Contents
Main Things to Remember about Managing Records in a Mission Records Storage Facility
Transferring Records to Semi-active Storage Space
Managing Record Disposition from Semi-active Storage
Other Relevant Toolkit Sections
Forms relating to this Section
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.
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Ensure that transferred records come with the necessary metadata or information and that the transfer is properly documented.
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Make sure you know what records you have and where they are in case you need them again.
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Adequate internal controls must be implemented for all records centre operations.
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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.
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 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.
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.
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 records 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.
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 file 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 file 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:
- save re-doing the transfer documentation to ARMS standards at a later date
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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.
Role of record retention schedulesThe ARMS records disposition 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. Record retention schedules provide offices with the authority and timetable to destroy records or transfer them to semi-active 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 .
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 records manager will responsible for all numbering conventions and assigning accession 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 file 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 FacilityGiving 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 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.
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 RegisterOnce 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.
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.
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 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.
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 |
Other Relevant Toolkit Sections
- Section 15 - Transferring Records to UN ARMS
- Section 17 - Destroying Records
- Peacekeeping Operations Retention Schedule (PORS) (ARMS, 2006)
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 records officer: ________________________________
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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.