records Received from External Sources
Not all UN records will be created by UN staff. For example, incoming
correspondence and emails on important matters from external sources
will be UN records and must be filed alongside any outgoing
correspondence or other records on the same matter. Without both in the
file only part of the story is captured.
You must take particular care of sensitive records provided to the United
Nations by foreign governments to allow it to carry out its business.
Foreign government and other records from external entities must be
accorded at least the same degree and duration of confidentiality and
protection that they would receive in the foreign government.
Contractors also create records which the UN needs to control and keep
for as long as required. The checklist Managing Contractor Records can be
used to ensure you have, contractually, the right agreement and
procedures in place to own and capture these kinds of records.
Duplicate and Copy Records
With modern office equipment it is very easy to copy and duplicate
records. Knowing which one is the ‘master record’ is very important, as is
knowing what to do with the copies and duplicates. The ‘master record’ is
also known as the official record. The official record is generally the one
which is filed in the unit which either created it or received it from an
external source. In the UN this office is known as the office of record.
Occasionally the official record may not reside with the creating unit as,
for example, with the reports on police activities in the field. Their office of
record is the UNHQ DPKO Police Division who receives it through the
SRSG or DSRSG via the Police Commissioner. Similarly, as a contingency,
sometimes both the mission and UNHQ are designated the office of record
and hold an official record each, therefore making two official records.
Copies and duplicates can take a number of forms:
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1. Multiple electronic copies of electronic records:
A record copy may be duplicated many times throughout the UN. Email
records and attachments are often sent to more than one recipient. The
duplicate which each recipient receives will be identical in content at the
point of receipt.

If the email or document originates from within the UN, the sender is
responsible for keeping the official record;

if the email or document originates from outside the UN, the department
responsible for liaison or action is responsible for keeping the official
record.
2. Multiple paper copies of electronic records:
Another type of duplicate is a print-out of a record which has been created
on a computer. The official record in the UN must be in paper unless ECM
has been rolled out in your mission or you have an EDRMS or the record is
too complex to render on paper (e.g. databases or linked spreadsheets).
Your team must get approval from your mission records manager (and
document in procedures) which records will have an electronic official
record, and which a paper one.

If the official record is paper (the majority of your records), it should be
put on file and the electronic original deleted as soon as possible;

the official record may be electronic in which case any ‘copies’ printed for
convenience (e.g. to take to a meeting) must not be filed
3. Multiple paper copies of paper records:
Paper records may also get copied, either for convenience or because the
original must be returned (e.g. to provide evidence for dependent’s
benefits, the staff member’s marriage certificate must be sighted;
evidence of having sighted it is provided by taking a copy).

If the original record must be returned to a third party, the UN’s record
copy will be a duplicate
A good recordkeeping system will help staff to:

Identify record copies

Recognise when theirs is the office of record

Know when to print records out for the paper file

Know when to print out copies of records for convenience and destroy
when finished with them
Teams working in isolation cannot always know how their records fit into
the bigger UN picture, ARMS staff will have full information on
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recordkeeping across the organisation which will help to ensure that
official records are kept for as long as needed and duplicates are
destroyed as soon as possible.
What are ‘Non-Records’?
There are a number of types of document which are not considered to be
UN records. They include:

Journals, newspapers, magazines and reference books

Other reference material and information received or collated from
external sources which is used to inform staff in doing their work

United Nations documents and publications
What about personal records that I keep in my
office?
Personal papers are considered non-records.
They should be filed
separately from United Nations business and/or official records.
Remember that ST/SGB/2004/15 (Appropriate Use of United Nations ICT
Resources and Data) provides for limited use of UN ICT resources for
personal matters. ARMS has created a guideline for you to use in
identifying and managing your personal records, and in determining what,
if any, copies of business records you can request to take with you when
you separate from the Organisation. You should use the Annex to
ST/SGB/2007/5: Guidelines concerning the separation of private papers
from business records to guide you in recognising personal files.
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; Checklist: Managing Contractor Records
When negotiating services with external contractors, it is important to
make sure the UN receives all records it needs once the work is done
and the contract has expired. In drafting contracts, terms of reference
and project plans for contractor projects, remember to:
Clearly identify which contractor-created records are UN records
Specify that background data that may have further value to the
office must be delivered in addition to the final product (this is
particularly relevant to electronic records)
Specify that systems documentation must be delivered to the office
along with the final product for projects to develop electronic
systems
Include a mechanism (such as deferred ordering and ‘delivery of
data’ clauses) in contracts if all electronic data that should be
delivered to the UN cannot be identified in advance
Provide contractors with the regulations and procedures governing
UN records
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; Checklist: Record Creation Procedures
Record creation procedures must include the following:
Guidance on what are United Nations records and non-records,
including those created using office automation
Written guidance on what records are to be created, captured and
maintained and the format of the record copy
Guidance and instructions for documenting policies and decisions
(especially those arrived at orally)
Guidance on the record status of working papers/files and drafts
Guidance on personal papers
Procedures on creating finding aids such as captions and indexes to
facilitate access to records
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Section 4 - Recordkeeping in the UN

Section 9 - Managing Email

Documents

Appropriate Use of United Nations ICT Resources and Data
(ST/SGB/2004/15)

Recordkeeping and the Management of United Nations Archives
(ST/SGB/2007/5)

Information Sensitivity, Classification and Handling
(ST/SGB/2007/6)

Guideline on Version Control (ARMS, 2006)

Standard for Recordkeeping Metadata (ARMS, 2004)

Peacekeeping File Classification Scheme (2008)
Glossary
Administrative records: records which support and provide evidence of
the administrative responsibilities of the office.
Metadata: data about data, or information about records (e.g. which
describes the record’s context, content and structure, and their
management through time).
Office of record: usually the office which originates the record or which
is directly and primarily responsible to take action on a task or
transaction.
Official record: master or official copy of a UN record.
Substantive records: records which support
operational, policy and strategy work of the office.
and
document
the
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What is the difference between creating and capturing
records?
The distinction between creating a record and capturing can be very fine
but it is essentially the difference between drafting or receiving a
document and consciously making it part of the recordkeeping system.
With non-paper media this can be an issue as it is possible to draft a
document and to fail to save it or to receive a voicemail message and
have it erased automatically.
What is an electronic document and records
management system?
Also known by its acronym, EDRMS, an electronic document and records
management system is one in which records are collected, organised, and
categorized to facilitate their secure preservation, retrieval, use, and
disposition and to ensure that records management standards are met.
What is version control?
Version control is a system for tracking each time a document is amended
or edited – when it is changed. Each time a document is changed and
saved, information is added to indicate that this has taken place. In
Enterprise Content Management (ECM) systems this process is normally
done automatically.
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Section 6 – Managing Sensitive
Information
ARMS and DPKO have developed an Information
Sensitivity Toolkit that covers all aspects
managing sensitive information.
Please click on this link to access the
Information Sensitivity Toolkit:
* Please note that the Information Sensitivity Toolkit is
currently available only in PDF format. An HTML version
will be available soon.
Section 6
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Section 7 –Records Classification Plans in
Peacekeeping Operations
Contents
Main Points to Remember about Classification Plans in Peacekeeping
Operations
Introduction
The Peacekeeping File Classification Scheme and Shared Drives
Using the Peacekeeping File Classification Scheme
Indexing Records and Files
Cross-referencing
Documents
Glossary
Main Things to Remember about Classification plans
in Peacekeeping Operations

Peacekeeping missions are expected to use the Peacekeeping File
Classification Scheme (PK FCS).

The PK FCS provides the framework from which file lists are created.

The PK FCS covers all record formats, not just paper.

Mirroring the PK FCS on shared drives where records are created helps
manage electronic copies of records and ease the transition to an
electronic records management system in the future.
Introduction
DPKO, working with ARMS, has developed a classification plan for the
Peacekeeping Group – the Peacekeeping File Classification Scheme (PK FCS). For
already established missions where a mission classification plan has already
been developed and implemented, the PK FCS should be used as a benchmark to
review, improve and support this existing scheme. This will help the mission to
comply with other UN records management policies.
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The PK FCS is based on the functions and activities of peacekeeping operations.
It has three main purposes:

to organize records created or received in the course of peacekeeping operations

to find and access records

to support the implementation of records management policies by linking PK FCS
categories to those in the Peacekeeping Operations Retention Schedule (PORS).
In new missions, or in a recently-established mission which has not yet
developed a classification plan, the PK FCS must be used.
The Peacekeeping File Classification Scheme and
Shared Drives
Paper and electronic records differ only in their format. Maintaining links
between related records is done by developing and implementing a records
classification plan. Paper and electronic records can be stored in the same logical
ones – i.e. the same place in the overall structure. This results in a hybrid
paper/electronic recordkeeping system that shares the same classification,
security and retention.
Unless you have an ARMS-approved electronic document and records
management system (EDRMS), the official record format remains paper and you
should print and file your records. To help manage the electronic environment in
which records are often created, you should set up an electronic folder structure
on a shared drive which mirrors your classification plan and therefore also your
paper files. Although this is not the official file it ensures that you and your
colleagues have only one system to learn and use. It also makes it easier to
locate and apply retention actions across all records, including electronic copies.
The following examples are drawn from the Peacekeeping File Classification
Scheme (PK FCS) and show how a classification plan can be mirrored using
electronic folders on a shared drive.
The PK FCS is divided into 28 functional categories:
Abbreviation
Title
BUD
Budget
CIV
Civil Affairs
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DDR
Disarmament, Demobilization, Reintegration
ELE
Elections
FEN
Facilities & Engineering
FIN
Finance
FOM
Fuel Operations Management
GOV
Governance
HRM
Human Resources
HRT
Human Rights
HUM
Humanitarian Affairs
INM
Information Management
JDL
Judicial & Legal Systems
LAE
Law Enforcement
LEG
Legal
MAT
Management & Integration
MIL
Military
MIN
Mine Action
MOV
Movement & Transport
OVE
Oversight
POL
Political Affairs
PRC
Prisons & Corrections Services
PRO
Procurement & Contracts Management
PRP
Property Management
PUC
Public Information & Communications
SAF
Safety Management
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SEC
Security Management
TRL
Translation & Interpretation
To mirror this on a shared drive for electronic filing requires creating a series of
top level folders as illustrated below:
The second tier categories of the FCS’s ‘Human Resources’ section are:
Function
Abbreviation
Human Resources
HRM
No.
Activity
01
Planning, strategy
02
Policy, procedure
03
Coordination, partnership
04
Monitoring, reporting
05
Best practice
06
Reference
07
Examination administration
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08
Recruitment and outreach
09
Appointment and assignment
10
Movement to higher level
11
Movement of personnel
12
Extension
13
Separation
14
Staffing table management
15
Job classification
16
Organizational design
17
Benefits and entitlements
18
Career development
19
Training
20
Administration of justice
21
Accidents, casualties
22
Health, welfare
23
Travel administration
24
Performance appraisal, recognition
25
Attendance and leave administration
26
Labour relations
These second-tier folders can be created underneath the first-tier folder, as
needed:
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The rest of the PK FCS can be mirrored in the same way.
The third-tier folders or file level (where you store records) will depend on your
team’s particular work and needs. In the example above, the folder “TVAs” has
been created. Remember, for all new missions you must use the PK FCS as the
basis. There may also be times when you need to sub-divide an electronic folder
(e.g. to better organise the contents) but not the official records in the paper
file.
Some tips for setting up electronic folders for creating records and for their
subdivision include:

Only create folders if there is an operational need to separate out or group
together documents

Only create a folder when there are documents to populate it

Try not to have too many levels in the hierarchy because this involves too many
clicks down to locate records
You will need to have a file classification scheme which covers all records,
regardless of format. Remember that unless you have an approved EDRMS the
official record format is paper; the electronic mirroring of the classification plan
is to help manage the creation and subsequent filing of records.
Records in other media may require special treatment but the same classification
plan should still apply. See the Toolkit section Managing Records in Special
Formats for more information.
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Using the Peacekeeping File Classification Scheme
A classification scheme and file plan shows how records and files in the
recordkeeping system are organized or classified. The Peacekeeping File
Classification Scheme (PK FCS) is based on peacekeeping operations’ business
functions and activities. Records born from the same business function and
activity are known as record series. It is important to recognise record series
because the files in the series have similarities, which means they can – and
should – all be managed consistently. In other words, we do not need to specify
filing or retention details for each individual file. Some common record series
include:

Case files (where each file relates to a single instance of a common function or
activity, for example personnel files)

Project files (each file pertains to a different project)

Transactional (each file relates to an individual transaction, for example
procurement tenders)

Meetings (where each type or sequential meeting has its own file)
Within record series, individual files need to be arranged logically so they can be
easily found. Even with electronic records it is helpful to have an ordered list of
file titles or numbers to browse through. Again, there are various options for
arranging files within series, here are a few examples:

Alphabetical by title/subject

Alphabetical by name

Chronological by date of meeting

Consecutively by reference number
Finally, you will need to consider how to organize the records in the file. For
example chronologically, consecutively by invoice number or according to their
place in the progression of activity (e.g. pre-event, event, post-event).
You will know the best way to organise records within files because you and your
co-workers are the ones who create them and access them most regularly. You
will also know if your records are best grouped by subject, case, activity, or
reference number within your taxonomy.
Indexing Records and Files
Offices may find it useful to create and maintain indexes which will help the
team to find particular records by search terms (e.g. person, place or subject)
which are not reflected in the classification plan. For example, you might want to
search for a person in a subject record series. As with deciding how best to
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classify your records, you should decide whether you need to index your records
and what kind of indexing you need. Electronic records can also be indexed.
Indexing should be done at the point of capture or creation and should be kept
as simple as possible. It is best to set up a small database, or at least use a
spreadsheet or word processed table to enable you to search and sort. You will
also need to develop procedures on what to index. If you adopt subject indexing
you will need to think about the use of controlled language, such as used in a
thesaurus which helps when searching for alternative terms for the same issue.
An example of indexing guidance is given at the end of this section.
Cross-Referencing
Sometimes it may be difficult to file a record in a single file, because it could
equally well belong with records in another file or because it pertains to two
different subjects or issues. The guidelines for the Peacekeeping File
Classification Scheme provide practical guidance on filing records that cover
more than one topic. Additionally, it is possible to file the record on one file and
place a reference sheet on the other file(s). This works well for bulky records
such as reports. If the record is small, it can be quicker to copy it and place it on
both files.
An example of cross-referencing procedures is given at the end of this section.
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Example of Guidance on Indexing Files
Indexes
In addition to the subject and personnel files, it will be useful to maintain an
electronic filing system as indicated below to facilitate the tracing of previous
correspondence on a particular subject matter or from a particular individual:

Index to incoming communications — Details of important
communications should be entered in index form by addressor, including
brief details of each communication and the number of the file into which
it is placed.

Index to outgoing communications — A chronological file of copies of
outgoing communications provides a ready and convenient reference aid.
In this file, copies of outgoing communications from the same official or
unit are arranged chronologically and filed together.

Separate chronological files for incoming and outgoing cables —
When an office is served by the United Nations radio network it will not
normally be necessary for the registry clerk to maintain indexes to cables
transmitted via the network, as these can be readily traced from the
copies maintained by the Field Service communications staff.
In smaller missions where the volume of correspondence may not be very
heavy, an alternative to the above arrangement might be separate logs of
incoming and outgoing correspondence. Logs of incoming communications
would show the details of each communication (sender, addressee, date and a
brief indication of the subject), the file it relates to and the official to whom it
was sent by the registry clerk for action. Logs of outgoing communications
would indicate similar details.
From the DPKO Field Administration Manual
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Example of Procedures on Cross-Referencing of Files
Cross-referencing of correspondence — Correspondence is crossreferenced when it concerns two or more individuals or subjects; the
necessary copies are made so that one may be placed in each relevant file.
Correspondence pertaining to individuals that relate to a subject file is
similarly cross-referenced.
From the DPKO Field Administration Manual
Documents

Field Administration Manual (DPKO)

Peacekeeping File Classification Scheme (2008)
Glossary
Record series: A group of similar records that are arranged according to a filing
system and that are related as the result of being created, received, or used in
the same activity.
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Section 8 – The Peacekeeping
Operations Retention Schedule (PORS)
Contents
Main Things to Remember about the Peacekeeping Operations
Retention Schedule (PORS)
Introduction
What a Retention Schedule Looks Like
Using the Schedules
Retention Schedules and Actions Procedures
Documents
Forms
Glossary
Main Things to Remember about the
Peacekeeping Operations Retention Schedule
(PORS)

Retention schedules are a comprehensive policy instruction covering
the disposition of records to assure that they are retained for as
long as necessary based on their administrative, fiscal, legal and
historic value.

The Peacekeeping Operations Retention Schedule (PORS) is
mandated for use in all peacekeeping missions and replaces all
previous retention schedules used in missions.

PORS is the sole authority for the disposition of UN records in
missions.
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Introduction
A retention schedule is a comprehensive policy instruction covering the
disposition of records to assure their retention for as long as they have
administrative, fiscal and legal or research value.
Assessing records to decide how long they need to be kept, known as
records appraisal, is a key element of recordkeeping, together with
procedures to ensure those decisions are acted on. The end result of
records appraisal is the records retention schedule, which is a tool for
managing records retention and disposal. All UN missions are required to
implement the Peacekeeping Operations Retention Schedule (PORS).
PORS is the ARMS approved retention schedule for peacekeeping and
political operations records administered by DPKO or DPA. It has been
developed by ARMS after extensive consultation with DPKO and was
formally approved by OLA and OIOS.
PORS is based on a functional analysis of mission operations,
management and support and comprises records retention and disposal
instructions for the 27 primary functions of UN field missions plus separate
schedules for the Office of the Head of Mission (HoM) and the Office of the
Director or Chief of Mission Support (DMS/CMS).
Each function is
subdivided into record series. A record series is a group of records that
relate to the same activity and therefore have the same retention period
and disposal action. To facilitate records disposition decision, the
Peacekeeping File Classification Scheme (PK FCS) is mapped to
the PORS categories.
Retention schedules are invaluable tools for helping you manage your
records. They have the following benefits:

They provide an agreed and consistent standard, across UN departments,
missions and offices, on the value and retention of records

They help limit the number of records held in primary office space and on
servers, thereby economizing on storage costs and freeing up storage
areas for newly created records or other purposes

They facilitate information storage and retrieval by identifying and
removing redundant records (the less material there is to search through,
the quicker the search)

They allow the destruction of records in the mission area, saving the
shipping costs to New York and the ARMS storage costs

They ensure records which need to be kept in the longer term are
identified and protected
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They identify potentially archival records for regular transfer to ARMS,
thereby protecting valuable historical material
What a Retention Schedule Looks Like
Retention schedules include:

Schedule number – a unique ID for each class within the schedule

Record series title or subject

Retention period – the total years a record series needs to be maintained

Disposition instructions – details whether the record series must be
destroyed or archived at the end of its life cycle

Notes

Vital records information – identifies whether or not the record series is
crucial to business continuity in the event of an emergency or disaster

Office of record – identifies which business unit maintains the official copy
of the record series
The first part of the Finance retention schedule from PORS is included
below.
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Using the Schedules
The use of PORS should be a core responsibility of your mission’s
Information Management Officer, who is responsible for the disposition of
all mission records and the documenting of all records disposals. You must
follow PORS by retaining your records for the length of time specified and
ensuring that they are accessible for the entire retention period. Retention
periods relate to groups of records (i.e. record series) and apply to
information contained in records regardless of storage media or format.
You should not have to review retention periods at the individual
document or folder level.
It is best to set up a records disposal programme as a regular cycle, at
least annually, for reviewing your records. You should aim to identify
those records which are due for action and carry out that action. You will
be carrying out one or more of the following actions:

transferring records to the mission’s records centre

destroying records

transferring records to ARMS, New York
The section Transferring Records to UN ARMS in this Toolkit gives detailed
guidance on transferring records to ARMS. The guidance is also applicable
to records which you transfer to your local records storage. The section
Destroying Records of this Toolkit gives guidance on how to destroy those
records which ARMS has agreed you can destroy yourself.
Retention Schedules and Actions Procedures
Each mission should develop a set of procedures to ensure they are
implementing the PORS effectively. Procedures should be based on the
guidance in this section of the Toolkit. If you need more advice or help
please contact ARMS staff. Use the checklist at the end of this section to
ensure you have a system that conforms to ARMS standards.
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; Checklist: Implementing Retention Schedules
Retention schedule and retention action procedures must include the following:
Regular review of the records in file stations and on shared and personal
drives to identify records due for retention action
Regular review of the office’s records and retention schedule to ensure that
the schedule covers all record series and retention periods and actions
remain appropriate
Implementation of record transfer and destruction according to ARMS
standards and guidance

Section 17 - Destroying Records
Documents

Peacekeeping File Classification Scheme (DPKO, 2008)
Forms

Request for Records Disposition Authorization Form (RMS 49)
Glossary
Retention Schedule: a comprehensive instruction covering the
disposition of records to assure their retention for as long as they have
administrative, fiscal, legal or research value.
Section 8
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What is a retention schedule?
A retention schedule sets out minimum retention periods for which
temporary value records are to be kept, and identifies records of historical
or archival value that are to be retained indefinitely.. It also specifies what
should happen to them, for example transfer to other storage, an archive
or destroying them. It is organized according to record series, because all
the records in a series will have the same value, or put another way, will
need to be kept for the same amount of time once the file is closed.
How do I get a retention schedule?
ARMS and DPKO have developed and approved the Peacekeeping
Operations Retention Schedule (PORS) for use in all peacekeeping and
political missions administered by DPKO or DPA. Other parts of the UN
should contact ARMS staff.
How does ARMS decide how long records should be
kept?
The ARMS team are experts in recordkeeping and have experience and
professional training to draw on in consulting with the offices about the
records they create and in deciding how long records are to be kept, as
well as deciding which records should be kept permanently in the
Archives. ARMS take the following into consideration:

Administrative value (means that the record is necessary for conducting
day-to-day business)

Fiscal value (whereby the records establish an audit trail by documenting
money received, managed or spent)

Legal value (means that the records document the rights or responsibilities
of the United Nations, or its staff)

Research value (the records are important for the information that they
contain about the United Nations and its activities and are valuable for
future programme and policy analysis and documentation of the
Organization’s institutional memory)
Section 8
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Section 9 – Managing Email
Contents
Main Things to Remember about Managing Email
Introduction
Importance of Email
Procedures for Managing Email
Documents
Main Things to Remember about Managing Email

Emails can be official records of UN Business and must be managed in the
same way as other UN records.

Use an EDRMS or your paper files to manage email records, not the email
system itself (e.g. your Inbox or personal folders).

When an email is a record and is created internally, the originator is
responsible for filing it.

When an email is a record and is created externally, the recipient is
responsible for filing it.

Actively manage your emails by regularly filing email records and deleting
ephemera, personal emails etc. (non-record emails).
Introduction
Many UN records are created and received in the UN Lotus Notes email system.
Emails which are UN records must be managed in the same way as any others
(i.e. those which are electronic mail records). All UN staff should aim to manage
electronic messages effectively to expedite communications, reduce paperwork
and automate routine office tasks. This includes:

Passing on messages for action and information to other staff as appropriate

Acting on email as appropriate

Retaining email for as long as and no longer than required
Section 9
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Importance of Email
Not all emails are records but those that are must be captured into your
recordkeeping system. Generally, email messages can be divided into two main
categories:
1. covering emails, personal emails, and routine email (which do not need to
be retained) – these are ‘non-record emails’, often ephemera or personal
emails
2. emails which communicate decisions and actions or provide evidence of
business transactions (which need to be kept and managed) – these are
‘email records’
Often, emails can be the only written records of a business transaction, and if
they are not managed no record will exist for the future that documents UN work
or to inform future business activities.
Emails may exist on their own, as a message, or they may have files attached
(attachments). These attachments may be significant, such as policy,
procedures, minutes, and in a variety of formats (e.g. Word .doc files, Excel .xls
files etc.). The attachments may be drafts sent for comment or they may be
final/issued versions sent for information. Drafts can be records when they
show the evolution of a policy, for example. Therefore some attachments also
need to be managed.
The email system (your Inbox or personal folders) should never be used to
manage emails as records. Ephemeral email should be regularly deleted; more
important email should either be saved into an ARMS-approved EDRMS or
printed and filed in your paper files.
The diagram below will help you identify business emails (which are records) and
personal or ephemeral emails (which are not records):
Section 9
Page 2 of 5
record
email
yes
no
no
personal?
business
record
attachment?
yes
draft
showing
evolution?
yes
no
not a record
Remember:

email records must either be saved in to an EDRMS, or printed and filed in your
paper files

non-record emails should be deleted promptly
Procedures for Managing Email
You can make managing emails (records and non-records) easier for yourself by
following some simple guidelines.
Creating and addressing emails
Good practice in managing emails begins with their creation and addressing. The
recommended guidelines are as follows:

Only identify as main recipients those who need to act or take decisions on
message content

Use “Reply to All” sparingly

Use cc for information only

Cover one topic only per email

Include the message of the email in the text rather than as an attachment

Use clear and explicit email titles in subject fielts

Categorise emails with prefixes in the "Subject lines" line to help users to decide
whether to delete the email, open immediately or open later. See examples
below:

SOCIAL: evening out next Wednesday
Section 9
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FOR INFO: rail strike latest news

FOR ALL MANAGERS: new appraiser course

URGENT!: Fire drill at 12.00
Responsibility for Keeping Emails
The originator is responsible for retaining and managing the email :

When the email is created internally
The recipient is responsible for retaining and managing the email :

when the email is received from an external source and where that information
does not exist elsewhere in the Organisation and forms part of the official
business record. In the case of multiple recipients each office should decide
which member of staff will be responsible for filing all emails on a particular
subject.
Three important rules to remember when you are the originator of an email
message:
1. If you have created an email message for response from one or several
recipients, you must ensure that the original text and all responses that
form the complete email record are retained.
2. If there is an ongoing email exchange you should use your own
judgement to determine at what stages in the discussion a copy of the
email should be captured as an official record. This judgement needs to be
based on the significance of new information in an email response to a
previous message.
3. If you add information to an email record you receive, it is considered as a
new original and you must keep and manage it.
Housekeeping
Actively manage your email by regularly:

filing emails which are records – either electronically into an EDRMS or by printing
them and filing them in your paper files

deleting email records which others are responsible for filing – preferably as soon
as possible after actioning them

deleting other email when no longer needed
Section 9
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Documents

Guideline on Managing Email Records (ARMS, 2006)
Glossary
Electronic mail records: Any messages create, sent or received within an
email system that are required by an organisation to control, support, or
document the delivery of programmes, to carry out operations, to make
decisions, or to document activities.
Section 9
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Section 10 – Managing Records in Special
Formats
Contents
Main Things to Remember about Managing Records in Special Formats
Introduction
Audiovisual Records
Cartographic and Architectural Records
Micrographic Records
Main Things to Remember about Managing Records
in Special Formats

Records in special formats have particular requirements with respect to
their maintenance, preservation and access.

Keep special records cool, dry and in appropriate packaging to protect
them from dust and magnetic fields.

Follow the guidance in this section to ensure special format records
remain accessible and available to UN staff and stakeholders for as long
as required.
Introduction
This section covers the additional standards required to maintain records in
special formats because of their physical properties. There are three checklists at
the end of the section which can be used to ensure you have all the necessary
procedures in place to effectively manage special records. Electronic records (i.e.
records which consist of electronic data and maintained in digital format) are not
included as records in special formats. This includes non-textual electronic
records (e.g. digital sound or video recordings – .wmv, .mpeg, MP3 etc.).
Records in special formats have particular storage, handling and maintenance
requirements. How they are organised (file plan) and how long they are retained
Section 10
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(retention schedules) are the same as any other records. Links to other records
of the same business activity must be established and maintained.
Audiovisual Records
Audiovisual records come in many different formats, the main ones that you are
likely to be responsible for are:

magnetic tape (audio and video records) – both reel and cassette

celluloid film

photographic prints

negatives (film and photograph)

optical discs – compact discs and digital video discs (CD, CD-R, DVD etc.)
Audiovisual records are very susceptible to changes in temperature and
humidity. Dirt and dust can cause great harm to this kind of media and it needs
to be stored in a cooler and dryer environment than paper. Magnetic media is at
risk from magnetic fields and forces. You should therefore store your audiovisual
material in an area separate from your paper records.
Audiovisual material is fragile and even infrequent use causes deterioration. It is
good practice to provide a copy of the original or master record for everyday
use, including for use by external researchers. Ideally a third copy should be
used to create future use copies so that the original can remain in a controlled
environment (72° F/22° C or less, with a relative humidity between 30% and
40%) and is not subjected to more wear and tear. You also need to ensure that
the master cannot be accidentally overwritten.
Management of audio visual records and archives is a specialised profession and
guidance should be sought from these professionals to ensure the latest
standards can be implemented.
Cartographic and Architectural Records
Paper-based cartographic and architectural records require special care because
they are often oversized and thus easily damaged. They also are sometimes
made of papers which are especially acidic or fragile. If you have these largeformat records, you should store them flat whether they are loose or bound.
Records which have been designated as archival should be enclosed or
interleaved in acid-free coverings or sheets.
Field missions are now using Geographic Information Systems (GIS) to create
and manage cartographic records. Information Management Officers should
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liaise with GIS experts on the management of all cartographic records. GIS
experts will need guidance on managing GIS records to facilitate their transfer to
HQ when the mission mandate ends.
Similarly, many engineering and architectural records are created and
maintained in Computer Aided Design (CAD) systems. These systems may need
to be transferred to HQ as archives. Consult with ARMS HQ for guidance on
these issues.
Micrographic Records
Micrographic records often substitute (or act as a surrogate) for original records
which are too fragile to withstand heavy use. Micrographic records are also used
to save storage space – in which case the original will probably be destroyed. In
this case the microform is the sole copy of the record and you should make sure
you have a reproduction copy (printing negative) in addition to any reference
copies and, most importantly, a master negative. This should be 35mm roll
silver-gelatin film and must be stored in a controlled environment to ensure its
preservation and only be used to make the printing negative and its
replacements. If you are using microform as a surrogate for a record which you
intend to keep, you should also adhere to this regime as you must avoid refilming a fragile original.
Micrographic records require careful listing and labelling because there are
potentially many records on each roll or fiche. If you have a microfilming
programme, remember to carefully check the film to ensure records are clear
and legible before destroying originals.
Section 10
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; Checklist: Managing Audiovisual Records
Are original and use copies of audiovisual records maintained separately?
Are finding aids such as indexes, captions, lists of captions, data sheets,
shot lists, continuities, review sheets, and catalogues (published or
unpublished) maintained for all audiovisual records?
Are cross-references to related textual records maintained
audiovisual records (classification plan and retention schedules)?
with
Has the office instituted procedures to ensure that information on
permanent or unscheduled magnetic sound or video media is not erased
or overwritten?
Does the office store permanent audiovisual records, particularly colour
films and photographs, in storage which meet ARMS requirements?
For special format records that are archives, has the records manager
developed, where appropriate, a migration strategy from the original
format to a more stable one?
; Checklist: Managing Cartographic and Architectural
Records
Are maps and drawings stored flat in shallow-drawer map cases rather
than folded or rolled?
Are permanent maps and drawings stored in acid-free folders?
Are large, heavy atlases and other bound volumes of maps or drawings
stored flat, preferably on roller shelves to facilitate moving them without
damage?
Do adequate finding aids such as indexes exist for cartographic and
architectural records?
Are cross-references to closely related textual records maintained with
cartographic and architectural records?
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; Checklist: Managing Micrographic Records
Are records on microform arranged and indexed to permit ready retrieval
of individual documents?
Do microforms contain a title header or initial target page that identifies
the records?
Are boxes containing microforms individually labelled with the records
series title and date span of the records, and are they sequentially
numbered?
Are permanent and temporary records filmed separately (to facilitate
disposal)?
Are silver gelatin and non-silver microforms filed separately?
Are silver gelatin master microforms of permanent and unscheduled
records inspected every 2 years while these records are in storage?
What are Records in Special Formats?
Special records are records which are in formats other than traditional paper text
files, e.g.:

Electronic

Audiovisual

Cartographic

Architectural

Microform (film, fiche etc)
Section 10
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Section 11 – Registries
Contents
Main Things to Remember about Registries
Introduction
Managing Records Classification Plans
Storing, Retrieving and Tracking Files
Filing Records
Managing Retention
Managing Individual Records
Office of Record
Registries in Multi-Site Missions
Electronic Registries
Benefits of Registries
Glossary
Main Things to Remember about Registries

Registries require dedicated staff whose only responsibility is looking after
a mission’s records.

A recordkeeping system may be either centralised or decentralised
(delegated) to individual offices.

A Registry system can be implemented across multiple sites/locations but
those aspects relating to the logical control of records must remain
centralised (policy, procedures etc. and managing the classification plan).

Maintaining correspondence logs should not be considered a primary part
of your recordkeeping system.

Storing records together only because they are incoming or outgoing
correspondence is not good recordkeeping practice and is discouraged.

In some circumstances it may be necessary to make copies of records but
the Office of Record and location of the official record must be
determined. Copies should also be registered and tracked so that they can
Section 11
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be destroyed at the time a final disposal action is taken on the official
record.
Introduction
Records can be created by any staff member in a mission. They must be
managed using approved systems designed for the purpose following best
practice such as that set out in this Toolkit. Section 2 (Roles and
Responsibilities) looks at who is responsible for establishing and overseeing such
a system. However there are different ways in which a recordkeeping system
can be implemented.
Many missions have multiple sites (buildings and/or locations) and aspects of the
day to day management of records may be delegated to business units, for
example, creating new files or managing records storage, within approved
guidelines. This is a decentralised approach to running a recordkeeping
programme. Another approach involves a dedicated team of people dealing with
all aspects of recordkeeping as their primary function. This model is known as a
Registry. The specific things which are required in a centralised – Registry –
approach are explained in this section.
Whichever approach is implemented, ARMS’ policies and standards must be met
at all times, this Toolkit and other ARMS’ guidance are provided to help enable
such compliance.
Managing Records Classification Plans
Logical
In a centralised recordkeeping system, Registry staff are responsible for
managing classification plans to ensure that records can be filed correctly and
retrieved easily. This includes:

adding new branches or classes – determining whether a new class is required
and if so, where to create it

periodically reviewing the classification plan – ensuring that it continues to meet
the needs of the mission, including easy retrieval of records

checking for duplications – records relating to the same business activity or
subject should be stored together and not split across several files
Importantly, Registry staff are responsible for creating all new files – both the
logical and the physical. Staff must request new files from the Registry on a
form which sets out the proposed title, the subject matter, and the proposed
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place within the classification plan. Registry staff must consider whether or not a
file already exists or whether a new file is indeed needed. They are responsible
for determining where the new file is created and its title, based on the original
request.
Physical
For all new files or new parts/volumes, Registry staff are responsible for creating
the file folder, including labelling and registering it (see below), and determining
where it will be stored. Metadata must also be recorded on the file folder:
essential metadata
title

open date – either the date of the first paper, first action, or of the
relevant business cycle (e.g. first day of the new fiscal year)

(close date – either the date of the last paper, last action, or of the
relevant business cycle; added when the file is closed)

part or volume number

home location – and loan details if sent directly to the requestor once
created
desirable metadata

file reference number – if these are used in your recordkeeping system

retention schedule details – relevant retention schedule (from PORS)

cross reference – to point staff to related files
In a mission on multiple sites/locations, Registry staff should still have logical
control over the classification plan but may choose to delegate the creation of
physical file folders to offices.
File folders should be locally sourced, either manila, accordian or pressboard
folders. Metadata can be printed on to good quality labels and affixed to the
folders or written directly on to the folder where labels do not stick easily.
Different coloured folders or labels can be used for different types of files to aid
in quick identification. Using a different colour for each letter and/or number in a
file reference, or different coloured folders, can make keeping large runs of
records in order much easier as any misfiled files are easily seen.
Storing, Retrieving and Tracking Files
When new files are created they must be registered. Registration involves
creating and maintaining a detailed file list or inventory, with entries for every
file (logical and physical, including each part or volume). It captures the details
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including the title, the date opened, the date closed, the file reference, the home
(or permanent) location, and the current location. It should also include the
relevant retention details for each file (see Section 8 – the Peacekeeping
Operations Retention Schedule).
Registry staff are responsible for maintaining a central file store (often called
‘the Registry’) where most active files are kept. This is their home location –
information which is recorded on the file list or inventory. Files may have local
offices as their home location if they are referred to very frequently. In addition
to The Registry there may be a storage facility which houses semi-active and
inactive records.
Because most active records are stored in the Registry, a procedure must be in
place to allow users to request files. Loans must be recorded on the file list or
inventory. Tracking files means they can be found quickly and easily when
required, and because files should be issued on loan for a set period of time,
they can be retrieved again at the end of the loan period. It may be necessary to
change the home location of a file from the Registry to an office if there is a high
demand for it.
Centrally storing all active files in a multi-site mission may not be possible but
the home location of every file should still be recorded on a central file list or
inventory. It should also be updated with any changes to the home location.
Tracking file movements (loans etc.) should be delegated to staff in each
location.
Filing Records
When new records are created or received the correct file may not be with the
office in question as most active files will be stored in the Registry. Registry staff
are responsible for filing new records on to files stored with them. Where files
are held in offices, staff should undertake their own filing.
Either the creating/receiving office or the Registry itself is responsible for
classifying the record (i.e. determining which file it belongs in) and once
classified it is then filed alongside other records in the correct file.
Keeping up to date with filing is very important to ensure that all relevant
records are available when a file is needed by staff, either to inform their work
or in providing evidence of what has happened.
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Managing Retention
The best time to apply a retention to a file is when it is first created. The
Peacekeeping Operations Retention Schedule (PORS) covers all peacekeeping
functions and activities and must be used in conjunction with your classification
plan as new files are set up. This will help you determine how to manage your
files over time as well as what has to happen to them when they come to the
end of the records lifecycle.
For example, the finance activity within a peacekeeping mission works to the
UN’s fiscal year cycle (1 July until 30 June of the following year; for political
missions it is 1 January to 31 December). This business cycle is reflected in
PORS which stipulates that files relating to this function should be closed at the
end of each fiscal year cycle enabling records – aggregated at the file (or part)
level – to have their retentions actioned at the same time:
Title
Disbursement Vouchers – 2004-05
Opened
1 July 2004
Closed
30 June 2005
Disbursement Vouchers – 2005-06
1 July 2005
OR
Disbursement Vouchers – Part 1
1 July 2004
30 June 2005
Destroy 5 yrs after closure
Disbursement Vouchers – Part 2
1 July 2005
30 June 2006
30 June 2006
Retention
Retention Due
Destroy
1 July 2010
Destroy
1 July 2011
Destroy
1 July 2010
Destroy
1 July 2011
Managing Individual Records
In some missions, staff are responsible for receiving all incoming correspondence
and managing it at the record level. This involves registering each piece of
correspondence into a Correspondence Log. It may also involve indexing it using
key words or cross-referencing to a relevant file, and filing it. The whole file with
the newly received correspondence is then sent to the addressee/staff member
to action; the loan of the file is recorded, noting the temporary location on the
file list or inventory.
This is a very time consuming process and should not be seen as a primary part
of your recordkeeping system; the important thing is for the right person to
receive the correspondence in a timely manner, and for it to be filed correctly so
that it can be managed alongside all other relevant records.
Many missions file all incoming and outgoing correspondence in special files (e.g.
‘Incoming Faxes 2006’, or ‘Outgoing Correspondence 2004’). Storing records
together only because they are incoming or outgoing correspondence is not good
recordkeeping practice and is discouraged. All correspondence should be filed
alongside other relevant records (memos, emails etc.) relating to the same
Section 11
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matter where they can be managed appropriately as part of the recordkeeping
system. Copies may be taken and kept for convenience in incoming or outgoing
correspondence ‘working files’ but are not the official record (see below).
Office of Record
Records are easily copied, often for convenience when the original is filed and
held in a different location. It is important to establish is the difference between
a copy and the official record. This is particularly important for distributed
environments where the official record may be held either in a central Registry
or in an office in another site/location.
In addition to determining which is the official record, it is important to
determine which is the Office of Record. The Office of Record is most likely to
hold the official record which is the version which will be managed over time.
It may be necessary for copies to be made of official records for convenience
(e.g.
records
frequently
referred
to
by
different
offices
where
retrieving/transferring the file would be inefficient). Where it is deemed
necessary to make copies, it is important to remember:

if a copy of an official record is changed or added to in the course of business it
becomes a new record (i.e. new official record) and must be managed separately
from the original (the official record of which it was a copy before being
changed);

retention schedules apply to copies as well as to the official record, although
slightly differently:

when the official record is due for destruction, all copies must also be
destroyed;

when the official record is due for transfer to local or interim archive,
the copy should be destroyed (the official record will be available for
loan if required);

when the official record is due for transfer to permanent archive, the
copy must be destroyed.
In any event, the copy must be destroyed at the same time a final disposal
action is taken on the official record. Section 8 – the Peacekeeping Operations
Retention Schedule (PORS) has more information on retention schedules.
Where either whole files are copied, or copies of official records are bound
together in file folders, they should be listed individually on the file list or
inventory alongside the original, clearly noting which is the official record and
which the copy. This will aid in their management and eventual destruction in
keeping with PORS.
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Registries in Multi-Site Missions
In missions spread over multiple sites/locations it may be most efficient to
delegate some recordkeeping responsibilities to local records management focal
points – staff under the guidance of the central Registry. Decisions on which
tasks or activities can be delegated to focal points must take into consideration
what business efficiencies can be gained against the level of centralised control
required in properly managing your records.
Some functions must remain under central control:
managing the classification plan (setting up and registering new files,
reviewing the structure etc.)

maintaining the central file register/inventory

managing retention schedules, including authorising destructions

development of policies, standards, procedures, guidance and training
Tasks which can be delegated to local focal points include:
physically creating new files/folders

boxing and listing files ahead of transfers to local or permanent archives

managing storage of active, semi-active and inactive records (office
storage/local registry/local records centre)

tracking loans
Central Registry staff should provide outreach, training and support to all staff,
particularly where storing, retrieving and tracking active files is managed locally,
and regularly monitor recordkeeping practice across all sites/locations to ensure
policies and guidelines are being adhered to and meeting local needs.
Electronic Registries
Paper remains the official record format for all UN records, meaning Registries
managing paper files still have a place in modern missions. However there is a
growing need to manage records electronically, particularly as many records are
now created using computers and only exist physically when they are printed.
Scanning
Existing paper records are sometimes scanned. This is often done to improve
access to the records where they are frequently referred to (e.g. purchasing
records). Because the official record format remains paper, the originals must
always be retained and managed as the official record in line with ARMS’ policy,
standards and guidance.
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The decision to digitise existing paper records by scanning them should only be
taken where there is a proven business benefit and efficiencies to be gained.
Remember that the scanning process can be very resource intensive and
consume any savings that may have been made by having the records available
electronically. Some records should not be scanned even when efficiencies can
be made, such as published documents (including UN documents) and records
with either short retention periods or which are close to their destruction dates.
The Peacekeeping Operations Retention Schedule (PORS) applies to any scanned
images as well as the physical official records. Because the official record format
remains paper, ARMS will not accept scanned copies as substitutes for the
official records when transferring to permanent archive at UNHQ.
ARMS has issued a new Guideline on Records Digitisation to assist with the
assessing, preparation and management of records digitisation (scanning)
projects.
Electronic Document and Records Management Systems
(EDRMS)
Records which are ‘born digital’ – created electronically – can be managed in
specialised software packages which provide all the functionality and tools to
manage them as records. These include managing classification plans, retention
schedules and search functions, as well as ensuring the reliability, usability and
integrity of the records.
How EDRMS are set up and managed is very much like a paper Registry with an
ongoing need for central oversight of the system. Like a paper Registry an
EDRMS (effectively an electronic Registry) has elements which may be delegated
to local focal points and staff generally. The principles established in this section
apply equally to electronic Registries: logical control of the recordkeeping system
must remain centralised.
Electronic Registries and managing electronic records require even more
dedicated resources (including specialist staff) than for managing paper records.
Few if any missions currently have electronic document and records
management systems which meet ARMS’ standards (see Functional
Requirements for Recordkeeping Systems).
Section 11
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Benefits of Registries

provides greater control over file creation, thereby reducing duplication of files,
ensuring files are created within the correct part of the classification plan, and
providing improved access to files and records

files are tracked, providing an audit trail of who has had access, and with checks
on loans, reducing the number of lost files

where implemented, incoming correspondence is filed correctly alongside other
relevant records giving the action officer the full picture when dealing with the
matter at hand

creates a body of experts on the records of the mission aiding in the retrieval of
information
Registries require dedicated staff for the full benefits to be realised.

Section 2 – Roles and Responsibilities for Recordkeeping in the UN

Section 5 – Records Creation and Capture

Section 7 – Classification plans for Peacekeeping Operations

Section 8 – The Peacekeeping Operations Retention Schedule (PORS)

Section 11 – Setting up a Mission Records Storage Facility

Documents

Functional Requirements for Recordkeeping Systems (ARMS, 2003)

Glossary
Office of record: The administrative unit responsible for the maintenance,
preservation and disposition of official records.
Official record: Master or official copy of a UN record
Registration: In those systems where registration is used, its purpose is to
provide evidence that a record has been created or captured in a records
system. It involves recording brief descriptive information about the record in a
register, and assigning the record a unique identifier.
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Registry: A paper recordkeeping or filing system run by staff tasked with the
centralised creation and management of files (including storage and tracking).
Tracking: Creating, capturing and maintaining information about the movement
and use of records.
UN documents: the official publications of the United Nations; also called
Official Documents
Section 11
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Section 12 – Setting up a Mission Records
Storage Facility
Contents
Main things to Remember about Setting up a Mission Records Storage Facility
Introduction
Minimum Standard for Semi-active Records Storage
Issues to Consider when Establishing Semi-active Storage Space
Facilities Management
Documents
Glossary
Main Things to Remember about Setting up a
Mission Records Storage Facility

Keep it cool, dry and with minimal entry of sunlight

It must be well-maintained

Check/monitor the mission records storage facility on a daily basis

Keep the mission records storage facility securely locked at all times
Introduction
Field missions will need to store close to the office semi-active records that are
still needed for reference purposes by the mission, instead of transferring them
to ARMS. Your Information Management Officer is responsible for ensuring that
the storage space is suitable and carefully selected according to the ARMS
standards outlined below. Where storage has already been organised, this
section can be used as a checklist to audit the facility.
Examples of semi-active storage space include:

The mission’s records storage facility/record centre
Section 12
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Closets in office space

File cabinets in office space

A back-up server (for electronic records)
Where possible, semi-active records are best stored in the mission records
storage facility/records centre because records staff are best placed to handle
environmental control, record storage, retrieval services and other issues
discussed in this section. Wherever you keep your semi-active records, it has to
conform to some minimum physical standards to ensure that they are not at risk
of:

Deterioration

Unauthorized access

Destruction by fire, flood or other disaster
This means you need to be sure that the storage area is lockable and can only
be accessed by authorized colleagues with a genuine need to view the records.
You also need to be sure that the space is adequately protected from fire, flood
and other disasters.
Minimum Standard for Semi-active Records Storage
In order to comply with ARMS standards, semi-active records storage must:

Allow the timely retrieval of stored records meeting office-defined targets

Protect records from fire, flood and other damage

Restrict access to appropriate individuals and provide adequate security to
prevent unauthorised access

Maintain environmental conditions that meet applicable standards1

Be free of any water, gas or electricity supply running through it

Be racked out with shelving that has a top shelf acting as a roof and a bottom
shelf at least 6 inches/15 cm off the ground
1
Temperatures at or below 64.5° F/18° C and relative humidity of 40-45%
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Information Box
Draft specifications for Systems Contract for Containers for
Records Storage
Missions may wish to use the sample specifications for containers for
archival storage as a guide

Issues to Consider when Establishing Semi-active
Storage Space
Size
The size of the records centre should stabilise when the volume of records
coming in no longer exceeds the volume of records disposed of. A simple record
survey together with your retention schedule can help assess and calculate the
amount of space required.
Additional guidance is available in the sample budget proposal for essential
supplies to establish records management programme.
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Information Box
Recommendations for Planning Semi-active Storage

Look for a large open space with fairly high ceilings which can be more
efficiently racked out with shelving than several small spaces

Allow ample time to design the floor layout to ensure the maximum
overall shelving (and therefore box) capacity

Check the floor loading to ensure it can bear the weight you are planning
– shelving and boxes/records

Remember that mobile racking is more space-efficient but it is more
expensive and requires increased floor loading

If you want very high shelving, consider access equipment (ladders etc)
and staff safety

Allow 36 inches/91 cm aisle width between runs of shelving and consult
applicable fire regulations

Allow 48 inches/122 cm for main gangways and consult applicable fire
regulations
Records Types and Formats
Different media have different storage requirements and you may need separate
or special storage for certain types of record. For example digital and magnetic
media should be stored in special racking. These media also require different
environmental conditions from paper, as do audio-visual media. It is unlikely
that you will be able to have separate storage areas for different media, but
when you set your environmental standard you will need to find a workable
compromise so that all media have the best chance of being accessible for as
long as they are required.
Environmental Controls
Although paper is surprisingly robust, it is good practice to store paper records in
an environment which has low temperature and humidity. Digital and magnetic
media as well as audio-visual media such as photographic prints, film and
microfilm require more stringent environmental conditions. All these media
suffer if the environment fluctuates. Depending on your geographical location
you need to decide whether you want to have an air-conditioning system
installed or if you can find a building with inbuilt thermal stability. If you decide
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to have air-conditioning this requires careful management to ensure that it is
working to the set parameters, that it remains on even when no humans are
present, and that it is regularly maintained.
Cleaning and Dust Control
All record storage areas get dusty and it is important to keep dust in
perspective. It can be very damaging for magnetic and digital media but not
particularly for paper. You will need to ensure the semi-active records storage is
regularly cleaned as is appropriate for the media which is stored there. Cleaning
can be a security risk if it is not done by trusted or carefully supervised cleaners,
as well as a risk to the records if it is not carried out in accordance with best
practice for records repositories. You will want to make sure that cleaning
methods involve no risk of water or chemical damage to the records and that the
cleaners are aware of the special requirements of this kind of operation.
Cost
There are a number of cost elements to take into account when setting up semiactive records storage:

Set up cost of building and equipment (including computers)

Maintenance costs such as: rent or rates, general building maintenance, specific
equipment

Security

Insurance

Services: delivery, destruction

Utilities
Table: Pros and Cons of on- and off-site storage
On-site Advantages
On-site Disadvantages

Easy access and swift retrieval

Accommodation likely to be limited

Assured security

Possible lack of capacity

Resources already available therefore
cost may be less

Unsuitable storage – basements,
pipes, odd shapes, low ceilings
Off-site Advantages

Off-site Disadvantages
Purpose-built or converted – set up

Security can be difficult to achieve
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with full knowledge of the risks and
risks compensated for

Low-cost location

High capacity

Disaster protection can be good

Access may be difficult

Retrieval at a distance can be difficult
and expensive

Higher transportation costs
Records Retrieval
In deciding where to situate your semi-active records storage, you need to
consider how access and retrieval can be managed. Will there be a person there
to deal with requests for access to records? If so, do you want retrieval requests
to be received by fax, post, email and/or phone? In that case, you need to make
sure the equipment is procured and installed (including lines). If, as is more
likely, someone from the office has to go and fetch the records, you need to
decide what a reasonable turn-around time is.
Transfers of Records from the Office to Semi-active
Records Storage
With respect to transferring records from the office to the storage area, the main
issue is secure access to the facility. Ideally you need a loading bay which is
solely for the use of your office. You also need to consider how the records will
be transported. Ideally the field mission should transport records in their own
vehicles.
Before your mission can use a contractor your mission’s Information
Management Officer needs to get legal approval so as to ensure that the
privileges and immunities and other provisions of the UN Charter are protected.
If a contractor is used they must be vetted to ensure they are reliable and
understand the security and protection issues involved in transporting records
and agreement to fulfil these conditions must be part of the contract.
Security
In selecting your storage location and building you will need to ensure the
storage is secure from unauthorised access. You will need to balance the threat
posed by neighbours with the threat posed by no neighbours. You also need to
make sure that you specify high security standards in procuring or refitting the
storage.
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Non-storage Space
If your storage is at a distance from the office, you will need to consider what
other facilities are needed. These include:

Reception/sorting area large enough to cope with new consignments

Destruction area, a separate area for records earmarked for destruction

Office space (dependent on number of staff and how much of the time they are
likely to be there)

Office equipment (computer, telephone, photocopier, fax machine)

Micrographics and/or digitisation facilities
Equipment
You will need to decide what equipment you need and what will best suit your
needs and resources. When procuring shelving, ladders and trolleys, consult with
ARMS staff. Guidance is also available in the sample budget proposal for
essential supplies to establish records management programme and the sample
specifications for containers for archival storage. You will also need boxes and
ARMS recommends that you use a box which is compatible with their standard
box (details in the Toolkit section Managing Records in a Mission Records
Storage Facility). Using the box as a starting place, you can calculate the width
and depth of shelving that you require to ensure that boxes fit comfortably but
not wastefully on the shelves.
Facilities Management
Once you have selected your semi-active storage it will require facilities
management, the same as other UN buildings accommodation. You must
maintain and monitor the storage facility to ensure it continues to meet security
and environmental standards. There is a checklist at the end of this section that
gives tasks and procedures that need to be instituted to ensure that the storage
area is well-maintained.
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:
;
; Checklist: Maintenance of Semi-active Storage Space
There is a cleaning regime that does not involve using chemicals, water
etc in a way that could be harmful to the records
There is a regular maintenance routine to makes sure that:

Roofs are sound

Drains and gutters are not blocked

Doors and windows are secure

Fire, flood and burglar alarms are tested
It is the practice to walk through the storage area daily to make sure that
all is well, there has been no water incursion or forced entry, there is no
sign of rodent or insect activity, boxes have not been left standing on the
floor, there is no sign of eating or smoking in the storage area etc. (This is
ideally done by the same person who will get a feel for what is normal and
will therefore spot any changes immediately)
Temperature and humidity are regularly monitored

Section 12 - Managing Records in a Mission Records Storage Facility

Section 13 – Emergency Preparedness for a Mission Records management
storage facility
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Glossary
Mission records storage facility/records centre: controlled storage space
for semi-active records which is managed by an Information Management Officer
according to ARMS standards. Records are kept there securely until they can be
destroyed or transferred to ARMS. It is in or near the office from which the files
came and separated from space housing files still in use.
Semi-active records: those records which no longer need to be readily
accessible to support business and which therefore may be removed from the
office to semi-active storage. Semi-active records are also known as semi-active
records, non-current records or intermediate records.
Semi-active storage: controlled storage space where semi-active records are
securely kept until they can be destroyed or transferred to the ARMS archives for
permanent retention. It is in or near the office from which the files came and
separated from space housing files still in use.
What is the difference between semi-active storage and
the mission’s records centre?
Semi-active storage is controlled storage space where semi-active records are
securely kept until they can be destroyed or transferred to ARMS. It is in or near
the office from which the files came and separated from space housing files still
in use.
The mission’s records centre is a central storage facility for semi-active records
which is managed by an Information Management Officer. If your mission has a
records centre you should use this for semi-active record storage. The Toolkit
section on Managing Records in a Mission Records Storage Facility gives
guidance and best practice for managing both semi-active storage and records
centres.
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Section 13 – Managing Records in a Mission
Records Storage Facility
Contents
Main Things to Remember about Managing Records in a Mission Records
Storage Facility
Introduction
Transferring Records to Semi-active Storage Space
Operating a Records Retrieval Service
Managing Record Disposition from Semi-active Storage
Forms relating to this Section
Glossary
Main Things to Remember about Managing Records
in a Mission Records Storage Facility

Establish how long the records need to be kept before the transfer takes
place.

Ensure that transferred records come with the necessary metadata or
information and that the transfer is properly documented.

Make sure you know what records you have and where they are in case
you need them again.

Adequate internal controls must be implemented for all records centre
operations.

When you destroy or transfer records to ARMS, make sure that you have
documentation with details of the records, what you have done to them
and on what authority.
Introduction
Once you have selected your semi-active records storage and it is up and
running there are a number of internal controls, procedures and practices that
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need to be put in place to manage the facility on a longer-term basis. This
includes knowing when to transfer records, getting control over records coming
into the storage area, operating a retrieval service and controlling destruction or
transfer to ARMS when your office no longer needs the records.
Transferring Records to a Semi-active Records
Storage Facility
Records should be transferred to semi-active storage space when you no longer
need them to support current business and/or they are taking up space that you
need for more current records.
Records transfer needs to be controlled for accountability purposes and so that
the records can be efficiently located and returned to the office if required.
Controlled transfer also facilitates identification of records due for further
disposal actions such as destruction or transfer to United Nations headquarters.
The process which is outlined in the box below begins in the record creating
office and is completed by the records storage facility. The section in this Toolkit
on Transferring Records to UN ARMS gives more information about how to sort
out record series and pack boxes. And your mission’s Information Management
Officer is available to provide guidance and the mission’s records storage
facility/records centre will already have all of the relevant procedures in place.
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Information Box
Steps in Procedures to Transfer Records to Semi-active
Storage
Tasks carried out in office:

Identify files that need to be transferred out of current office storage

Sort files into record series based on the office classification plan

Make sure that there are no files that could already be destroyed, or that
are not UN records, and that there are no extraneous file fittings

Check files have no signs of insect infestation

Fill out transfer details on approved forms

Place files in boxes and fill out record series and individual file details
Task carried out in Records Storage Facility

Give the transfer an accession number

Place boxes on shelves

Log the transfer, accession and location details into your storage
spreadsheet/database
Controlled Transfer to Semi-active Records Storage
If the records you are sending to semi-active storage will eventually be sent to
ARMS, it is recommended that you use the ARMS forms to document their
transfer out of the office as this will:
1. save re-doing the transfer documentation to ARMS standards at a later
date
2. ensure that the right information is captured at the point when most is
known about the records, i.e. when they are current or active
The section Transferring Records to UN ARMS, mentioned above, gives all the
details and reasons for ARMS procedures for transferring records to their
custody.
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Role of records retention schedules
The ARMS records disposal programme authorises missions and business units
to dispose of records that have no continuing legal, administrative, fiscal or
historic value so that only those active records needed for current business are
maintained in costly office space. Records retention schedules provide offices
with the authority and timetable to destroy records or transfer them to semiactive storage areas. All peacekeeping missions must use PORS – the
Peacekeeping Operations Retention Schedule. Use PORS to help fill in the
retention action and date in the records transfer forms. Again, more information
on using retention schedules is given in the Toolkit section Transferring Records
to UN ARMS.
Accessioning Records
An accession is a group of records transferred from the same business unit at
the same time. It is good practice to give each accession (even if it only consists
of one box) a unique accession number. A good system to adopt is based on the
calendar year, for example the first accession of 2006 would be given the
accession number 2006-0001, the second 2006-0002 and so on. This
information, together with the transfer form details and the location of the
boxes, is perfectly adequate to manage most records until you destroy them or
send them to ARMS. Your mission’s Information Management Officer will
responsible for all numbering conventions and assigning accession numbers.
Record and Box Numbers
Each file and each box should be given a unique number which enables you to
identify and track them. It is best to keep these number systems as simple as
possible. The file number will relate it to the classification plan whilst the box
number will give the file an address and allow it to be stored and retrieved.
You can give each new box a running number, based on the accession number.
Thus, if there were three boxes in accession 2006-1, they would have the
following numbers:

2006-0001-01

2006-0001-02

2006-0001-03
Space Numbers in the Mission Records Storage Facility
Giving boxes numbers means they can be used as addresses for files, and giving
files numbers means they can be used as addresses for records. When storing
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boxes, their location also needs to have an address and it needs to be as simple
and systematic as the others.
You will probably have aisles, bays and shelves in your storage facility, all of
which can be numbered to produce a unique identifier.
Bay
Shelf
Aisle
Space
The space indicated is in Aisle 1, Bay 1, Shelf 3 = space 1.1.3
As long as you are consistent, you can begin numbering from either the left or
the right, or from the top or the bottom. The example above starts from the top
left. You could also use a combination of letters and numbers (remember to be
consistent). Using letters has the disadvantage of the limitation in those
available unless after reaching Z you begin again at AA. Again, be consistent and
document your numbering system.
It does not really matter which system you use. The important thing is
documenting it and making sure you are consistent in implementing it.
Location Register
Once the records have been documented on the transfer forms and are
physically moved to the semi-active storage, you will need to put the boxes on
shelves. You should carefully document the shelf location of each box in order to
physically locate the records when you need to retrieve them again. You will
need to enter the data into a spreadsheet or database so when you search for
specific files you will know which box they are in and where that box is shelved.
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Maintaining Control of Records in Semi-active Storage
The transfer forms provide basic information on all transferred records. The
checklist “Data Required to Manage Records in Semi-active Storage” given at the
end of this section is complementary to the data required in the Records
Destruction Form described in the Toolkit section Destroying Records. Using the
checklist will ensure that you have all the information required to document
authorised records destruction to ARMS standards.
Operating a Records Retrieval Service
Although the records in semi-active storage should not be frequently required
back in the office, it must be possible to identify and retrieve semi-active records
which are needed to support current business or audit requirements. To do this
you need to operate a retrieval service which means:

Colleagues can request records when they need them

You can identify and locate the records requested

You can check them out of the system before giving them back to the colleague

You can update the system when checked out records have been returned
You can use your electronic recordkeeping system or a spreadsheet or database
to search for the record which has been requested. The system should allow you
to search for any of the following:

Names (of record creator, user, transferring officer)

Dates (of transfer, records, disposal action)

Business unit

System for arranging the files

Accession and box numbers

File number(s) and/or title(s)/description

Record series description

Record series reference

Location

Any access restrictions
When you have located the record or records, you should put a place marker on
the shelf or in the box, or in a recordkeeping system, to check out the records.
This serves as a physical reminder that records have been removed – it also
helps when you return records to boxes/shelves. In a manual system, it should
be a simple form like the “Field Mission Semi-active Record Loans Form” at the
end of the section. You should enter the details of the loan into the database or
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spreadsheet entry for that record or box of records. It is also good to keep a
loans register so you can monitor use of semi-active records.
When the record(s) are returned, you can update the database and the loans
register. You should also monitor loans and send reminders to colleagues who
have records checked out.
Managing
Storage
Record
Disposition
from
Semi-active
The final aspect of managing semi-active storage is making sure that those
records which need to be destroyed or transferred to ARMS leave semi-active
storage when this is dictated by the retention schedule. Details on transferring
records to ARMS and destruction are given in Toolkit sections Transferring
Records to UN ARMS and Destroying Records. You will however need to set up a
routine and some procedures to make sure that you meet destruction and
transfer deadlines.
The best way to do this is to search or sort your database to provide a list of
records due for destruction or transfer. For example you can sort on the
retention action and date field, which would give you a list of records to be
destroyed followed by a list of records to be transferred to ARMS each in date
order so you could identify the set of records due for destruction or transfer at
the end of the current year or 6 months. Alternatively you could search the
retention action field for the current year to get a list of records due for
disposition. Depending on the volume of records you store, you should do this on
an annual or six-monthly basis.
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; Checklist: Data Required to Manage Records in Semi-active
Storage
Accession data must include the following:
Official responsible for records
Title
Unit
Section
Office/Division
Department
Name and details of who prepared transfer (if different from responsible official)
Creating office (if the records were created by a different business unit)
Accession number
Accession date
Retention Schedule Number
Details of records (description of each record series, including system of
arrangement, with detailed list attached if available)
Quantity (linear feet or number of boxes)
Covering dates
Security level
Current disposition
Date scheduled for disposal
Current location

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Documents

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Forms Relating to this Section
Field Mission Semi-active Record Loans Form
Date: _________________________
File details and references: _________________________________
_______________________________________________________
Loaned out to: ___________________________________________
_______________________________________________________
Business unit: ___________________________________________
_______________________________________________________
Signature of requesting staff: _______________________________
Date due back: __________________________
Location: _______________________________________________
_______________________________________________________
Date returned: __________________________
Signature of Information Management Assistant:
________________________________
Glossary
Disposition: the range of actions and processes to which records are subject
over time, such as retention, destruction and transfer to other storage and/or
custodians.
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Section 14 – Emergency Preparedness for a
Mission Storage Facility
Contents
Main Things to Remember about Emergency Preparedness for a Mission
Storage Facility
Introduction
Disaster Prevention
Disaster Recovery Plan
Disaster Recovery Measures
Documents
Glossary
Main Things to Remember about Emergency
Preparedness

Prevention is the best insurance and protection: keep your records cool,
dry, secure and in boxes.

Think through the types of disaster that could happen, their likelihood of
happening, and devise means to prevent them, mitigate their effects and
recover as quickly as possible.

Work with stakeholders at your mission to prepare a comprehensive
disaster plan with prevention, recovery and review mechanisms.

Make sure staff are aware of and trained in the disaster plan.
Introduction
Semi-active records in storage are being retained because they have value for
your office and/or for the UN and its stakeholders. They are vulnerable to a
range of threats such as wear and tear, theft, destruction due to a major
disaster and temporary inaccessibility or destruction due to a minor disaster.
Effective management of semi-active records includes preventing, as far as
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possible, a disaster occurring in the first place, planning what to do if you are
unlucky enough to experience a disaster and having a written plan which
contains all the necessary documentation and procedures to manage disaster
prevention and recovery appropriately.
A disaster does not have to be a widespread or catastrophic event (e.g. a
tsunami, earthquake, volcano etc.). It could be a localised floor or insect
infestation or could be something caused by human action such as a deliberately
set fire or a bomb. The key attribute is that a disaster poses a threat to the
physical safety and integrity of records. It is essential to get your mission’s
disaster plan reviewed by the Department of Safety and Security.
Disaster Prevention
The best protection against a disaster that either destroys or damages your
records is to build or adapt your storage area according to ARMS
recommendations and to have a good disaster prevention regime. This includes:

Where in the building you store the records

Ensuring that you have control over access to the storage facility

Making sure that building work and moves are carefully managed

Training staff and making them aware of the policies and procedures for records
storage

Undertake regular inspections of storage facilities

Having appropriate fire and flood prevention and detection

Ensuring that any necessary special measures for protecting electronic records
are in place
There is a set of checklists at the end of this section that you can use to help
ensure that your semi-active record storage is effective in preventing disaster
which could damage or destroy the records. Remember that one basic but very
effective way of protecting records is to put them in boxes.
Detecting and Treating Insect Infestation
Insects are a threat to records because they use them as a source of food (paper
contains protein and starch) and their droppings cause damage that can deface
or eliminate part of the text. Some parts of the world are more prone to insect
infestation than others but UN staff, regardless of duty station, should regularly
check all areas where records are stored to ensure there is no sign of insect
infestation. If there is evidence of insect activity action should be taken to stop
it, to decontaminate and to ensure it cannot start again. It is particularly
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important that records due for transfer to UNHQ are free of insect infestation
because:

US Customs will delay and possibly prevent delivery of infested record shipments
to ARMS

If infested records are undetected until arrival at ARMS storage, the UN must
commit significant staff and financial resources toward treating the records

If infestation is not detected immediately by ARMS staff, infested records can
contaminate other records held at ARMS storage
ARMS’ Guideline on Preventing and Treating Insect
comprehensive advice on procedures and materials required.
Infestation
gives
Disaster Recovery Plan
You will also need to put in place a disaster recovery plan, which will ensure
that, in the event of a disaster, you and your colleagues can act swiftly to
recover damaged material and prevent further damage to records.
This plan differs from a vital records plan in that the action taken in an
emergency or disaster covers all records, not just vital records. In practice both
plans are closely linked: for more information on managing vital records see the
Toolkit section Managing Risks and Protecting Vital Records.
Since disaster recovery for records storage is a specialised area, you should
discuss your semi-active records disaster plan with ARMS staff. This plan should
be part of a larger plan for the Mission which should include:

all records, active, semi-active and those already designated as archival

all record storage areas, active and semi-active
In developing your plan you should:

Anticipate likely disasters and their impact on the records

Know who to contact to help with each aspect of the plan (this needs to be
flexible as different scenarios will require different responses)

Work out how to salvage and repair records in the event of damage (you may
need to make arrangements with external contractors)

Decide what your salvage priorities are (for example older records near their
destruction date are not as important as archival records or nearly current
records)

Have a plan to continue to provide access to records whilst the salvage and repair
operation is going on

Develop a checklist to ensure that damaged storage space has been properly
rehabilitated and is safe and secure to store records again
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A possible model for a plan is provided in the sample Emergency Plan.
Information Box
Components of a Disaster Plan for Semi-active Records

Preventative measures to ensure the risk of disaster is as low as possible

A vital records programme which identifies and protects vital records. Vital
records for semi-active storage management include:

contact details for staff who run the facility

documentation on records in the facility

the location register

Strategies to stop the disaster (where possible)

A strategy to secure records from any further damage

Salvage priorities

Strategies and procedures to recover/repair records which have been
affected by the disaster

An action plan to resume essential functions (for semi-active records
management the essential function is access to the records in storage)
Disaster Recovery Measures
The most common disaster to befall semi-active record storage are those that
result in fire, smoke or water damage and damage caused by mould, insects or
rodents. With digital records created on the UN system the most secure way of
protecting them from disaster is to make sure that they are backed up (i.e.
copied) because restoration and salvage of digital media is expensive, time
consuming and unreliable. The table “disaster recovery: causes, effects and
actions” at the end of this section gives general guidance on the effects and
treatment of damaged records but be sure to consult ARMS before taking any
action.
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; Checklist: Preventative Measures to Protect Semi-active
Record Storage
– General
Do not store records in basement or on top floors/attics
Ensure you have sole ownership or tenancy of the storage space
Record Storage
– Building Works and Moves (periods of high risk)
Liaise with building contractor to obtain clear picture of work undertaken
Check insurance - both builders and UN office’s
During roof repairs protect records with polythene sheeting
Check for blocked drains if demolition work occurs adjacent to your
building
If moving use own staff as much as possible
Protect records while waiting to move/be put away – e.g. raise off floor
onto pallets, cover etc.
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Record Storage
– Staff Awareness and Training
Train all staff who have access to the storage area to be aware of threats
to records
Train all staff who have access to the storage area in preventative
measures to protect records
Ensure that new staff are properly trained to follow record protection
procedures and to ensure unnecessary disasters are prevented
Record Storage
– Security
Establish good locking up procedures
Install automatic security alarms
Install locks on all doors, windows and skylights
Install bars and/or toughened glass around windows
Conduct regular facility and security inspections of semi-active record
storage
Control all building keys
Supervise non-staff in semi-active record storage as well as people
visiting the office generally
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Record Storage
– Preventing Fire
Ensure compliance with all fire regulations
List and ensure all flammable liquids in separate, locked metal cabinets or
store rooms
Keep semi-active record storage areas clean and tidy
Ban smoking in semi-active record storage areas
Check electrical wiring regularly
Appoint a staff fire officer
The local authority fire officer should tour with fire prevention staff to
point out vulnerable areas
Discuss with local fire brigade how best to protect/salvage records in
event of fire
Install fire alarms, smoke detectors and heat detectors as appropriate
Drill staff in raising the alarm and evacuation procedure
Shelving should be strong, stable, non-flammable (including paint)
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Record Storage
– Preventing and Mitigating Flood Damage
Ensure mains supply, heating and drainage water pipes do not cross semiactive record storage areas
Pitched, not flat, roof/roofs
Flood alarm systems installed
Check possible water penetration points regularly
Inspect and maintain gutters and drains
Check humidity levels regularly – a rise can mean water penetration

Ensure taps are always turned off
Turn off water at mains when the building is not occupied, with an
automatic over-ride for fire
Use of good quality, well-made boxes and other equipment for storage
Top shelves are not used for storage but act as “roof”
Bottom shelf 6” (15cm) above the floor
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Record Storage
– Special Considerations for Electronic Records
Ensure that regular backups are made which are tested for restorability
and legibility
Ensure a good, up to date fire wall is in place
Ensure good, up to date virus protection is in place
Limit access to computer systems with passwords
Use data encryption where necessary/appropriate
Use auxiliary generators and surge protectors
Employ due care when handling floppies, tapes etc
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Table: Disaster Recovery: Causes, Effects and Actions
Media
Cause
of
Damage
Effect
Repair and/or Restorative
Action
Magnetic & digital
Water
Extremely vulnerable
to humidity, can
corrupt or destroy
Refer to experts for salvage. May
be able to disassemble casings of
both tapes and diskettes and dry
tapes vertically in air; dry
diskettes with lint-free cloth.
Replace into new cases and copy.
Magnetic & digital
Mould
Can corrupt or
destroy. Potential
health hazard
Handle with gloves and mask,
may be possible to arrest mould
by reducing temperature and
humidity. Separate affected
material from unaffected. Refer to
experts for salvage.
Magnetic & digital
Insects &
rodents
Unlikely to eat
magnetic media but
excretions may
corrupt or destroy.
Potential health
hazard.
Refer to experts for extermination
of insects and salvage of records.
Handle with gloves and mask.
Separate affected material from
unaffected.
Paper
Fire
Can destroy, renders
brittle and fragile.
Handle carefully, refer to paper
conservators for repair and/or
copy, scan or microfilm
Paper
Water
Can destroy, loss of
integrity, renders
fragile
Handle carefully, may be possible
to air-dry small quantities on site,
use blotting paper to inter-leave.
Otherwise refer to paper salvage
experts for freeze/vacuum drying
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Table: Disaster Recovery: Causes, Effects and Actions
Media
Cause
of
Damage
Effect
Repair and/or Restorative
Action
Paper
Mould
Renders writing
illegible, damages all
or parts of paper.
Potential health
hazard
Handle with gloves and mask,
may be possible to arrest mould
by reducing temperature and
humidity. Separate affected
material from unaffected. Once
dried can be brushed off. Refer to
experts for salvage.
Paper
Insects &
rodents
Renders writing
illegible, damages all
or parts of paper.
Potential health
hazard
Refer to experts for extermination
of insects and salvage of records.
Handle with gloves and mask.
Separate affected material from
unaffected.
Photographic prints
Fire
Can destroy, renders
brittle and fragile
Handle carefully, refer to
photograph conservators for
repair and/or copy, scan or
microfilm
Photographic prints
Water
Can destroy, loss of
integrity, renders
fragile
Rinse in cool, clean water if
necessary. If loose, spread out or
hang to air-dry; if bound,
interleave with wax paper for airdrying. May be kept in a bucket of
clean water for up to 48 hours. Do
not freeze!
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Section 16 – Managing Risks and Protecting Vital Records
Documents

Guideline on Preventing and Treating Insect Infestation (ARMS)
Glossary
Disaster recovery plan: a written plan which sets out:

the precautions and procedures to minimise the risks and effects of natural and
man-made disasters such as fire, flood, earthquake, terrorism etc.

the steps to be taken to resume business in the event of a disaster

the personnel, equipment and processes necessary to recover, secure and make
available the vital records in the event of disaster
Vital records: those records which, in the event of a disaster, are essential for
the recovery of vital operations and the ongoing business of an organization.
Without its vital records the organization cannot function effectively
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Section 15 – Managing Risks and Protecting
Vital Records
Contents
Main Things to Remember about Managing Risks and Protecting Vital Records
Introduction
Vital Records Plan
Identifying your Vital Records
Identifying Records Vital to the UN
Defining and Planning for Disasters
Protecting Vital Records
Emergency Operation Sites
In the Event of a Disaster
Documents
Glossary
Main Things to Remember about Managing Risks
and Protecting Vital Records

Your vital records will be small in number.

Identify them and protect them.

Remember to exchange older security copies for current versions as
necessary.

Have a plan for accessing the security copies in the event of an
emergency – and practice it.
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Introduction
UN Policy on Vital Records
ARMS recommends that all UN departments, field missions, offices away from
HQ and other UN identities which contribute to the UN recordkeeping system
should have a system in place to manage vital records so they are safe and
available in the event of a disaster or emergency. The system should include:

Senior management authorisation and support of the vital records
programme

Designation of a staff member (ideally an Information Management
Officer) who is responsible for implementing the policy

A register of those records which are vital to the office’s continued
operation as well as those records which are vital to the UN’s continuing
operation and credibility in the event of an emergency

Identification, analysis and management of the whole range of risks posed
to the office’s records

A plan and procedures to protect vital records which takes into
consideration the cycle of currency and allows for the on-going
maintenance of the protection programme

A set of plans for the recovery and reconstruction of vital records in the
event of a disaster

Regular review of the vital records register and the vital records
management programme
Managing vital records management is the part of the recordkeeping programme
which ensures that those records which are crucial to continue operations are
identified and available in the event of a disaster. All UN field missions and
offices should develop procedures to identify and manage their vital records as
part of overall disaster recovery and business continuity planning. The plans of
individual units should be unique to their precise range of business functions and
specific to the local geography. However, the local plans should be consistent
with and complementary to the UN’s greater overall disaster recovery and
business continuity planning. This section deals primarily with the vital records
and disaster planning that you need to do at the local level. In managing your
vital records you must collaborate with ARMS and with the appropriate staff in
CITS or ITSD to ensure that you comply with the aims and procedures of the
UN’s Disaster Recovery Planning.
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Vital Records Plan
A vital records plan sets out how vital records are protected prior to a disaster
and how, if there is a disaster, they can be accessed. You need to have in place
a number of elements which come together to make a comprehensive plan.
These elements are covered in detail in this section of the Toolkit, they are:

Identification of your vital records

Identification of disaster types you need to protect them from

Deciding on a strategy for protecting your vital records

Planning the procedures for accessing vital records in the event of a disaster
You need to develop these four elements into a formal written plan for your
team. The plan needs to be cleared with your management as well as with
ARMS. Your team must be familiar with the plan and their roles and
responsibilities for both maintaining the vital records management programme
and for implementing the plan in the event of an emergency or disaster. The
checklist Constituents of a Vital Records Plan at the end of this section below
gives details of what the plan should include.
You will also need to test your plan and if necessary amend it in the light of how
it performed in the test. You’ll also need to periodically re-survey your vital
records to ensure that new or changed record series are covered.
Identifying your Vital Records
The first step in establishing a vital records programme is to identify the records
that your field mission or office needs in order to:

continue to operate under other than normal conditions

protect the rights of the UN and its staff

protect the rights of individuals directly affected by UN actions
A good way to begin to identify your vital records is by identifying your unit’s
most crucial business functions. These will fall into two broad categories: the
functions that need to be carried out to restore minimal operations, and the
functions that have to continue to meet UN obligations and primary goals. In
assessing the work of your office you must involve operational staff (your
colleagues), but remember that decisions about crucial functions are essentially
strategy and policy decisions and should be taken by your senior management in
consultation with ARMS and the UN Business Continuity team.
Once the crucial functions have been identified, you can identify the records that
support those functions. You will also need to identify what date span the
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records need to cover to ensure that in the event of an emergency you have all
the records you need but no more. Some vital records will have limited currency,
for example staff contact lists, so you need to ensure you have the most up to
date version. Remember that vital records may be originals or copies, for
example a directive from UNHQ which is vital to the establishment and
maintenance of a field mission. You will be looking to keep the number of vital
records to the bare minimum required for the resumption of operations –
remember that at some point following an emergency or disaster you will be
able to access copies of many records from other UN entities and from UN
stakeholders.
Remember that:

most of your vital records will probably be active, because you will need access
for vital on-going operations

it may also be necessary to specify the originals of some records as vital for legal
reasons (e.g. contracts for which only the original provides proof of the
agreement)
Only 2-4% of an organisation’s records are likely to be vital and if you don’t
keep your vital records programme concise it will become difficult to manage.
You can gather this data on your vital records in a simple form such as the one
below:
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Vital Records Survey Form
Responsible Official:
Title:
Unit:
Section:
Office/Division:
Function
supported
Required for
continuation
Record
series title
Required for
restoration
Department:
;
;
Master
or copy
Medium
Location
of
master if
not held
Cycle of
Currency
Volume
Some Examples of Vital Records
In identifying your vital records, ensure you include all, and nothing but, the
ones which are crucial to starting and effectively continuing the field mission’s or
office’s work. You are looking for records which support mission-critical
operations but remember this will be specific to your field mission and office as
the selection of vital records depends on the nature of the mission, its current
phase of operations, and its functions and responsibilities. You may also need to
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think through whether the records you would need in the event of an emergency
might depend upon the nature of the emergency/disaster itself. You are looking
therefore for all key documents which are still active, or those which are inactive
but which are required for continuity of an essential business process. For UN
field missions this will broadly include:

Records of territorial boundaries and demarcations

Multilateral treaties

Memoranda of understanding

Medical and personnel files of international and locally-recruited civilian staff,
police and military observers

Records necessary to protect legal and financial status

Records necessary to preserve the rights and obligations of citizens

Records held in trust to preserve the rights and obligations of citizens

Records identified as necessary to protect UN assets

Financial records which facilitate continuing solvency and accounting/finance
functions (records of monies owing, account status and statements, account
access authorities, current staff payroll and benefit details, records allowing
access to emergency funding)

Records which authorise and support the field mission’s most fundamental
responsibilities and essential activities (policy documents, contracts, ownership
records, delegations and authorisations, directives/instructions from UN HQ,
records relating to the establishment or structure of the office, records which
amend, repeal, or revoke policy/authorisation records, key source documents in
the operational framework, such as deeds, agreements with host country and
local government organisations)

Some records of an administrative nature (key operating procedures, licences,
permits, timetables, insurance policies)

Records relating to buildings, doors, safes, sprinklers, alarm systems; personnel
lists; building plans; evacuation plans, security clearance records)

Vital objects which are needed in an emergency, but which are not hardware
(e.g. building keys)
Once you have identified your vital records you should enter them into a register
or document them in some way so that the whole team knows which records are
vital, who creates them, how they are protected and how they can be accessed
in an emergency. The checklist Identifying Vital Records at the end of this
section will help you in this task.
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Identifying Records Vital to the UN
Some of your records may be vital to the UN’s overall business continuity. In this
case, ARMS and the UN Business Continuity team will work with you to ensure
those records are identified and a protection and recovery plan is in place.
Defining and Planning for Disasters
In planning to protect your vital records, you must think through the kinds of
disaster and emergency that could potentially affect your team and its work. The
difference between an emergency (not to be confused with the kind of
humanitarian emergencies that the UN deals with) and a disaster is primarily
scale. You could probably deal with an emergency without additional financial or
human resources. A disaster will require money, personnel with specialised skills
and contracted services to recover from.
Although missions should have an overall plan and procedures for dealing with
emergencies and disasters, we are primarily concerned here with mitigating the
impact of a disaster on recordkeeping. The first thing you need to do is identify
the potential risks to your office’s records. Examples include:

Sustained power cuts

Civil insurrection

Peaceful demonstration

Outbreak of military conflict

Natural disaster (flood, adverse weather, earthquake etc)

Man-made disaster (fire, explosions, terrorist attack)
Once you have identified the sort of risks that are possible, you can begin to
assess their likelihood and map out a scenario which will help you to mitigate
their impact on recordkeeping and the work which relies upon the records. You
should also think this through from the perspective of what work needs to be
done in the immediate aftermath of the emergency or disaster and which
records are needed to support it.
For example, if you suffer sustained power outage and you have no generators
you will have difficulty in accessing computer records. It may be that there are
paper copies of the records which can support your team’s work whilst the power
problem is addressed. However, if you have complex computer records such as
databases, financial systems etc. they are unlikely to be copied in their entirety
onto paper. You will need to think which parts of those records are needed in the
short term to support the field mission’s work and decide whether it is feasible to
print out portions of the system or database. For example, the recent accounts
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which give income, expenditure and account balances. In this scenario only a
small portion of your vital records will come into play.
Another example is the kind of disaster where you and the team are not able to
access any records because the office is inaccessible due, for example, to
military action or adverse weather conditions. In this scenario you will need to
make arrangements for copies of the vital records to be available elsewhere.
You can use the table Risk Identification and Assessment Tracking at the end of
the section to help you map out the various risk scenarios and to identify the
type of plan(s) that you will need to have in place to deal with each kind of
disaster or emergency. Although you need to have a set of procedures in place
for each possibility, many of the elements will be the same or similar so you are
in effect picking and mixing from a finite pool of actions.
The table is not exhaustive, and you will also need to consider whether your field
mission/office is vulnerable by nature of your work. For example, if there is any
particular reason that the UN, or the particular UN function which is being
carried out, is unpopular and might be deliberately targeted by certain factions.
You also need to consider technical vulnerability. Reliance on technology is a risk
for any organisation but you need to think to what degree your operation relies
on technology and how technological failure will affect your work.
The Toolkit section Emergency Preparedness for a Mission Records Storage
Facility gives full details on how to develop, maintain and implement a disaster
recovery plan.
Protecting Vital Records
Once you have identified and registered your vital records you need to work out
how to protect them in case of a disaster or emergency. There are a number of
options for protecting vital records:

Preventative measures

Heavy-duty protection to originals on-site

Relying on computer back-ups
You may decide you need to have a range of measures in place to protect your
vital records. You will certainly want to combine preventative measures with at
least one of the other options. Another factor which has a bearing on which
method you choose is whether the vital records are frequently referred to or if
they are less current but need to be kept to provide evidence of rights or
responsibilities.
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Preventative Measures
It is good recordkeeping practice to ensure that all records, not just vital
records, are secure and as protected from possible threats as is reasonably
possible. Hopefully, most measures will already be in place, but it is good
practice to audit the situation on a regular basis to ensure that you are taking all
possible care to ensure that no preventable disaster occurs. You can use the
checklist of preventative measures given at the end of this section to identify
which are most applicable to your mission and to ensure that you have the
necessary measures firmly in place.
Extra Protection for Master Vital Records On-site
Even if you have good disaster prevention measures in place, you should also
have a way of protecting vital records. You may decide that protecting masters
or originals in your office is the only viable option. In that case you need to think
how you can give vital records additional or optimal protection. This might
include:

Locking vital records (of any media) away in a safe or at least a lockable
cupboard or desk drawer
Storing vital records (of any media) in fire-proof safes, or at least in something
that affords additional protection from fire

Storing vital records (of any media) in bomb-proof storage
Remember that all vital records will have a fairly limited currency and they need
to be regularly replaced with the up to date version. You need to include this in
your procedures.
Relying on Computer Back-ups
Many vital records will be created or received in digital formats and be subject to
the ITSD or CITS regime of backing up in case of system failure. It is possible to
rely on these back-ups in the event of an emergency but you must remember
that the aim of a back-up system is to enable them to reconstruct the whole of
the system in the event of computer system failure. Their priorities are not to
restore the small number of vital records and it may not be possible for them to
identify and isolate your vital records as a matter of priority. However, if your
team decides that this is the only option for protecting your vital records, you
should work with ITSD to agree on priorities for restoration of the system and
records so that the vital records are accessible as soon as possible. This may
mean maintaining a store of copies of the vital records discretely so they can be
easily identified and restored in the event of a disaster.
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It is also important to remember that all digital records require not just the
records themselves but also operating systems and application software in order
to access them in case of an emergency so systems data and/or software will
also need to be protected and made available.
Copying and Dispersing to another Location
The most reliable and effective way of protecting vital records is by copying
them and dispersing (or sending) them off-site to another controlled location. If
you can identify and control a location that is far enough away from your office,
but can be accessed in the event of an emergency, you should opt for this
method of protection.
Information Box
Requirements for Controlled Location away from Office
The location and premises must:

Be secure from access by all but authorised personnel

Have the same rigorous disaster prevention measures that are in place in
your office accommodation

Be able to accommodate storage of vital records in the full range of media
that you require

Protect the records from adverse environmental conditions for their whole
lifetime (which may be quite short but may also be very long)

Afford access to vital records regardless of medium

Allow internet, telephone and other communication methods
Ideally the vital records storage facility should be owned and managed by the
UN but if this is not possible the contractor should be carefully vetted and the
contract should carefully specify ownership of records, storage conditions and
security as well as requirements for access to and restoration of the records in
the event of a disaster.
When establishing your vital records dispersal programme, you need to take into
consideration the possibility that some types of record are routinely copied and
dispersed as part of the UN or your office’s everyday work. The ITSD computer
back-up programme has already been discussed but there are other records
which may be sent to other UN departments, field missions, organizations or
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even member states, copies of which could be obtained within an acceptable
timeframe in the event of a disaster. Use the checklist below to ensure all
records on your vital records list or register are adequately protected.
Information Box
Copying and Dispersing Vital Records
For each vital record/record series ensure that at least one of these actions
must be in place:

It is backed up regularly and is it readily accessible in the event of a
disaster

A copy is sent to UNHQ/DPKO

A copy is sent to the host member country or other friendly stakeholder

The original is with UNHQ/DPKO

The original is with the host nation or other stakeholder

Staff have copies on laptops or other storage such as digital media or
paper files which are usually kept out of the office
If copies are routinely made and stored elsewhere than the office, it is possible
to put in place some procedures which ensure that copies are made and
protected and that they can be restored and accessed in the event of a disaster.
Although this option may seem very attractive as it is not going to be as
resource demanding as a separate vital records copying and dispersal
programme, it may not be effective or reliable enough.
Use the checklist Copying and Dispersal Information Required for Vital Records
at the end of the section to ensure that you have adequate copying and
dispersal information for each vital record/record series identified in the register.
Copying and Dispersal Programme Procedures
Procedures for the copying and dispersal programme need to include:

Set schedules for copying and transporting vital records off-site which are
monitored to ensure these tasks are carried out promptly and diligently

Secure transportation from your office to the off-site facility; drivers should sign
in and out

Tracking copies that are sent off-site, labelling them clearly to indicate the
number/amount, the date of transfer, a reference to relate them to the vital
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record register, whether the record is an amendment to a record already off-site
(and which record) and the office of origin (this could be done via a transfer form)

Issuing a receipt which matches the transfer form and is signed to confirm that
the record(s) arrived off-site

The form should include room to indicate any necessary action concerning expired
vital records (e.g. destruction) which could be confirmed with a signature when it
is done

A master inventory of all vital records that are off-site

A copy of the inventory needs to be kept safely, but available for reference by the
office in the event of an emergency

Removing records from off-site storage as they cease to be vital and updating the
inventory accordingly

Ensuring that vital records are destroyed in accordance with the retention
schedule pertaining to originals.
Emergency Operation Sites
Your mission will have a contingency plan for emergency situations. Your
mission Information Management Officer needs to ensure that the records
perspective is clearly included.
In the event of a disaster you may not be able to operate in your office so you
need to make some arrangements for alternative premises. It may be possible
to use the same premises as are used to store your vital records, or you may be
able to find something else that is suitable far enough away from the office in
case the area affected by the disaster is fairly large. At the very least you should
approach real estate agents so they know your requirements if you need to find
somewhere at short notice. If you are able to have alternative premises standing
ready, there are two ways of fitting them out:
1. A working duplicate of all systems and equipment, known as a hot site.
This can be run by a commercial organisation, such as specialists in
disaster recovery services
2. An empty shell with utilities, air conditioning and communications lines; a
place where compatible equipment and systems can be made available to
read and process vital records. This is known as a cold site and again can
be run by a commercial organisation
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In the Event of a Disaster
If you are unlucky enough to suffer a disaster and you have no disaster plan in
place, shock may well prevent you from operating efficiently. A disaster plan will
save you time because you ensure that you can respond as you will have
information and resources at hand to get up and running again.
Information Box
Action in the Event of a Disaster
In the event of a disaster:

Access a copy of the emergency plan

Confirm that the office is now acting under emergency conditions (this
should be confirmed by senior management)

Gather the disaster team together and decide what recovery scenario is
required depending on the nature of the disaster

Contact staff to ensure all are safe and to tell them what they need to do

Set up an emergency operations site

Recall (and if necessary reconstitute) vital records and ensure that they
are issued to appropriate staff

Ensure that the office is structurally sound and it is safe to return

Depending on the nature of the disaster, make arrangements to salvage
any non-vital records
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; Checklist: Constituents of the Vital Records Plan
The vital records policy
Objectives, justification and scope of the programme
Details of roles and responsibilities
Organisational chart and staff contact details
Details of the vital records register
The vital records programme: details and procedures for protecting vital
records (including preventative measures, cycles of currency etc), storage
requirement and locations (including contact details), together with any
forms and other documentation
Details and procedures for retrieving, restoring and salvaging vital records
as necessary in the event of a disaster, together with any forms and other
documentation
Specifications for equipment requirements
Details of an emergency
accessible/usable
operations
centre
if
the
office
is
not
Specific scenarios for different types or intensity of disaster
Details of the review and audit cycle
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; Checklist: Identifying Vital Records
Identify the functions that need to be carried out to restore minimal
operations
Identify the functions that are required to continue to meet UN obligations
and primary goals
Identify record series which support crucial functions
Specify currency cycle for each vital record series
Consult operational staff
Gain senior management support and input into strategic and policy
issues
Consult ARMS
Consult UN Business Continuity team
Specify whether original or copy of record is created elsewhere in UN
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; Checklist: Disaster Prevention Measures to Protect Vital Records
Measure
Tick Notes
Staff Awareness and Training:
Train staff to be aware of threats to vital
records

Train staff in preventative measures to
protect vital records

Ensure that new staff are properly trained
to follow vital record protection procedures
and to ensure unnecessary disasters are
prevented

Security (Facilities):
Establish good locking up procedures
Install automatic security alarms
Install locks on all doors, windows and
skylights

Install bars and/or toughened glass
around windows

Conduct regular facility and security
inspection of records storage areas,
including off-site inactive and vital records
facilities

Control all building keys

Supervise non-staff in building
Security (IT):
Lock rooms with computers at night
Ensure good, up to date fire wall is in
place

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Measure
Tick Notes
Ensure good, up to date virus protection is
in place

Limit access to computer systems with
passwords

Use data encryption where
necessary/appropriate

Use auxiliary generators and surge
protectors

Employ due care when handling floppies,
tapes etc

Fire:
Ensure compliance with all fire regulations
List and ensure all flammable liquids in
separate, locked metal cabinets or store
rooms
Keep storage areas clean and tidy
Ban smoking in areas where records are
kept or used
Check electrical wiring regularly
Appoint a staff fire warden and devise a
fire safety plan

The local authority fire officer should tour
with fire prevention staff to point out
vulnerable areas

Discuss how best to protect/salvage
records in event of fire

Install fire alarms, smoke detectors and
heat detectors as appropriate

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Measure
Tick Notes
Drill staff in raising the alarm and
evacuation procedure

Ensure that shelving is strong, stable,
non-flammable (including paint)

Flood:
Mains supply, heating and drainage water
pipes should not cross areas where
records are stored

Roofs should be pitched, not flat

Flood alarm systems should be installed
Check water penetration points regularly
Inspect and maintain gutters and drains
Check humidity levels regularly – a rise
can mean water penetration
Ensure taps are always turned off
Turn off water at mains when the building
is not occupied, with an automatic override for fire

Use good quality, well-made boxes and
other equipment for storage: make sure
that highest shelves are not used for
storage but act as a roof (to protect the
records from water)

Bottom shelf should be 6” (15cm) above
the floor (to minimize water damage
caused by flooding)

Storage:
Don’t store records in basements (prone
to flooding) or top floors (can be

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Measure
Tick Notes
excessively hot in summer and risk of
leaks).
Building work on own or neighbouring
buildings, office moves etc (periods of
high risk to records)

Liaise with building contractor to obtain
clear picture of work undertaken

Check insurance - both builders and UN
office’s

During roof repairs protect records with
polythene sheeting

Check for blocked drains if demolition
work occurs adjacent to your building

If moving use own staff as much as
possible

Protect records while waiting to move/be
put away – e.g. raise off floor onto pallets,
cover

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; Checklist: Copying and Dispersal Information Required
for Vital Records
Details of the method of copying (remember that the copy does not need
to be in the same medium or format)
Procedures for copying which include validation of copies to ensure
reliability in case they are relied upon as records/evidence of actions and
decision
Frequency of copying and dispersal
How often the record needs to be replaced by a more current record
What procedures are in place to destroy copies when they are no longer
vital
What equipment, software, hardware etc is needed to restore and access
the records and what contingency arrangements are in place to obtain it in
the event of a disaster
Any special security/access mechanisms that need to be in place to
protect sensitive or personal records
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Table: Risk Identification and Assessment Tracking
Type of plan required
Type of disaster or
emergency likely to
occur
Severely
affects field
mission/
office
(backup
site
required for
operations)
Affects
field
mission/
office to
degree that
normal
operations
are
disrupted
Impact such
that field
mission/
office can
cope without
major
emergency/
disaster
outlay
Vital records
Vital
identified
Records
Restoration
Plan in Place
Natural causes:
Fire
Water/chemicals used to
extinguish fire
Flood
Volcanic eruptions
Earthquakes
Tornadoes
Heavy storms
Snow
Lightning
Hail
Cyclones/high winds
Tidal waves
Electrical storms
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Type of disaster or
emergency likely to
occur
Severely
affects field
mission/
office
(backup
site
required for
operations)
Affects
field
mission/
office to
degree that
normal
operations
are
disrupted
Impact such
that field
mission/
office can
cope without
major
emergency/
disaster
outlay
Vital records
identified
Vital
Records
Restoration
Plan in Place
Insect invasions
Building or equipment
failure or malfunction:
Leaky roofs
Broken pipes
Defective wiring/switches
Faulty
machinery/equipment
Broken heating/cooling
systems
Electrical outages and
malfunctions
Acts of deliberate
destructiveness:
Theft
Espionage
Vandalism
Terrorism
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Type of disaster or
emergency likely to
occur
Severely
affects field
mission/
office
(backup
site
required for
operations)
Affects
field
mission/
office to
degree that
normal
operations
are
disrupted
Impact such
that field
mission/
office can
cope without
major
emergency/
disaster
outlay
Vital records
identified
Vital
Records
Restoration
Plan in Place
War
Public disorder
Human error,
carelessness:
Smouldering cigarette
Open window
Unattended stove
Negligent storage of
flammable chemicals
Careless computer key
stroke
Misfiling
Unauthorised access due to
inadequate security
Misuse
Alteration
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Section 13 – Emergency Preparedness for a Mission Records Storage
Facility
Forms

Vital Record Survey Form
Glossary
Business Continuity: the process of assessing likely disasters which are a risk
to the business and putting together a plan to mitigate those risks. Vital records
management and disaster planning are part of business continuity.
Disaster: an unexpected and negative event, man-made or natural, or a
combination, that damages the organisation’s assets (information, property etc)
and ability to operate normally.
Disaster recovery: the operation of restoring record collections and related
operations after a disaster.
Emergency: an unexpected adverse event that causes limited localised damage
and requires staff to carry out procedures outside of everyday duty parameters
to prevent further damage and recover or rehabilitate assets.
Vital Records: those records which, in the event of a disaster, are essential for
the recovery of vital operations and the ongoing business of an organization.
Without its vital records the organization cannot function effectively.
Vital Records Programme: a management regime for vital records which
includes preventative and protection measures and procedures, retention
requirements and locations, staff and service provider contact details together
with documentation.
What is a Disaster Recovery Plan?
A written plan (sometimes called an Emergency Plan) which sets out:

the precautions and procedures to minimise the risks and effects of natural and
man-made disasters such as fire, flood, earthquake, terrorism etc.
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the steps to be taken to resume business in the event of a disaster
the personnel, equipment and processes necessary to recover, secure and make
available the vital records in the event of disaster.
What about our archives? Aren’t they vital records?
Record series which your retention schedule designates for permanent retention
in the UN Archives are not necessarily vital records, although more current
portions of them may be. Nevertheless, you should also be looking to protect
your archival records, and more detail on how to do this is given in the Toolkit
section Emergency Preparedness for a Mission Records Storage Facility.
What is the difference between an emergency and a
disaster?
An emergency is an unexpected adverse event that causes limited localised
damage and requires staff to carry out procedures outside of everyday duty
parameters to prevent further damage and recover or rehabilitate assets.
Examples include broken water pipes, computer crashes and power cuts. A
disaster is much more serious and debilitating than an emergency. It is an
unexpected and negative event, man-made or natural, or a combination, that
damages the UN’s assets (information, property etc) and ability to operate
normally. Examples include a fire which destroys the premises and contents, a
hurricane which prevents the facility from being used for an extended period of
time, civil disturbance or military action which prevents access to the office.
Section 15
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Section 16 – Transferring Records to UN ARMS
Contents

Introduction – Why do you need to transfer records?

Main Things to Remember About Transferring Records to UN ARMS

When should you transfer your records?

Overview of Transfer Process

Documents

Forms

Glossary

Section 16
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Introduction – Why do you need to transfer records?
Records need to be transferred to UN ARMS for one or more of the following
reasons:
Your mission is being liquidated

The records are inactive and no longer needed for reference, but have not
reached their retention period as specified in the Peacekeeping Operations
Retention Schedule (PORS)

The records will be safer if looked after by the UN ARMS staff

Other people, including colleagues and external researchers, need access
to them
It is also important to note that records may not stay in one location for the
whole of their life, particularly in missions.
Main Things to Remember about Transferring Records to UN ARMS

Develop the habit of regularly transferring records to ARMS as soon as
they are no longer needed in the mission. Do not wait until the mission
liquidates.

Apply PORS (Peacekeeping Operations Retention Schedule) to all your
records, irrespective of format. PORS indicates how long to keep records
and how their disposition should be managed.

Contact ARMS staff about the transfer process for all records (including
electronic)

Transferring records to ARMS helps protect them for as long as they are
needed.

Following ARMS procedures means records will be found when they are
needed.
When should you transfer your records?
You:

SHOULD transfer records as soon as they are no longer needed by the
mission

MUST transfer records at liquidation of your mission.
Regular transfers and disposals
ARMS recommends that you transfer records when they are no longer needed by
the mission. Disposal of records can be done in-situ in line with PORS. The
Section 16
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schedules are like timetables to help you manage your records, transfers as well
as disposals.
When your mission is liquidated
You MUST transfer records when your mission is liquidated. This applies to both
paper and electronic records. Contact UN ARMS about the processes required for
transferring all records, including both paper and electronic.
When your mission is coming to a close you will need to prepare your
recordkeeping system for the liquidation too. Except for those files required for
the actual mission liquidation (e.g. master files on audit observations and
responses), all files should be closed by the last day of the mission’s mandate.
Using the records retention schedule you should then review all your files. Either
prepare them for transfer to ARMS in New York, or for their destruction in the
mission (but only according to the retention schedule or specific approval from
ARMS).
The DPKO/DFS Liquidation Unit may also request that financial and selected
administrative records be sent to ARMS ahead of the other records so they will
be available for expediting the liquidation phase of the mission. For more
information see the Office of Mission Support’s DPKO Liquidation Manual.
Overview of the Transfer Process Steps
The following Phases identify the steps to transfer records from a mission to UN
ARMS at Headquarters:
Phase I – Preparation
1.
2.
3.
4.
Review PORS and identify relevant Record Series for your records;
Determine appropriate Retention Schedules of each relevant Record
Series;
Identify records to be disposed based on PORS (contact ARMS if there
are any questions concerning retention) and make internal arrangements
for destruction on the mission premises.
Identify records to be transferred to ARMS;
a. separate records that can be sent sooner from records that may
need to be kept until the office is officially closed;
b. obtain standard record storage boxes from local source;
Phase II - Authorization
5. Contact ARMS ([email protected]) to establish contact with the staff in
charge of processing mission record transfers;
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6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
Records transfers are done using an electronic form. Access to the
electronic form is available on the UN Secretariat Intranet iSeek. On the
menu bar click on Tools and ARMS Transfer E-Form and login with your
Lotus Notes webmail ID and password). Review E-form Guide for
detailed instructions;
Complete User Contact information;
Complete Record Series information;
Submit to Mission Record Coordinator;
Mission Record Coordinator reviews, approves and submits to ARMS;
ARMS approves Record Series submission and authorizes Record Series
to be transferred to HQ;
Once authorization is received, pack standard record boxes with
approved record series, each record series should have a separate
labelling/numbering sequence (see boxing instructions for details);
Once boxes are packed, complete Box/Folder information in e-forms for
each record series. The description of folders is required for each box of
each record series
Submit Box/Folder information directly to ARMS;
ARMS reviews, approves or requests amendments to the folder lists
ARMS authorizes shipment of records once record transfer is approved;
Phase III – Record Transfer
Arrange shipment following standard operating procedures on the Mission
Liquidation Manual
Section 16
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Graphic: overview of the records transfer process
Section 16
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Section 16
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Phase I - Preparation
Review PORS - The Archives and Records Management Section (ARMS),
Department of Management, and DPKO-DFS jointly developed the PORS
(http://archives.un.org/unarms/en/unrecordsmgmt/unrecordsresources/PORSv2
_Jan2009.pdf)
and
its
accompanying
Guidelines
(http://archives.un.org/unarms/doc/retentionschedules/PORSv2_Guidelines_Nov
2009_Final_ForPublication.pdf) to assist field missions in the proper disposition
of the accumulated records. The schedule is the authority under which field
offices carry out the specified disposition of their records. The PORS should be
referred to in identifying the Retention or Disposition of records and determining
what records should be disposed and what records should be transferred to
ARMS.
Separate out non- records -Remember that United Nations printed documents
and publications (which you may have collected for reference) are not records
and should not be transferred to ARMS. Once you are clear which records you
wish to go you must check you have the right materials.
Identify records to be disposed
Based on PORS review retention schedule to determine what records can be
disposed in situ. This would normally be administrative records or records that
have exceed their normal life cycle.
Administrative Records are records which support and provide evidence
of the administrative responsibilities of the office, such as finance records
(budget, procurement etc.), personnel files, or office manuals/procedures
etc.
In addition
You may also remove the following items from the records:
UN printed documents and publications (which you may have collected for
reference)

Blank forms, stationery etc.

Personal items

file fittings (e.g. hanging files, file guides/dividers, paper clips etc.)
Identify records to be transferred to ARMS
These records are normally substantive records which have a longer retention.
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Substantive Records are records which support and document the
operational, policy and strategy work of the office, such as project files,
subject/topic files etc.
In addition,
All records should already be filed in either manila or pressboard folders. If they
are not, they should be placed in manila folders and labelled with a description
(subject or title) and covering date range. Records stored in any other type of
folder, cover or binder must be removed.
Be on the look out for signs of infestation by insects or other pests. If you find
any your mission’s records manager must ensure that the records are treated
immediately and that all records being transferred to ARMS are fumigated prior
to their leaving for New York. The Guideline on Preventing and Treating Insect
Infestation provides further guidance.
Separate into Record Series
Now you can sort your records in to series (they may already be stored this
way). You can use the mission file plan or the Taxonomy for Recordkeeping in
Field Missions of Peacekeeping Operations to help you identify the series, or
contact ARMS for advice (email [email protected]).
Obtain Supplies
Check that you have an adequate box (ideally like the one in the
photo):
Construction: Corrugated container, store-a-file boxes with
built on cover

Size: Letter legal record retention LL-15

Weight: 200T B-flute

Dimensions: Outside - length 16", width 13", height 10.5"
Check that you have the right number of boxes:
1 filing cabinet drawer = 2 feet = 2 boxes
Boxes should be sourced locally through your office or mission administrator
Coordinate with ARMS
In order to ensure an efficient and effective transfer or records, contact ARMS
([email protected]) to ensure proper coordination throughout the transfer process.
Section 16
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In Summary:
Review PORS

Prepare files, separate records to be disposed from records to be
transferred

Obtain standard record storage boxes locally

Contact ARMS

Complete e-forms to request authorization to transfer particular record
series

Pack and label the boxes

Complete forms with box and folder information and submit to ARMS

IMPORTANT PLEASE NOTE THAT YOU ARE SUBMITTING AN E-FORM
REQUEST FOR TRANFER TWICE; ONCE TO AUTHORIZE A PARTICULAR
RECORD SERIES AND ONCE TO AUTHORIZE THE BOX/FOLDER
INFORMATION

Receive final authorization for transfer

Ship the boxes
Phase II Authorization
Contact ARMS ([email protected]) to establish contact with the staff in charge of
processing mission record transfers;
Records transfers are done using an electronic form. Access to the electronic
form is available on the UN Secretariat Intranet iSeek. On the menu bar click on
Tools and ARMS Transfer E-Form and login with your Lotus Notes webmail ID
and password). Review E-form Guide for detailed instructions
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Complete User Contact information;
Your details as the person requesting the transfer

Details of your office (the transferring office or office of origin)

The creating office (if it is different to the transferring office)

Details of the authorised or designated officer responsible for the records
i.e. Record Coordinator
Complete Record Series information;
Important – include a different record series for each separate record group that
you wish to transfer
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The date range (earliest record and latest record in any of the files for this
series

A description of the records series (copy it from your retention schedule –
PORS)

The highest security level for any of the records included in this transfer
(see Chapter 17 on Information Security)

The PORS retentions or a suggested retention period for the records
(ARMS will seek clarifications if you suggest a retention different to that in
PORS)
You may include more than one Record Series in your request:
Submit to Mission Record Coordinator (make prior arrangements with ARMS
concerning RC);
The Mission Record Coordinator reviews, approves and submits to ARMS;
ARMS approves the record series submission.
Based on the record series listing, ARMS may be in the position to further
authorise destruction of obsolete records. This reduces your workload and allows
records to be destroyed in the mission rather than shipping them to
Headquarters for destruction. You should follow the guidance on record
destruction in this toolkit.
Pack Boxes
Section 16
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Comment [UN1]: Refer to the
chapter of the toolkit on
information security
Once authorization is received, pack standard record boxes with approved record
series, each record series should have a separate labelling/numbering sequence
(see boxing instructions for details);
Pack boxes according to the following instructions. It will ensure that files are
physically protected during shipping and when they are in storage.
Things to remember:
Pack files vertically in the box (lying the box on its side during packing
may make it easier to do)

Pack files so that any labels face upward and away from where the lid
joins the body of the box (see diagram below)

Pack no more than one foot of records (half a filing cabinet drawer) in
each box – it is very important not to overfill boxes, for your safety and
that of others working with them
Label boxes
Please label your boxes clearly so that they can be easily identified.
Labels should include:
The Mission acronym

Office of origin (e.g. UNMIS/General Services Section/Board of Inquiry)

Record series name

Date span

Box running number/total number of boxes (e.g. Box 2 of 5)
Submit Box/Folder information through the electronic form
Once the boxes are packed, complete the box and folder information in e-forms
for each record series. The folder information is required for each box within
each record series. This information is sent direcly to ARMS for review.
ARMS reviews, approves or requests amendments to the folder lists
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ARMS will review the box folder information and authorises shipment of records
once all the steps of the record transfer is approved.
Phase III Shipping your boxes to ARMS
Once all the records are ready to be shipped, contact ARMS at [email protected] to
receive the most up-to-date shipping address. Officials responsible for the
shipment of mission records to ARMS must ensure that only non-UN owned 20foot ISO sea containers are used for this transfer.
In addition, you should instruct the freight forwarding company to send:
The original bill of lading (not a copy) - necessary for getting United
States Customs to release the shipment

A written estimate of the date of arrival in New York to the Freight
Forwarding Unit, Second Floor, 304 East 45th Street, New York, NY
10017, U.S.A., telephone (212) 963-9403; fax (212) 963-9866. This will
prevent unnecessary storage charges at the port of disembarkation.
Transferring residual records to ARMS
You may need to keep hold of some records from a transfer (by special
arrangement with ARMS staff) or you may have missed some records by
accident at the time of transfer. In either case they must be sent to ARMS as
soon as possible to ensure that all records in the series are kept together and
managed as a whole.
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Confirmation of transfers to ARMS
ARMS staff will formally log their receipt of your files and add them to their
system based on the information you have supplied in the forms. This is called
accessioning your records.
For Missions that are active or liquidating, we will be send a copy of the RMS 33
– Accession Control form back to the originating office for future reference. If
you need to retrieve any records from ARMS, referring to the information on
these forms will help speed the process.
For Liquidating Missions, ARMS will send a copy of the RMS 33 to the proper
DPKO/DFS authority.
Example completed RMS 33 - Accession Control Form:
Archives and Records
Management Section
ACCESSION CONTROL REPORT
Retain this report with your active records to facilitate
servicing reference request.
To request records submit a request to [email protected] using
form RMS-51
Accession Information:
Accession number
2009/0316
Title
UNOMIG - Records of Field Missions Administered by
DPKO, United Nations Observer Mission in Georgia 24/09/2009
Date
24/09/2009
Office of Origin
United Nations Secretariat/Field Missions Administered
by DPKO/United Nations Observer Mission in
Georgia/Office of the Special Representative of the
Secretary-General/Deputy Special Representative of the
Secretary-General/Office of the Chief Administration
Records
Angela Adzinba
Section 16
Page 14 of 18
Coordinator
Requestor
Liudmila Sagaria
Room Number
D111
Linear Feet
3
Request Number
PKO-LSAG-20090923-00448967
Record Series
Record Series
Title:
Oversight: Evaluation
Record Series
Number:
2009/0316-0001
Description:
Records include: programme and mission monitoring
evaluation records, including mandatory internal
evaluations (self-assessments) and discretionary internal
evaluations (self-evaluation); evaluations of mission
military components and formed police units.
For monitoring and evaluation of contracted service
providers in the field:, see PKO.PRO.
Retention
Schedule:
PKO.OVE008 (C + 15)
Earliest Date:
01/05/2004
Latest Date:
17/08/2009
Highest Security
Level:
Confidential
Linear Feet
2
List of folders
Box
Folder Title
Earliest
Latest
File
Section 16
Page 15 of 18
#
Date
Date
Number
1
OVE. Rebuttals
09/04/1995 23/12/2005
1
OVE. Rebuttals
01/03/2000 23/12/2005
1
OVE. Rebuttals
01/05/2004 26/12/2008
2
Rebuttal. ePAS
01/08/2007 28/12/2007
2
Rebuttal
01/08/2008 26/12/2008
Etc….
Section 16
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Section 17 - Access to and use of Records and Archives