Contents
Main Things to Remember About Transferring Records to UN ARMS
Introduction – Why do you need to transfer records?
When should you transfer your records?
The Transfer Process in 11 Steps
Other Relevant Toolkit Sections
Frequently Asked Questions (FAQs)
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.
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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.
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Contact ARMS staff about the transfer process for electronic records.
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Transferring records to ARMS helps protect them for as long as they are needed.
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Following ARMS procedures means records will be found when they are needed.
Records need to be transferred to UN ARMS for one or more of the following reasons:
• Because your mission is being liquidated
• Because you don't need to refer to them any more but they still need to be kept as specified in the Peacekeeping Operations Retention Schedule (PORS) 
• Because they will be safer if looked after by the UN ARMS staff
• Because 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.
You:
• …MUST transfer records according to the retention schedule (PORS).
• …SHOULD transfer records as soon as they are no longer needed by the mission
• …MUST transfer records at liquidation of your mission.
Regular transfersARMS recommends that you transfer records when they are no longer needed by the mission. PORS gives detailed instructions for how long your records should be kept – and where. The schedules are like timetables to help you manage your records and transfers.
You MUST transfer records in line with the retention schedule (PORS) unless you have explicit permission from ARMS to make alternative arrangements.
When your mission is liquidatedYou 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 electronic records.
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 records you transfer to ARMS but those that are will be available to the Liquidation Unit. FMSS may also request that financial and selected administrative records are sent to ARMS ahead of the other records so they will be available to the Liquidation Unit. For more information see the Office of Mission Support's DPKO Liquidation Manual
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The following diagram sets out the steps to transferring records from a mission to UN ARMS:
Step 1: Beginning the transfer process
To begin you must first identify the records for transfer. 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.
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Check that you have the right sort of boxes (ideally like the one in the photo): • Construction: Corrugated container, stor-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 |
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| Boxes should be sourced locally through your office or mission administrator. |
Check that you have the right forms :
• RMS 36A Archives transfer – list of files – use this form to list box by box each file you wish to transfer (a copy will be included with the boxes that are transferred)
• RMS 34 Request for transfer of inactive records – use this form to describe the types of records you wish to transfer (including the relevant file series to which they belong) and the total number of packed boxes
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You can find the forms on the ARMS intranet and internet pages. ARMS can also provide you with a copy on CD although downloading them each time you make a transfer ensures you have the most recent version. ‘Save as…' on to your computer to fill them in electronically. |
And finally,
Check you understand the process :
• How to prepare your files
• How to complete the forms
• How to pack and label the boxes
• How to ship the boxes
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Contact your mission records manager or UN ARMS for help and advice at any stage. UN ARMS can be contacted by email: arms@un.org . They can explain how to fill out the forms, and advise on how to identify different types and groups of records. |
Step 2: Preparing your records for transfer
Before you can box your records you must first prepare them. Remove:
• 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.)
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 recovered.
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.
Sorting your records will make it easier for you to list them and for ARMS to manage them. Begin by separating out administrative records and substantive records:
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.
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.
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 arms@un.org ).
Remember to keep a copy of the form for your own records.
It is very important to complete form RMS 36A, especially for missions and offices away from Headquarters, as it may be possible for ARMS to authorise destruction of obsolete records based on it. This reduces your workload and allows unnecessary records to be destroyed in the mission rather than shipping them to New York for destruction. The form must be completed accurately and fully for ARMS to be able to give such authorisation however.
Form RMS 36A provides a detailed list of your files for transfer including where they have come from, what box they are in, and what they are called or about.
Things to remember:
• Each listing may run to several pages – this will count as one form
• Only one file series may be included per form (any number of boxes)
• Each form can cover any number of boxes (but only from one file series)
• List your files according to your office filing system (in order – alphabetically, numerically, or chronologically)
• The first time you use an abbreviation or acronym, write it in full (e.g. [first usage] ‘Archives and Records Management Section (ARMS)', [second and subsequent usages] ‘ARMS')
• If you have a file list which includes file title, date of earliest record and date of latest record, you can provide a copy of it instead of listing your files on RMS 36A.
At the top of the form add:
• your unit, section, office/division and department (in full – not abbreviations)
On all pages add:
• page number and number of pages (e.g. Page 1 of 6)
For each file add:
• box number (e.g. Box 1 of 4) – leave a blank line on the list when you come to the last file in a box before listing the first file in the next box
• dates for each file (e.g. 01/1995-12/1996)
• file number or reference (if the file has one )
• name of each file (e.g. the subject or case name)
ARMS will add:
• transfer date (when they actually receive your records)
• dispose date (when items are transferred to archives or destroyed)
Example of a completed Form RMS 36A:
Step 5: Packing your boxes
Please 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
• make sure the files are packed in the same order as they are listed on form RMS 36A (or your file plan)
• put a copy of form RMS 36A (or your file plan) in to the first box of each series (remember each series should have its own form)
Step 6: Labelling your boxesPlease label your boxes clearly so that they can be easily identified.
You should include:
• Office of origin (e.g. DPKO/OUSG/Central Records Unit)
• Record series name
• Date span
• Box running number/total number of boxes (e.g. Box 2 of 5)
• Mission acronym (if a mission)
In addition to the label information above, you should also write your acronym, room number and box number on the two ends of the box with hand grips/holes.
Step 7: Completing Form RMS 34 (Request for Transfer of Inactive Records)Remember to keep a copy of the form for your own records.
Form RMS 34 provides an overview of the records being transferred. It also tells ARMS from where the records have been sent and by whom they have been prepared. It provides the ‘big picture' – RMS 36A (which you have already completed) provides the detail and is used by ARMS to determine/confirm retention or authorise destruction.
Things to remember:
• You need a separate form RMS 34 for each record group/series you are transferring
• Each RMS 34 will have at least one related RMS 36A form (the detailed file list)
On the form add:
[required information]
• details of the authorised or designated officer responsible for the records
• 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)
• the date range (earliest record and latest record in any of the files for this series – you can find this by looking at the related RMS 36A which gives the details of the contents)
• a description of the records series (copy it from your retention schedule – PORS)
[optional]
• the highest security level for any of the records included in this transfer
• the suggested retention for the records (ARMS will seek clarification if you suggest a retention different to that in PORS)
Note: ARMS will complete the Accession Number.Example of a completed Form RMS 34:
When you have completed and checked your forms send them to ARMS, preferably either:
• by e-mail (as Microsoft Word format attachments) – arms@un.org , or
• by diplomatic pouch (burnt on to CD in Microsoft Word format) – to ARMS Accession and Disposal Desk, Room Q-300, New York
If you are unable to send the forms electronically, you may fax them to ARMS in New York on +1-212-963 8686.
Remember that each RMS 34 must have at least one related RMS 36A, and vice versa.
When they have received your forms ARMS may ask you for more information to help them understand what it is you want to transfer. They will then contact you with one or both of:
• authorisation to ship your boxes to ARMS
• a list of files/records which can be destroyed by you and the authorisation to do so (follow guidance in this Toolkit on how to destroy records)
Step 9: Shipping your boxes to ARMSContainers destined for New York should be addressed to:
United Nations Archives and Records Centre
Attention: Accession and Disposal Desk
31-00 47th Ave
Long Island City
NY 11101
U.S.A
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.
Step 10: Transferring residual records to ARMSYou 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.
• For records already filed (in manila folders or in pressboard covers) follow the procedure described in steps 1 to 9.
• For loose records/papers, send them along with a memorandum indicating where they should be inserted/filed (the file title, series and box number – all available from your copies of RMS 36A Archives Transfer – List of Files forms for all the transfers you have made. This will allow them to be filed in their proper place in the records already transferred.
Step 11: Confirmation of transfers to ARMSARMS 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.
You will be sent a copy of the RMS 33 – Accession Control form produced by them once your records have been shelved. You should file this with the other forms related to this transfer (RMS 34 and RMS 36A) in your active records. If you need to retrieve any records from ARMS, referring to the information on these forms will help speed the process.
Example completed RMS 33 - Accession Control:
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Other Relevant Toolkit Sections
- Section 16 - Access to and use of Records and Archives
- Section 17 - Destroying Records
- DPKO Liquidation Manual (Office of Mission Support, DPKO)
- Guideline on Preventing and Treating Insect Infestation (ARMS)
- Peacekeeping Operations Retention Schedule (PORS) (ARMS 2006)
- Taxonomy for Recordkeeping in Field Missions of Peacekeeping Operations (ARMS, 2006)
- RMS 33 – Accession Control form
- RMS 34 – Request for transfer of inactive records
- RMS 36A – Archives transfer
File Classification Scheme: a system of organizing and grouping files to ensure that records and files of the same function and activities are filed together and can be identified and retrieved. Classification schemes are also referred to as records plans or file plans.
Retention schedule: a timetable for records which sets how long they need to be kept at the various stages of their life. It also specifies what should happen to them, for example transfer to other storage, to the archives, or destruction. It is organized according to record series, because all the records in a series will have the same value and will need to be kept for the same amount of time once the file is closed.
ARMS has developed the PORS (Peacekeeping Operations Retention Schedule) which gives instructions on how long to keep and disposition requirements for records relating to mission support, mission operations and mission management. It is available on the ARMS website.
If the records have only one year or less before they will be destroyed, keep them until their scheduled date of destruction, which you can arrange with ARMS.