Records management manual; 2008 - UNESDOC …unesdoc.unesco.org/images/0016/001610/161073e.pdf · on training during the preparation of file transfers to archives. ... Records Management

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Records Management Manual

ARC-2008/WS/01

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Published in 2008 by the United Nations Educational, Scientific and Cultural Organization 7, place de Fontenoy, 75352 PARIS 07 SP

Composed and printed in the workshops of UNESCO

© UNESCO 2008 Printed in France (ARC-2008/WS/01)

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Records Management Manual 3

Introduction ………………. 5

A. GENERAL RULES I. Strategy and policy

1. Responsibilities ………………. 11

2. Check-in and check-out procedures ………………. 12

3. Access to records ………………. 13

4. Retention schedules ………………. 14

II. Paper records

1. General rules ………………. 19

2. Transfer of inactive files to archives ………………. 20

3. Transfer to archives: Form 901 ………………. 21

4. Search and retrieval: RECMAN database ………………. 22

III. Electronic mail


2. Archiving and retrieval: RISS ………………. 28

IV. Electronic documents


2. Archiving and retrieval: RISS ………………. 34

3. Rules on electronic document names ………………. 37

4. Rules on electronic folder names ………………. 38

5. Guidelines on archiving web sites ………………. 39

CONTENTS

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4 Records Management Manual

B. RULES FOR FIELD OFFICES

I. Paper records


2. Requirements for archival storage rooms ………………. 46 3. Transfer to archives: Form 901 Field ………………. 47

II. Electronic records

1. Retention of e-mail ………………. 51

2. Retention of electronic documents ………………. 52

III. Mail registry

1. Guidelines ………………. 55

2. Mail registry table ………………. 56

Index ………………. 57

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This Manual provides records management rules, procedures and guidelines for all staff members at UNESCO’s Secretariat, at Headquarters and in Field Offices, Institutes and Centres. In 2004, UNESCO launched a comprehensive, cross-organizational records management programme to secure accountability and transparency at all levels of the Secretariat. This has been accomplished through the application of standards, rules and practices relating to the creation, organization, maintenance and appraisal of records as well as to their transfer to archival custody for permanent preservation and use by the Organization.

The scope of records management is to cover all paper, electronic and audio-visual records

created by UNESCO at Headquarters, in Field Offices, Institutes and Centres. Priority is given to the introduction of electronic records management in the Organization. As the majority of communications and documents are nowadays created electronically and their legal value is generally recognized, it has become indispensable to preserve in its integrity and authenticity this documentary heritage, which has archival value.

The first version of the Records Management Manual was published in 2005 as a training tool

for the participants in the records management training cycle for secretaries and assistants at Headquarters and as a reference tool for all UNESCO staff members at Headquarters.

Since 2007, the Archives and Records Management Unit, ADM/DIT/ISS/ARC, is deploying

records management to Field Offices, Institutes and Centres. Four field missions have so far been conducted with the financial support of BFC to assess the needs and analyze current records keeping practices.

The Archives and Records Management Unit provides with this new manual a

comprehensive guide on records management rules and procedures, on roles and responsibilities, and on tools and services for all staff members at Headquarters and in Field Offices, Institutes and Centres.

INTRODUCTION

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A.

General Rules

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Strategy and policy

I.

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The Archives and Records Management Unit is responsible for the implementation and development of UNESCO’s records management programme.

Records are defined as any information created or received by UNESCO staff members

during the performance of their duties for the Organization. Records provide evidence of decisions and actions taken as part of the execution or support of UNESCO’s programme activities. These records are the property of the Organization.

Records management aims at ensuring, in a systematic and efficient manner, the creation,

maintenance, management, retention and disposal of records. The purpose is to enhance accountability, transparency and efficiency in the execution and support of the Organization’s programme activities, to protect the Organization’s operational, legal and financial interests, and to preserve and manage UNESCO’s knowledge and memory.

UNESCO staff members at Headquarters, Field Offices, Institutes and Centres, are

responsible for the creation and maintenance of accurate and complete records of their activities in line with the records management policies and rules.

Management is responsible for sound records keeping practice in their units and for making

sure that supervised staff is briefed and knowledgeable on existing policies and rules. Staff awareness and compliance with existing rules is monitored through staff induction

programmes, check-in and check-out procedures, regular staff training cycles, and hands-on training during the preparation of file transfers to archives.

No unique records may be destroyed without approval of the Archives and Records

Management Unit. Such approval must either be reflected in pre-established retention schedules and guidelines issued by the Archives and Records Management Unit or be specifically requested.

1. RESPONSIBILITIES

I. Strategy and policy

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2. CHECK-IN AND CHECK-OUT PROCEDURES

New staff members at UNESCO Headquarters and in the field are briefed on records keeping responsibilities and on available services and tools for sharing, filing and archiving electronic and paper records as part of a check-in routine. All staff members leaving the Organization must, as part of the check-out routine, duly archive relevant records according to the rules in force. 1. Check-In ♦ At Headquarters, all new staff members are invited by e-mail from the Archives and Records Management Unit to an individual briefing on their responsibilities on electronic and paper records keeping and on available services and tools.

♦ In Field Offices, Institutes and Centres, it is the responsibility of the Head of Office to establish similar check-in procedures for new staff.

♦ Records management is also part of the Induction Programme for new staff at Headquarters, and of the individual briefing for international field staff, both organized by HRM.

♦ A short and concise individual e-tutorial on records management is available in the Intranet at: http://intranet.unesco.org/records_management/

2. Check-Out: At Headquarters, all staff members leaving UNESCO must get a visa from the Archives and Records Management Unit on their check-out sheet. Similar routines should be established by Field Offices, Institutes and Centres: ♦ Active paper files: Hand over relevant files to the unit’s secretary or to the person in charge of the activities in question.

♦ Inactive paper files: Prepare files for transfer to archives according to the rules in force.

♦ Electronic documents: Transfer all relevant documents from individual storage into the shared folders of the unit and gather all documents in folders named by subject.

♦ Electronic mail: Transfer all work-related e-mails from personal folders into the shared Outlook public folders of the unit and gather all e-mails in folders named by subject.

♦ Delete all personal or private information on paper or in electronic format.


SUPERSEDED

http://intranet.unesco.org/records_management


1. Paper records

Access to active paper files, which are kept by the unit1 concerned, is restricted to staff of

that unit. Access to staff not belonging to that unit may be given on request by the unit chief or a higher authority.

Access to inactive paper files under the custody of the Archives and Records Management

Unit is restricted to the staff of the unit that transferred the files to archives. Other staff who wish to consult inactive paper files need the approval of the transferring unit

or of the responsible Head of Office, Director or ADG. Access to records of discontinued units is granted on approval of the responsible Head of

Office, Director or ADG. Inactive files are registered in the RECMAN database and can be searched and retrieved at: http://recman.hq.int.unesco.org/recman/basic.htm Files retrieved in the RECMAN database can be consulted on site in the archives reading

room or taken on loan by the staff of the unit concerned. 2. Electronic records Access to active electronic records in shared environments, such as Outlook public folders

or the shared drives, is restricted to the unit concerned. Access to inactive electronic records under the custody of the Archives and Records

Management Unit is restricted to the unit concerned. Other staff who wish to consult inactive electronic records need the approval of the

responsible unit or of the responsible Head of Office, Director or ADG. Access to electronic records of discontinued units is granted by approval of the responsible

Head of Office, Director or ADG. Inactive electronic records are retained centrally in UNESCO’s electronic records and

archives system RISS and can be searched and retrieved by staff concerned at: http://hqarchive1.hq.int.unesco.org/common/restricted/ 3. UNESCO archives: Specific rules governing the access of outside persons to UNESCO’s historical archives are

established in the Administrative Manual, Appendix 9G at: http://unesdoc.unesco.org/images/0014/001451/145137e.pdf More information about the activities and services of the UNESCO archives is available at: http://www.unesco.org/archives/ 1 The term unit is used in this manual as a generic term referring to UNESCO’s

organizational chart and its different levels, such as Unit and Section and the offices of Directors, Heads of Office, ADGs, the DDG and the DG.

3. ACCESS TO RECORDS


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http://recman.hq.int.unesco.org/recman/basic.htm

http://hqarchive1.hq.int.unesco.org/common/restricted

http://unesdoc.unesco.org/images/0014/001451/145137e.pdf

http://www.unesco.org/archives



4. RETENTION SCHEDULES

Retention (HQ and field)

Record Type (electronic and paper) Description

2 years

All units at HQ and Field

Chrono Files Chronological files with copies of outgoing (and incoming) correspondence, such as memos, letters, faxes, etc. Chrono files of DG, DDG, ADG (HQ) and Directors and Heads of Office (field) have permanent retention value

Programme units at HQ and Field

Files on unsuccessful candidates for posts, prizes, fellowships, chairs

Files with CVs and related documents of unsuccessful candidates applying for UNESCO posts, prizes, chairs or fellowships. After 2 years, only a list of unsuccessful candidates and relevant correspondence is retained


Drafts of printed UNESCO documents and publications

All drafts and manuscripts of printed official UNESCO documents and publications. After 2 years only the first and final draft including visas is retained

Field Personnel files (if complete file exists at HQ)

Drafts and copies of CVs, leave requests, job descriptions, training records, etc. To be retained for 2 years after separation. HQ (HRM/archives) retain permanent full personnel files for all HQ staff and international staff in the field

5 years Programme units at HQ and Field

Administration and finance files (copies)

Files containing drafts and copies of administrative and financial records, such as payment requests, purchase orders (PO), invoices, travel records, budgetary statements, vouchers, exchange rates, etc.

Programme units at HQ and Field

Contract files (copies) Copies of procurement and routine service contracts and related financial records, unless they have value as records on programme execution. Field offices should retain for 5 years all files on contracts managed by HQ


Individual reference files (copies)

Reference files containing non-UNESCO documents and publications, press clippings, copies of UNESCO publications, print-outs of websites, etc. Reference files do not contain original correspondence or documents related to programme execution or support

HRM Post files File containing CVs, evaluation, recommendation, visas and correspondence until final decision on short-listed candidates for UNESCO posts

A. FILES WITH SHORT TERM RETENTION VALUE The following records have a retention period from 2 to 5 years, counting from the last document in the file, end of biennium (regular programme) or end of project (extrabudgetary programmes).

These records are not transferred to archives but destroyed by the unit concerned after consultation with the Archives and Records Management Unit.

The retention periods are valid for paper and electronic records and are applicable at Headquarters, in Field Offices, Institutes and Centres.

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Retention (HQ and field)

Record Type (electronic and paper) Description

10 years

Administrative units at HQ and field

Original contract files

Retention period is 10 years or as long as the contract is binding. These files contain original contracts, related correspondence and financial records. In the field, this concerns local procurement and service contract files

Administrative units at HQ and field

Original administration and finance files

Files with original administrative and financial records, such as payment requests, purchase orders (PO), invoices, travel records, vouchers, account statements. In the field, this concerns local financial and administration management files

Permanent HRM and field Personnel Files Original personnel files by individual staff member containing

complete trace of personnel actions. HQ (HRM/archives) retain full personnel files for all HQ staff and international staff in the field. Field units retain full personnel files for local staff

BOC Payroll Files Original payroll files. Retained by BOC

HRM Pension Files Pension Fund files by individual staff member. Retained by HRM

Programme units at HQ and field

Files on successful candidates for prizes, fellowships, chairs

Files with CVs, related documents and correspondence of successful candidates applying for UNESCO prizes, fellowships or chairs

Programme units at HQ and field

Files on programme execution

Files containing records directly related to the programme execution, such as incoming and outgoing correspondence; reports (missions, consultants, projects) and minutes. UNESCO conferences: Keep correspondence, documents, final report, invitation letters (one example plus distribution lists) and replies; External conferences: Keep correspondence, report and copy of the paper prepared by staff attending the conference

All units at HQ and field

Official UNESCO documents and publications

One copy of all official UNESCO documents and publications on paper is retained by the archives and an electronic version kept in UNESDOC. Transfer to archives and UNESDOC either by CLD, BPI or by the producing unit


B. FILES WITH LONG-TERM RETENTION VALUE The following records have a retention period of at least 10 years, counting from the last document in the file, end of biennium (regular programme) or end of project (extrabudgetary programmes).

These records are transferred to archives. At Headquarters this is managed by the Archives and Re-cords Management Unit, in Field Offices, Institutes and Centres by a designated person or service.

The retention periods are valid for paper and electronic records and are applicable at Headquarters, in Field Offices, Institutes and Centres.

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Paper records

II.

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♦ Retain all relevant paper records relating to a specific subject or activity in a chronologically organized paper file, with the most recent document on top;

♦ Avoid the duplication of information, therefore create and retain only one paper file per

subject or activity within your unit and keep all unit files at a central location; ♦ Mark clearly on the paper file cover : a) Unit acronym (e.g. CLT/CIH/ITH), b) Clear and comprehensive title, c) Years covered, d) Part number (if applicable); ♦ Files must contain the original or copy of incoming and outgoing correspondence and

other records of evidential value for the activity in question; ♦ Paper files are kept in the unit for a maximum period of five years after the project or

programme in question has been closed, and are then transferred to the Archives for long-term storage or disposal according to UNESCO’s retention rules;

♦ Records on administration, finance, budget and personnel are retained by the responsible

administrative or central services (AO, BOC, HRM, etc.); ♦ Records on programme execution are kept by the unit responsible for the programme

activity in question; ♦ Avoid redundant information, therefore do not retain in administrative or programme

activity files the following types of documents: a) Official UNESCO documents and publications as defined in the

Administrative Manual Chapter 8 (currently under revision); b) Non-UNESCO publications received for information; c) Print-outs of electronic records, unless there is a specific need, such as

signature; ♦ One copy of each UNESCO publication and official document must be sent to the

Archives and Records Management Unit for preservation purposes by the responsible individual staff member, the producing unit, the publications service or the documentation centre concerned. This rule applies at Headquarters and in the field.

♦ The final electronic version of each UNESCO publication and official document, including

the source file(s), should be uploaded in UNESDOC, UNESCO’s documentary database, by the responsible staff member, unit, publications service or documentation centre. For details on uploading, search and retrieval in UNESDOC consult:

http://unesdoc.unesco.org/

1. GENERAL RULES

II. Paper records

SUPERSEDED

http://unesdoc.unesco.org


2. TRANSFER OF INACTIVE FILES TO ARCHIVES

♦ These rules apply for all units at Headquarters. For Field Offices, Institutes and Centres, please refer to chapter B in this manual;

♦ Before preparing a transfer of inactive paper files to archives, the Archives and Records Management Unit (ADM/DIT/ISS/ARC) must be contacted;

♦ Inactive paper files are transferred to archives five years after file closure. Files are usually transferred by definite parts of series (by biennium, project phases, etc.);

♦ No unique files may be destroyed without authorization of the Archives and Records Management Unit. Such authorization may consist of pre-established retention schedules or consultation before preparing a transfer to archives;

♦ Files selected for transfer must be organized according to the general rules on paper records (see above p.19);

♦ Remove the documents from the file jacket, put them between two cards and tighten them with clips (capiclass) provided by the Archives and Records Management Unit;

♦ Put the files in specific archives boxes that are ordered in FABS: Provider is Cauchard, “Cartonnier d’archives 40X26X12”, material number 1-000-672;

♦ Mark on the box labels the acronym of the Unit and the designated box number assigned by the Archives and Records Management Unit (e.g. CLT/CIH/ITH/1);

♦ Register all files in a standard electronic list (form 901, see below p.20) and send the form to the Archives and Records Management Unit for review before the actual file transfer. The form can be downloaded from the records management website: http://recman.hq.int.unesco.org/

♦ Send the final transfer list by e-mail to the Archives and Records Management Unit, call the movers service, ADM/HQD, for transferring the boxes to the archives and add a print-out of the list to the boxes. The delivery address will depend on the availability of space in the archival repositories;

♦ Files under archival custody can be searched in the RECMAN database at: http://recman.hq.int.unesco.org/recman/basic.htm and be loaned by the unit concerned on request.

II. Paper records

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http://recman.hq.int.unesco.org



3. TRANSFER TO ARCHIVES: FORM 901

This form is used at Headquarters only. For Field Offices, Institutes and Centres refer to chapter B in this manual.

Indicate unit acronym and box number assigned by the archives

Indicate clearly title and code of the activity; do not use abbreviations unless they are official acronyms

Fill out if you transfer more than one file with the same title

Year of the oldest do-cument in the file

Year of the most recent document in the file

Request for Transfer of Inactive Files to Archives In compliance with Administrative Manual chapter 9

Note: Prior to preparing paper files for transfer to archives, the Archives and Records

Management Unit must be consulted

Transfer Number (assigned by Archives)

Originating Sector/Division/Section

Date of Transfer

Contact Name

Contact Extension

CLT/CIH/ITH 01/05/2005 Sandrine Niège

84395

Special instructions: Proposed retention period, restrictions of access, etc.

Location (assigned by Archives):

Box Number FileTitle (Subject) Part From (year) To (year)

CLT/CH/ITH/1 FIT 570/TAN/901 Preservation of intangible heritage in Tanzania

1 1990 1992

II. Paper records

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Choose the type of search: basic or advanced search

4. SEARCH AND RETRIEVAL: RECMAN DATABASE

II. Paper records

Paper files under custody of the Archives and Records Management Unit are registered in the RECMAN database.

All files indexed in this database are searchable in the records management Intranet website at: http://recman.hq.int.unesco.org/recman/basic.htm

The RECMAN search consists of basic and advanced search. Files retrieved in RECMAN can be loaned from the archives by the unit concerned on request.

Enter relevant keywords, coun-try names, title of project or activity

Enter unit acronyms for Sector, Division or Section and/or box number

Enter the year or the name of the person who transferred the files to archives

Enter years that are cove-red in a file (From and To fields)

The fields on location, file plan and UDC are used by the archivists for specific research

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The result page displays in alphabetical order the file series and box numbers by Sector and Division and shows other relevant fields, such as file title and years covered

Search results

II. Paper records

The complete result view displays all index fields, in particular the relevant fields for the archivists for localizing and retrieving files from the various archival repositories

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Electronic mail

III.

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1. GENERAL RULES


The following rules are applicable at Headquarters and in Field Offices, Institutes and Centres that are connected to Headquarters’ mailserver. For offices not connected to Headquarters’ mailserver refer to chapter B in this manual.

A. Your Mailbox (Mailserver)

1) This is the individual work space for drafting, sending and receiving electronic mail communications. In your mailbox you create, send and receive e-mails related to the actions and activities of your unit in the execution or the support of UNESCO’s programmes.

2) The space for individual mailboxes on Headquarters mailserver is limited.

3) Do not retain your e-mails longer than necessary in this area. Delete irrelevant e-mails and transfer relevant e-mails to public folders or personal folders.

B. Public Folders (Mailserver and RISS)

1) This is the official area, structured according to the organizational chart, for sharing, filing and archiving e-mails.

2) Access is limited to the unit concerned.

3) The public folders are accessible via webmail at: http://mail.unesco.org/

4) You access your unit’s public folders in Outlook as follows:

Click on ‘Public Folders’

Click on ‘All Public Folders’

Click on your Sector / Division / Section (/ Unit)

5) Share, file and retain in this area all e-mails that you have sent or received and that are directly related to the actions and activities of your unit in the execution or the support of the Organization’s programmes.

6) File the e-mails in folders that are named according to the activity or subject in question.

7) E-mails in public folders are archived in RISS, UNESCO’s electronic records keeping system. After a general retention period of ten years, the e-mails are either preserved as electronic archives or deleted according to the rules in force.

C. Personal Folders (your Personal Computer)

1) This is a temporary individual storage area.

2) Retain in personal folders only e-mails of transitory value, such as announcements, meeting requests, e-mails on general administration, copies for information (cc:) and personal e-mails.

3) Do not retain e-mails longer than necessary in this area.

SUPERSEDED

http://mail.unesco.org


1. RISS (Records and Information Storage System), UNESCO’s electronic records keeping and archives system, provides physical storage and retention, information life cycle management, and search and retrieval of e-mails placed in Outlook public folders. 2. You access RISS via the “Search Archive” button in Outlook or via the Intranet at: http://hqarchive1.hq.int.unesco.org/common/restricted/. 3. You log on to RISS by entering your user name (e.g. d_schlenker) and password. 4. Your unit’s e-mail repository in RISS contains all e-mails and attachments placed in Outlook public folders by any staff of your unit. The unit’s repository is accessible to the unit’s staff. All e-mails in public folders older than 30 days are archived in RISS and a shortcut placed at the original location. The item archived in RISS is retained for a pre-defined minimum retention period of 10 years, and cannot be altered or otherwise manipulated.

2. ARCHIVING AND RETRIEVAL: RISS


The Search Archive button allows a direct logon to RISS from the Ou-tlook interface

E-mails in pu-blic folders remain one month before they are cap-tured and ar-chived in RISS

Outlook public folders are structured by Sector / Divi-sion / Section and are used by HQ and Field offices connec-ted to HQ’s mailserver

E-mails in public folders are archived in RISS after one month; archived items are marked with an icon

SUPERSEDED




5. Your individual repository in RISS (e.g. d_schlenker@repository) contains all e-mails and attachments that have your name either in the From, To or Cc-field and that have been filed in public folders by any UNESCO staff. 6. You perform simple searches for e-mails in RISS as follows:

a) Content Type: Select e-mail; b) Timeframe: Set a time frame for your search; c) Where to Search: Select either your unit’s or your individual e-mail repository; d) Search for: Enter keywords from the message and/or attachments; e) Click on ‘Find Now’ to start the search.

7. You perform advanced searches as follows:

a) Click New Search in the toolbar, and select ‘Advanced’; b) Content Type: Select email; c) Search for: Enter keywords to search in the e-mail text body;

SUPERSEDED



d) Subject: Enter keywords to search in the subject field; e) From: Enter name of the sender; f) To: Enter name of recipient(s) in the To and Cc-fields; g) Attachment: Enter the file name of an attachment; h) By time frame/By date: Enter a given time frame or select a specific start and end date; i) Where to Search: Select either your unit’s or your individual e-mail repository.

8. The search results are displayed in chronological order with the most recent e-mail on top:

a) To view all fields of the message you search for, click on the message in question; b) For checking out messages from the archives, check the message(s) in question on the left bar, then click on ‘More Options’ and click on ‘Send checked Item’. The item will be automatically sent to your Outlook inbox; c) You can print the list of results by clicking on ‘Print Current Table List’ or the e-mail in question by clicking on ‘Print the page’; d) You may download any of the attachments by clicking on the attachment in question and clicking either on ‘Open’ or ‘Save’; e) In order to perform a new search, click on ‘New Search’ on the top bar and select ‘Simple Search’ or ‘Advanced Search’.

9. Log out from RISS by clicking on the ‘LogOut’ button on the top bar.

SUPERSEDED

Electronic documents

IV.

SUPERSEDED


1. GENERAL RULES

The following rules are applicable at Headquarters and in Field Offices, Institutes and Centres equipped with a shared file server. For offices not equipped with a file server refer to chapter B in this manual.

A. ‘My documents’ (your Personal Computer)

1) This is the individual working area for creating and finalising documents and to store documents of personal interest.

2) Retain in ‘my documents’ only drafts of memos, reports, etc., personal documents and other documents that are of personal interest.

3) The final versions of your documents and all documents that concern the work of your unit should be retained in the ‘public’ area of your unit’s shared drive.

B. ‘Public’ (your unit’s shared drive)

1) The standardized folder structure on the file server following the organizational chart, at HQ by Sector/Division/Section(/Unit) in Field Offices by unit, is the official area for sharing, filing and storing documents.

2) Access is limited to the unit concerned.

3) Share, file and retain in this area the documents you create or receive and which are directly related to the actions and activities of your unit.

4) Group the documents in folders that are named according to the activity or subject in question.

5) Do not retain documents longer than necessary (current and past biennium), unless they have an archival value.

6) After a general retention of ten years the documents will be either preserved as electronic archives or deleted according to the rules in force.

C. ‘Users’ (your individual folder on the shared drive)

1) This is a personal temporary storage area.

2) Access is limited to the user concerned.

3) Retain in this area only the documents from your PC as temporary backup in case of mission, change of computer or office move.

4) Do not retain documents in this area longer than necessary.


SUPERSEDED



2. ARCHIVING AND RETRIEVAL: RISS

1. RISS provides physical storage and retention, information life cycle management, and search and retrieval of electronic documents placed in shared drives.

2. You access RISS via the “Search Archive” button in your Outlook application or via the Intranet at: http://hqarchive1.hq.int.unesco.org/common/restricted/.

3. You log on to RISS by entering your user name (e.g. d_schlenker) and password.

4. Your unit’s documents repository in RISS contains all documents placed in your unit’s public area of the shared drive by any staff of your unit and is accessible only to the unit’s staff con-cerned. All documents on the shared drive older than 30 days are copied in RISS. All items that have not been modified for two years are physically transferred in RISS and a shortcut is placed at the original location. Documents archived in RISS are retained for a pre-defined minimum re-tention period of ten years and cannot be altered or otherwise manipulated.

The public shared drive (U:-Drive) is structured by Sector / Divi-sion / Section, and access is restricted to the corresponding level in the organizational chart (Sector, Division, Section)

Documents are archived and physi-cally transferred in RISS after 2 years. The remaining shortcut is marked by an icon

All documents in the unit’s shared drives are regularly copied in RISS. The items remain physically in the shared drive for 2 years

SUPERSEDED




5. You perform simple searches for documents in RISS as follows:

a) Content Type: Select document; b) Timeframe: Set a time frame for your search; c) Where to Search: Select your unit’s repository; d) Search for: Enter keywords from the file name or any word from the document; e) Click on ‘Find Now’ to start the search.

6. You perform advanced searches as follows:

a) Click New Search in the toolbar, and select ‘Advanced’; b) Content Type: Select document; c) Search for: Enter keywords to perform a full text search in the document; d) Document Name: Enter keywords to search for elements of the file name; e) Document Path: Enter keywords from the folder path of the file’s original location; f) Extension: Enter the file extension of the searched document; g) Time Search Criteria: Enter a given time frame or select a specific start and end date; i) Where to search: Select your unit’s document repository; j) Click on ‘Search Now’.

SUPERSEDED



7. The search results are displayed in chronological order with the most recent document on top:

a) To display file name, type, path, size and dates, click on the document in question; b) Click on ‘Download’ to either open or download the document from RISS. c) You can print the list of results by clicking on ‘Print Current Table List’; d) In order to perform a new search, click on ‘New Search’ and select Simple or Advanced Search.

8. Log out from RISS by clicking on the ‘LogOut’ button on the top bar. SUPERSEDED


3. RULES ON ELECTRONIC DOCUMENT NAMES


The following guidelines apply to all office documents and audio-visual files that are placed in shared drives, uploaded in content or document management systems, sent as attachments to e-mail and eventually archived in RISS. The guidelines do not apply to Official Documents as defined in the Administrative Manual Chapter 8 or to UNESCO publications. These guidelines aim at improving the creation, management and revision, as well as the tracking, archiving and retrieval of electronic office documents or audio-visual files created or modified by UNESCO staff and placed in shared environments or communicated electroni-cally. 1) Essential elements a) Title: A short document name containing the main elements of the document subject; b) Version: Use acronyms such as rev (revision), prov (provisional), add (addendum), corr (corrigendum), etc.; c) Language: If the document exists in more than one language, use UNESCO’s official lan-guage codes for documents, such as en, fr, es, ru, ar, ch, rather than translating the title; d) Date: Date of finalization or dispatch of the document or of the event in question; Use the international ISO date codes: YYYY(-)MM(-)DD (e.g. 2007-03-14 or 20070314); e) All elements should be separated either by underscore (_) or by hyphen (-); f) Format: The file format is automatically assigned by the application used, e.g. .doc, .xls, .pdf, .jpg, .mpeg, etc.; Example: mission_report_dakar_rev1_en_2007-03-11.doc 2) Optional elements a) Unit: Sector_Divison_Section acronyms as per UNESCO’s organizational chart, e.g. clt_cih_mco; b) Country: For Field Offices, Institutes and Centres, this element is particularly important and can substitute the optional element ‘a) Unit’; the three letter ISO codes should be used; d) Username: Windows username of the person creating or modifying a document, e.g. d_schlenker; Example: adm_dit_iss_arc_d_schlenker_mission_report_dakar_en_2007-03-11.doc

SUPERSEDED


The following rules apply to folders created in shared drives and in Outlook public folders and aim at improving and harmonizing the creation, sharing, management and archiving of electronic infor-mation of the Organization.

1) The shared drives and Outlook public folders are structured hierarchically by Sector \ Division \ Section (\Unit).

2) Access to the shared folders of the units is limited to the staff of the unit concerned.

3) Place all documents related to a specific subject or activity in one folder.

4) Give each folder a short and concise title with the main elements of the activity or subject in question.

5) Limit the number of folders and avoid unnecessarily deep folder hierarchies;

6) For conferences, events, meetings, and recurring activities by biennium or year, you may also add in the folder name the biennium, the year or a specific date; YYYY(-)MM(-)DD;

7) The following examples aim at helping staff to apply best practice in naming folders:

Apply clear hierar-chical folder struc-tures and use sub-folders for more specific filing of documents

Do not use individual’s names or first names as folder names

Combine the ele-ments of the folder name either by underscore or by hyphen

Group all documents in folders

Avoid unofficial abbreviations and acronyms

Avoid the duplication of folders and place all documents on a specific subject in one folder


4. RULES ON ELECTRONIC FOLDER NAMES

SUPERSEDED



5. GUIDELINES ON ARCHIVING WEB SITES

The UNESCO portal, Internet and Intranet, is conceived as the first point of entry for accessing information in all areas of UNESCO’s competence and to internal systems and applications. In order to provide relevant and high quality information to the public and to staff, the portal contents should be regularly updated, and out-dated or obsolete information archived and removed. The Archives and Records Management Unit is archiving since 2004 three complete snapshots per year of UNESCO’s portal (Internet and Intranet) with the aim to preserving this important digital heritage for internal and external consultation and research. The UNESCO portal archives can be accessed and browsed on the records management Intranet website at: http://recman.hq.int.unesco.org/recman/portal_archives.htm The following procedures help UNESCO’s web teams at Headquarters and in Field Offices, Institutes and Centres in removing web contents after ensuring that these contents have been archived appropriately: a) Identify the website or webpage that should be removed and archived. b) Search and browse the most recent snapshot in the portal archives and control the accuracy and completeness of the website to be removed; c) If the website’s most recent snapshot is accurate and complete you may proceed directly to point d); if the snapshot is incomplete or incorrect, request the Archives and Records Management Unit to archive the website specifically. Please provide the following details:

♦ Homepage URL of the website in all languages ♦ Acronym of the responsible unit (Sector/Division/Section) or Name of Field Office, Institute or Centre ♦ Contact name and extension

d) Close the website in the host application and stop its regeneration as static site; e) Delete the website in its static version; f) If necessary, provide a redirect for the removed website either to a new site or to the homepage of the Sector or Office.

SUPERSEDED

http://recman.hq.int.unesco.org/recman/portal_archives.htm

B.

Rules for Field Offices

SUPERSEDED

Paper records

I.

SUPERSEDED


I. Paper records

1. GENERAL RULES

♦ Retain all relevant paper records relating to a specific subject or activity in a chronologically organized paper file, with the most recent document on top;

♦ Avoid duplication of information; create and retain only one paper file per subject or activity in your unit;

♦ Keep all files of the unit at a central location;

♦ Mark clearly on the paper file cover: a) Unit acronym, b) Clear and comprehensive title, c) Years covered, d) Part number (if applicable);

♦ Paper files must contain the original or copy of incoming and outgoing correspondence and other records of evidential value for the activity in question;

♦ Records on administration, finance, budget and personnel are retained by the Administrative office;

♦ Records on programme execution are kept by the units or programme specialist responsible for the activities in question;

♦ Avoid redundant information, therefore do not retain in administrative or programme activity files the following types of documents:

a) UNESCO documents and publications as defined in the Administrative Manual, chapter 8;

b) Non-UNESCO publications received for information;

c) Print-outs of electronic records, unless there is a specific need, such as signature;

♦ Paper files are kept in the unit concerned for a maximum period of five years after the project or programme in question has been closed, and are then either destroyed or transferred to an archival storage room for long-term storage according to UNESCO’s retention rules;

♦ Prior to transferring inactive files to an archival storage room, weed all redundant and unnecessary documents, remove the relevant documents from the file jackets, put them between cards, tighten them with a plastic clip or cord, and place the files in specific archives boxes.

♦ Label the boxes with the Office name, the acronym of the unit concerned and the box number of the unit’s archive series, e.g. Almaty/CI/1, Almaty/CI/2, etc.

♦ Fill out the archives form for the field (see below), which can be downloaded from the records management Intranet site; send one copy to the archives unit at HQ, keep one copy in your unit, and give another copy to the person in charge of the archives room.

♦ One copy of each UNESCO publication and official document must be sent to the Archives and Records Management Unit for preservation purposes by the responsible individual staff member, the producing unit, the publications service or the documentation centre concerned.

♦ The final electronic version of each UNESCO publication and official document, including

the source file(s), should be uploaded in UNESDOC, UNESCO’s documentary database, by the responsible staff member, unit, publications service or documentation centre. For details on uploading, search and retrieval in UNESDOC refer to:

http://unesdoc.unesco.org/

SUPERSEDED

http://unesdoc.unesco.org


I. Paper records

2. REQUIREMENTS FOR ARCHIVAL STORAGE ROOMS

Field Offices, Institutes and Centres must dedicate appropriate storage facilities for archives, and clear responsibilities for the archives room must be assigned to a staff member. The responsibilities include:

♦ Consultation with the units concerned on the transfer of inactive files to archival storage;

♦ Appropriately store the archives boxes in the archives room and assign available space in a systematic and controlled manner;

♦ Keep up to date the box lists and inventories of the archives room;

♦ Report to the Office Director on a regular basis on the environmental, space and security conditions of the archives room;

♦ At least once by biennium and after consultation with the units concerned and the Archives and Records Management Unit destroy files according to UNESCO’s records retention rules in force.

The designated archives storage room must comply with the following basic requirements:

♦ The archives room must provide a dry storage environment with an approximate temperature of 18° Celsius (64° Fahrenheit) and 55% humidity;

♦ The room must have a door large enough for an office trolley (1 meter approx.) and

must have a lock. Not more than three copies of the key should exist, one with the person in charge, one with the Director’s Office and one with the AO;

♦ The room must be equipped with shelves, possibly metal, with size corresponding to

the size of the archives boxes in use in order to provide maximum storage capacities. There must be sufficient shelves to properly store all archive boxes;

♦ For security reasons, the archives room should be remote from staff offices and

secured by walls, doors and windows that provide a minimum of fire protection. The floor, the entry area and the corridors must not be used for storage;

♦ Fire detection and fire extinguishers should be installed inside and in front of the

entry to the archives room.

SUPERSEDED


3. TRANSFER TO ARCHIVES: FORM 901 FIELD

Form 901 for Field offices, Institutes and Centres is available on the records management Intranet website at: http://recman.hq.int.unesco.org/recman/files/form_901_field_en.xls

Indicate acronym and box number assigned by the ar-chives

Indicate clearly title and code of the activity; do not use abbreviations unless they are official acronyms

Retention Period according to the retention schedules in place

Year of the oldest docu-ment

Year of the most recent docu-ment

I. Paper records

File Plan number, if such a plan is used in the office

Room and shelf codes of the ar-chives room

Rules on the access to the files in question

SUPERSEDED

http://recman.hq.int.unesco.org/recman/files/form_901_field_en.xls

Electronic records

II.

SUPERSEDED



1. RETENTION OF E-MAIL

The purpose of retaining e-mails is to provide evidence of actions taken during the execution and support of the Organization's programmes. The following guidelines help field staff to properly retain relevant e-mails and to avoid keeping insignificant and redundant information.

A. Offices connected to the mailserver at Headquarters

1) Your mailbox serves for receiving, drafting and sending e-mails related to the actions and activities of your office in the execution or the support of the Organization’s programmes.

2) Keep e-mails of personal interest (leave requests, family matters, cultural life at UNESCO), of transitory professional value (meeting requests), or of general interest (announcements, Unescommunications, STU, AIPU) in personal folders on your personal computer.

3) File all e-mails that are directly related to the actions and activities of your unit in the execution or support of UNESCO’s programmes in your unit’s shared public folders on Headquarters mailserver (see chapter A in this manual for details).

B. Offices not connected to the mailserver at Headquarters

Option 1: Use the Outlook rpc-http connection to the mailserver at Headquarters

Request the IT support of the Office to create rpc-http Outlook profiles on the PCs of the staff members that have a user account in UNESCO’s electronic directory UNESDIR. By setting up a rpc-http Outlook profile and the connection to the mailserver at Headquarters, you get access to all Outlook functionalities including the sharing and filing facilities in Outlook public folders.

Option 2: Send a copy of relevant e-mail personal folders to Headquarters

The Office’s IT support should prepare once a year a series of CDs or DVDs containing a copy of each staff member’s work related e-mails (UNICODE pst-files) and send these CDs or DVDs to the Archives and Records Management Unit at Headquarters for archiving purposes. The e-mails sent to HQ can be consulted in RISS by the unit concerned at:

http://hqarchive1.hq.int.unesco.org/common/restricted/

SUPERSEDED




2. RETENTION OF ELECTRONIC DOCUMENTS

The purpose of retaining electronic documents is to provide evidence of actions taken during the execution and support of the Organization's programmes. The following guidelines aim at helping field staff to properly retain relevant documents and to avoid keeping insignificant and redundant information.

A. Offices equipped with a file server

1) The Office’s IT support should set up a standardized sharing and filing folder structure by unit (ADM, ED, CLT, DIR for Director or Head of Office, etc.) with restricted access to the unit concerned, and a “Common” folder accessible to all office staff as follows:

2) Share, file and retain documents you create or receive and that are directly related to the actions and activities of your unit in the execution and the support of UNESCO’s programmes in these shared folders.

3) Group all documents in folders that are named according to the activity or subject in question.

4) The Office’s IT support may install a file migration software, available from the Archives and Records Management Unit, for the automatic and scheduled copying of electronic documents from your file server into UNESCO’s electronic archives RISS for preservation, search and retrieval purposes.

5) Once the file migration tool is installed and running, you can search and retrieve an archived copy of all documents of your unit in RISS at: http://hqarchive1.hq.int.unesco.org/common/restricted/

B. Offices not equipped with a file server

The Office’s IT support should prepare once a year a series of CDs or DVDs containing a copy of each staff member’s work-related electronic documents and send these CDs or DVDs to the Archives and Records Management Unit at Headquarters for archiving purposes. The documents sent to HQ can be consulted in RISS by the unit concerned.

SUPERSEDED


Mail registry

III.

SUPERSEDED


III. Mail registry

1. GUIDELINES

The following guidelines and the new mail registry table (see following page) aim at helping the Field Offices, Institutes and Centres to harmonize, standardize and modernize the mail registry of incoming correspondence, distribution, deadline management, visa and drafting processes for outgoing correspondence.

♦ Field Offices, Institutes and Centres should use the standardized electronic mail registry table that can be downloaded from the records management website at: http://recman.hq.int.unesco.org/recman/files/field_registry_table_en.xls

♦ The mail registry table is made available as Excel spreadsheet and as ACCESS database. Both versions are available in three languages, English, French and Spanish.

♦ The registry form provides a standardized set of mail registry fields for managing incoming and outgoing correspondence based on registry techniques in selected Field Offices and at Headquarters.

♦ The form should be used by the whole office, placed in a shared folder and managed jointly by the unit secretaries and assistants concerned.

♦ All correspondence requiring action and follow-up should be registered, tracked and managed by one assistant, either by central registry or secretarial staff located in the office of the Director or Head of Office, for the whole cycle until final dispatch of the response.

♦ All unit secretaries have read-only access to the mail registry table and can visualize the registry entries, action requirements and deadlines related to the correspondence.

♦ The incoming and outgoing correspondence can be scanned, stored on the shared drive and linked to the mail registry table.

♦ If the incoming correspondence is scanned and made available in electronic format, the original incoming paper should not be distributed but retained in the central registry in a chrono file.

SUPERSEDED

http://recman.hq.int.unesco.org/recman/files/field_registry_table_en.xls


III. Mail registry

2. MAIL REGISTRY TABLE

The mail registry table for Field Offices, Institutes and Centres, is available on the Records Management Intranet website at: http://recman.hq.int.unesco.org/recman/files/field_registry_table_en.xls in MS Excel format and as MS ACCESS database. The table in Excel contains a sheet with examples as follows:

The mail registry table in MS Excel also contains a sheet with the complete list of fields, a summary of contents for these fields and the proposed field formats (numeric, date, text, etc.):

SUPERSEDED

http://recman.hq.int.unesco.org/recman/files


♦ Archives

The documents created or received and accumulated by a person or organization in the course of the conduct of affairs, and preserved because of their continuing value; also referred to as an archival repository; The agency or program responsible for selecting, acquiring, preserving, and making available archives; also referred to as an archival agency, archival institution, or archival program; The building or part of a building in which the archives are preserved and made available for consultation.

♦ Document

Recorded information regardless of medium or characteristics.

♦ File

An organized unit (folder, volume, etc) of documents grouped together either for current use by the creator or in the process of archival arangement, because they relate to the same subject, activity, or transaction. A file is usually the basic unit within a record series.

♦ Preservation

The totality of processes and operations involved in the stabilization and protection of documents against damage or deterioration and in the treatment of damaged or deteriorated documents. The preservation may also include the transfer of information to another medium, such as microfilm.

♦ Records

A document created or received and maintained by an agency, organization, or individual in pursuance of legal obligations or in the transaction of business.

♦ Records Management

A field of management responsible for the efficient and systematic control of the creation, maintenance, use and disposition of records.

♦ Transfer to archives

The act involved in a change of physical custody of records with or without change of legal title.

Notions extracted from the DAT III list conceived for the International Council of Archives (ICA): http://staff-www.uni-marburg.de/~mennehar/datiii/engterm.html

INDEX

SUPERSEDED

http://staff-www.uni-marburg.de/~mennehar/datiii/engterm.html