RECORDS MANAGEMENT IN THE UNITED NATIONS
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1 RECORDS MANAGEMENT IN THE UNITED NATIONS A Shared Responsibility arms@un.org
2 Agenda Why Records Management? Records vs. documents Roles and Responsibilities Records Life Cycle Records Disposition Information Sensitivity
3 Why Records Management? UN policy requirement Ensure security, reliability and authenticity of information for long term viability Operational efficiency & internal accountability Historical reasons
4 Efficient and Transparent Business Processes Good records management practice supports the goal of getting the right information to the right people at the right time. Knowing which documents and information should be retained, why they are retained, and how long to retain them reduces clutter and streamlines workflow. Well organized and managed information is quickly and easily retrieved when required. Awareness of the requirement to retain records to support actions and decisions enhances transparency in governance.
5 Responsibilities of Staff and Offices UN Staff is responsible for creating and maintaining records in accordance with established policies and procedures UN Staff are permitted to destroy records in keeping with retention policies The records are the property of the Organization Offices are responsible for: Developing and implementing retention schedules Preparing records for transfer Providing adequate records storage for records in office
6 ARMS Roles and Responsibilities Records Management & Advisory Services: Manage transfer and disposal of inactive records Provide records retrieval service Provide advice on recordkeeping for both paper and electronic records located in Offices Archives Management Services: Identify & preserve records of long term value Manage and provide access to the Archives of the United Nations.
7 Resources Available to Manage Records Policies ST/SGB/2007/5 Recordkeeping and Management of United Nations Archive and ST/SGB/2007/6 Information sensitivity, classification and handling Tools to manage records on a daily basis Retention Schedules File classification/ Taxonomies Records management toolkits Training: e-learning and on-demand records management workshop
8 Think about this: Which of these is NOT a record?
9 What is a record? Any data or information, regardless of form or medium created, received and maintained by the United Nations as evidence of a transaction A record is the property of the Organization A record is subject to the Organization s retention rules A record can be in paper or electronic form, e.g. s A record is always a document, but a document is not necessarily a record
10 What is a document? Recorded information or object which can be treated as a unit. A document is not necessarily a record
11 Documents v. Records Documents Records File classification Not required Required Retention rules Storage area Not required; documents may be destroyed/deleted when no longer needed User work stations (electronic and paper), shared drives, flash drives, inboxes Required; may only be destroyed/deleted/archived based on an approved UN retention schedule May be physically distributed but arranged under a single filing scheme Security classification Required for sensitive documents Required for all business records (including nonsensitive records)
12 Transitory information Some examples of transitory information, which can be in any medium (voice mail, fax, , etc.) are routine messages, internal meeting notices, routing slips, and similar routine information used for communication but not for the documentation of a specific UN transaction.
13 Who is responsible for identifying and filing records? When the record is created internally, the originator must ensure that the official business record is retained and filed When the record is received from an external source, and where that information does not exist elsewhere in the Organization, the recipient of the information must ensure that the official business record is retained and filed
14 Stages in a Record s Life CREATION: Records are made or received by the UN. MAINTENANCE AND USE: (Active Records) Any action involving the storage, retrieval, and handling of records kept in offices by, or for, the UN. DISPOSITION: (Inactive Records) Action taken regarding records no longer needed for current business. These actions include transfer to mission records storage facilities or transfer to ARMS, and disposal of temporary records.
15 Retention Schedules 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.
16 Records have administrative value General correspondence, chronological files Office service request files Staff administration files Equipment inventories Policies, procedures, organizational charts, directives
17 Records have legal value Legal decisions & opinions Fiscal documents representing agreements, such as leases, titles, contracts Records of action in particular cases, such as claims and legal documents
18 Records have fiscal value Budgets Ledgers Allotments Payrolls and vouchers
19 Retention Schedules in CAS TTS: Review would be beneficial UNPA: currently under review SSS : no guidance at present
20 Records have historical value Minutes of Senior Management Meetings Important political processes in the Missions Records of UN Secretaries-General and top UN officials such as SRSGs
21 A records retention schedule: Lists different series of records generated in the course of the office s activities Identifies the Office of Record (i.e. Custodian) of different records Provides guidance on when to close files, if applicable Provides guidance on when to transfer a record series to the UN Records Centre or Archives Provides guidance on when to destroy a class of records, if applicable
22 Advantages of a retention schedule Consistent, timely and accountable disposition of records Broad application across U.N. Identify records of long term value Authorize prompt and legal destruction When applied, results in a more efficient use of space
23 Managing Sensitive Information in the UN Key Policy document is ST/SGB/2007/6 Records should be classified/marked as either: Unclassified Confidential Strictly Confidential Access: Records more than 20 years old and not classified as Strictly Confidential are accessible to all
24 Quiz : Information Sensitivity True False Section Chiefs are responsible for identifying and marking confidential records in the UN To send a confidential document to another office, I must send it in a sealed envelop and affix the confidential marking I can store my confidential records in electronic format on a shared drive provided the folder is password-protected The confidential records which I transferred on behalf of my office to ARMS can be accessed to anyone in the Organisation To dispose of a large volume of confidential records I must call ARMS
25 ARMS Website
26 ARMS on iseek
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