Records Management Manual
ARC-2008/WS/01
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)
CONTENTS
Introduction
……………….
5
1. Responsibilities
……………….
11
2. Check-in and check-out procedures
……………….
12
3. Access to records
……………….
13
4. Retention schedules
……………….
14
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
1. General rules
……………….
27
2. Archiving and retrieval: RISS
……………….
28
1. General rules
……………….
33
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
A. GENERAL RULES
I. Strategy and policy
II. Paper records
III. Electronic mail
IV. Electronic documents
Records Management Manual
3
B. RULES FOR FIELD OFFICES
I. Paper records
1. General rules
……………….
45
2. Requirements for archival storage rooms
……………….
46
3. Transfer to archives: Form 901 Field
……………….
47
1. Retention of e-mail
……………….
51
2. Retention of electronic documents
……………….
52
1. Guidelines
……………….
55
2. Mail registry table
……………….
56
Index
……………….
57
II. Electronic records
III. Mail registry
4
Records Management Manual
INTRODUCTION
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.
Records Management Manual
5
A.
General Rules
I.
Strategy and
policy
I. Strategy and policy
1. RESPONSIBILITIES
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 handson 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.
Records Management Manual
11
I. Strategy and policy
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.
12
Records Management Manual
I. Strategy and policy
3. ACCESS TO RECORDS
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.
Records Management Manual
13
I. Strategy and policy
4. RETENTION SCHEDULES
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.
Retention
(HQ and field)
Record Type
(electronic and paper)
Description
2 years
All units at HQ Chrono Files
and Field
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 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
Files on unsuccessful
candidates for posts,
prizes, fellowships,
chairs
All units at HQ Drafts of printed UNESCO All drafts and manuscripts of printed official UNESCO
and Field
documents and publications. After 2 years only the first
documents and
publications
and final draft including visas is retained
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
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.
HRM
Post files
Programme
units at HQ
and Field
Contract files (copies)
File containing CVs, evaluation, recommendation, visas
and correspondence until final decision on short-listed
candidates for UNESCO posts
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
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
Field
5 years
All units at HQ Individual reference
and Field
files (copies)
14
Records Management Manual
I. Strategy and policy
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 Records 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.
Retention
(HQ and field)
Record Type
(electronic and paper)
Description
10 years
Administrative
Original contract
units at HQ and files
field
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
Original
units at HQ and administration and
field
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
Files with CVs, related documents and correspondence of
successful candidates applying for UNESCO prizes,
fellowships or chairs
Programme
Files on successful
units at HQ and candidates for
field
prizes, fellowships,
chairs
Programme
Files on programme
units at HQ and execution
field
All units at HQ
and field
Official UNESCO
documents and
publications
Records Management Manual
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
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
15
II.
Paper records
II. 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 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/
Records Management Manual
19
II. Paper records
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 printout 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.
20
Records Management Manual
II. Paper records
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.
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
CLT/CIH/ITH
01/05/2005 Sandrine
Niège
Contact
Extension
84395
Special instructions: Proposed retention period, restrictions of access, etc.
Location (assigned by Archives):
Box Number
FileTitle (Subject)
CLT/CH/ITH/1 FIT 570/TAN/901
Preservation of intangible
heritage in Tanzania
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
Records Management Manual
Part
From (year) To (year)
1
1990
Fill out if
you transfer
more than
one file with
the same
title
Year of the
oldest document in
the file
1992
Year of the
most recent
document in
the file
21
II. Paper records
4. SEARCH AND RETRIEVAL: RECMAN DATABASE
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, country names, title of
project or activity
Enter years
that are covered in a file
(From and To
fields)
22
Enter unit acronyms for
Sector, Division or
Section and/or box
number
The fields on location,
file plan and UDC are
used by the archivists
for specific research
Enter the year or the
name of the person
who transferred the
files to archives
Choose the type of
search: basic or
advanced search
Records Management Manual
II. Paper records
Search results
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
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
Records Management Manual
23
III.
Electronic mail
III. Electronic mail
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.
Records Management Manual
27
III. Electronic mail
2. ARCHIVING AND RETRIEVAL: RISS
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 emails 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.
The Search
Archive button
allows a direct
logon to RISS
from the Outlook interface
E-mails in public folders
remain one
month before
they are captured and archived in RISS
Outlook public folders are
structured by Sector / Division / Section and are used by
HQ and Field offices connected to HQ’s mailserver
28
E-mails in public folders
are archived in RISS after
one month; archived items
are marked with an icon
Records Management Manual
III. Electronic mail
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;
Records Management Manual
29
III. Electronic mail
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.
30
Records Management Manual
IV.
Electronic
documents
IV. Electronic documents
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.
Records Management Manual
33
IV. Electronic documents
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 concerned. 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 retention period of ten years and cannot be altered or otherwise manipulated.
The public
shared drive
(U:-Drive) is
structured by
Sector / Division / Section,
and access is
restricted to the
corresponding
level in the
organizational
chart (Sector,
Division,
Section)
All documents in the unit’s shared
drives are regularly copied in
RISS. The items remain physically
in the shared drive for 2 years
34
Documents are archived and physically transferred in RISS after 2
years. The remaining shortcut is
marked by an icon
Records Management Manual
IV. Electronic documents
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’.
Records Management Manual
35
IV. Electronic documents
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.
36
Records Management Manual
IV. Electronic documents
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 electronically.
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 language 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
Records Management Manual
37
IV. Electronic documents
4. RULES ON ELECTRONIC FOLDER NAMES
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 information 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:
38
Apply clear hierarchical folder structures and use subfolders for more
specific filing of
documents
Combine the elements of the folder
name either by
underscore or by
hyphen
Do not use
individual’s names
or first names as
folder names
Avoid the
duplication of
folders and place
all documents on a
specific subject in
one folder
Avoid unofficial
abbreviations and
acronyms
Group all
documents in
folders
Records Management Manual
IV. Electronic documents
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.
Records Management Manual
39
B.
Rules for
Field Offices
I.
Paper records
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/
Records Management Manual
45
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:
46
♦
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.
Records Management Manual
I. Paper records
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 archives
File Plan
number, if
such a
plan is
used in the
office
Indicate clearly
title and code of
the activity; do
not use
abbreviations
unless they are
official acronyms
Records Management Manual
Year of
the
oldest
document
Year of
the
most
recent
document
Retention
Period
according
to the
retention
schedules
in place
Rules
on the
access
to the
files in
question
Room
and
shelf
codes of
the archives
room
47
II.
Electronic
records
II. Electronic records
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/
Records Management Manual
51
II. Electronic records
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.
52
Records Management Manual
III.
Mail registry
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.
Records Management Manual
55
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.):
56
Records Management Manual
INDEX
♦ 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
Records Management Manual
57