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Main Points to Remember about File Plans in Peacekeeping Operations
Main Things to Remember about File Plans in Peacekeeping Operations- Peacekeeping missions are expected to use the Taxonomy for Recordkeeping in Field Missions of UN Peacekeeping Operations, and new or recently established missions must use it as the basis for managing their records.
- The Taxonomy for Recordkeeping provides the framework from which file plans are created.
- The Taxonomy covers all record formats, not just paper.
- Mirroring your file plan 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.
ARMS, working with DPKO, have developed a recordkeeping taxonomy for peacekeeping operations Taxonomy for Recordkeeping in Field Missions of UN Peacekeeping Operations 
(referred to as the Taxonomy ' throughout this section). For already established missions where a mission file plan has already been developed and implemented, the Taxonomy should be used as a benchmark to review, improve and support this existing file plan. This will help the mission to comply with other UN records management policies.
The Taxonomy 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 records created or received
- to support the implementation of records management policies (e.g. on retention of records) by linking records management actions to categories in the taxonomy.
In new missions , or in a recently-established mission which has not yet developed a file plan, the Taxonomy must be used as the starting point.
The Taxonomy and File PlansPaper and electronic records differ only in their format. Maintaining links between related records is done by developing and implementing a file plan. Paper and electronic records can not be stored in the same physical folders but they can be stored in the same logical ones i.e. the same place in the overall structure.
Unless you have an ARMS-approved electronic document and records management (EDRM) system, the official record format remains paper and you must 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 taxonomy 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 Taxonomy and show how a taxonomy can be mirrored using electronic folders on a shared drive.
The Taxonomy is divided in to three main sections:
- Field Mission Management
- Field Mission Support
- Field Operations
To mirror this on a shared drive for electronic filing requires creating a series of top level folders as illustrated below:
The first three sub-divisions of the Taxonomy's Field Mission Management' class (and their sub-divisions) are:
01 Assets Management |
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01 Assets Inventory Maintenance |
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02 Assets Write-off |
02 Budget Execution |
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01 Budget Allocation |
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02 Budget Monitoring |
03 Claims Handling |
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01 Claims Review Board Administration |
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02 Property Survey Board Administration |
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03 Claims Review |
These can be created underneath the correct folder:
The rest of the Taxonomy can be mirrored in the same way.
The basic structure of your file plan should be the same as the Taxonomy but the very lowest levels (where you store records) will depend on your team's particular work and needs. Remember, for all new missions you must use the Taxonomy 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 (using the Taxonomy will help reduce this risk)
You will need to have a file plan which covers all records, including paper and electronic records. Remember that unless you have an approved EDRM system the official record format is paper; the electronic mirroring of the taxonomy is to help manage the creation and subsequent filing of records.
Records in other media may require special treatment but the same taxonomy should still apply. See the Toolkit section Managing Records in Special Formats for more information.
Taxonomies show how records and files in the recordkeeping system are organized or classified. The Taxonomy for Recordkeeping in Field Missions of UN Peacekeeping Operations is based on peacekeeping operations' business functions and activities. The sub-divisions 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. Series at the lower levels of a file plan may be based on other criteria which make organising and managing records easier. Some common examples 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.
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 file plan. For example, you might want to search for a person in a subject record series. As with deciding how best to classify your records, you and your team are best placed to 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 controlled language, which helps when searching for alternative terms for the same issue.
An example of indexing guidance is given at the end of this section.
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. In that case the office needs to decide on its cross-referencing needs. 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.
| 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. |
| Example of Procedures on Cross-Referencing of Files
Cross-referencing of correspondence Correspondence is cross-referenced 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 which also concerns a subject file is similarly cross-referenced. |
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.