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Section 4 – Recordkeeping in the UN

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

Other Relevant Toolkit Sections     

Documents                                   

Glossary                               

Frequently Asked Questions (FAQs)

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,.
• 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:

 

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:

 

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 )

‘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 Records/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 (CITS) staff is important to ensure that your computer systems are compatible so your recordkeeping system can be applied to 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 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).

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: •  a series of subject 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 simple 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.

 

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
• 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 file 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 (whether it is full or not – if nothing has been added then there is no need to open a new part!)
• 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;

•  …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, software (including operating system) and a power supply to access them;

•  …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 (ERMS)

Electronic records should be captured in an electronic document and records management (EDRM). 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 Lotus Notes in conjunction with scanning, as they do not meet requirements for recordkeeping.  Please contact ARMS (arms@un.org) 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. T here 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. 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

•  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 properly 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 floppy disks, 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

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 infrastructuree.

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-intranet-1.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 Managemnt 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:

• 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 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.

Table: Mapping Electronic and Paper Recordkeeping Systems
Paper Records	Electronic Records
Creating records manually, in a form etc. or receiving from external sources.	Creating documents and data resources on a computer
Fastening records generated from the same activity into a folder	Capturing or saving the records we create into folders, databases etc. thereby linking related records either in folders or by tagging
Positioning in some kind of a classification scheme (usually dependent upon which file the record is assigned to)	Some kind of classification structure as appropriate (remembering that computer records do not sit together physically so they can be classified with a tag)
Storage in filing cabinets.	Appropriate storage which includes media, software/format, hardware and operating system
Retrieval of records via classification scheme, a file list and/or some kind of index.	Retrieval of records by browsing folder hierarchy, using indexes (if created) or search functionality
Application of retention schedules to govern how long records kept in the office, in storage, when destroyed and if of archival value.	Use of retention schedules to determine when electronic records should be moved off-line, deleted or transferred to the archives.

 
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.

þ 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

Other Relevant Toolkit Sections

• 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 .

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.

Records 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

Frequently Asked Questions (FAQs)

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