Unit 10: 	Maintaining and Protecting Records
10.01	Overview of Unit 10		1

10.02	Background	

10.03	Roles and Responsibilities	3

10.04	Routine Maintenance of Working Records	4

10.05	Storing and Protecting Records	4
			Working Records	4
 			Non-Current Records	4
			Vital Records		4

10.06	Recommended Supplies For Records Management	6
			Paper	6
			File Folders	6
			File Storage Containers	6

10.07	Shipment/Transfer - 
			What is a Transfer/Shipment
			Determining Information for a Transfer
			Starting a Transfer
			additional information for a Transfer

10.08	Box/Container
What is a Box/Container
			Determining Features of a Box/Container
			How to Start a Box
			Picking Folders for a Box
			Additional Information on Boxes

10.09	Transfer or Separation of Staff - Forms Completion		7

10.10	Remember	8

10.11	Progress Check	9
			Answers		10
10.12	Summary	11

Overview of Unit 10

10.01			Maintaining and Protecting Records
This unit provides information on how to maintain, store and access records so that they are easily accessible and are properly preserved.  
The workbook discusses two categories of records: working records and non-current records:
•	Working records are records in use.  These are stored at a staff member’s desk, in support staff areas or in common working areas.
•	Non-current records are records no longer needed for day-to-day use.  They can be packaged in clearly labeled transfer boxes and stored locally at a designated file storage facility controlled by UNICEF.

10.02		Background
There are many forms of office records, including tapes, disks, photographs and other media. While electronic mail is gaining wide popularity in UNICEF, paper is still a common records form. Paper and other records can be easily damaged if not treated properly.
This unit, therefore, focuses on maintaining and protecting paper records, however, the principles of records maintenance discussed in this unit should be applied to all forms of records. Since other forms of records (i.e. computer disks, tapes, etc.) have become more common, information on their maintenance and preservation will be mentioned.  Contact the Records and Archive Management Officer (RAM) at NYHQ for additional information relating to non-paper records.

10.03		Roles and Responsibilities
The office head is responsible for deciding which records are vital and which records are restricted beyond those discussed in this book. The administrative officer is responsible for communicating this information to all other staff members.
The administrative officer is also responsible for setting up and implementing procedures for the proper maintenance of records.  This involves training of staff members in file maintenance and security, and monitoring non-current records after they have been transferred to storage areas.
Prior to their transfer to another job or separation from UNICEF, staff members must make a listing of records under their control using UNICEF Form 351. (See Annex E).

10.04 			Routine Maintenance of Working Records
Assign one person in an office or work unit to be responsible for maintaining the files. That person places records into files, ensures proper filing order, and maintains a system for monitoring the removal and return of working records. 
Order of Records
Records should be ordered chronologically in file folders (by date), and alphabetically or numerically in file storage units. (Please see Annex F2).
Removing Files from Work Areas
A system should be set up at each field office to control the withdrawal of working files from work areas.
This system can consist of, either:
•	a listing of the file and the borrower’s name and date
•	a card file containing a card for each file borrowed, and the borower’s name and date.
When the file is returned, the listing or card should be noted.
Borrowed files should be returned directly to the person in charge of their maintenance.

10.05			Storing and Protecting Records
Working Records
Working records must be properly stored and protected to maintain them in good condition.  They are stored in three different working areas:
•	At hand -- Manuals, handbooks and other reference materials which are used frequently, are stored at or by the staff member’s desk.
•	In support staff areas -- Reference files, catalogues and other material used only by one staff member and her/his support staff, are stored in separate support staff areas.
•	In common working records areas -- all working records (including operational and subject files, and supplier catalogs) which must be accessible to many staff members are stored in common working records areas.  These areas are determined by the administrative officer.

Non-Current Records
Non-current records are records no longer needed for daily use.  Non-current records can be packaged in boxes and stored in a designated file storage facility controlled by UNICEF. 
File Storage Facilities
The file storage facility should have the following qualities:
•	Have two sections: a regular storage area called non-current records storage area (NCRSA) and a high-security storage area called archives and vital records storage area (AVRSA). (NOTE: It is acceptable that originals for working records, non current records, and vital records are stored in the same building. However, for efficiency, it may be more economical to store non-current records off site, if a secure, controlled area is available and is not likely to just be a repository without any tracking.
•	Be equipped with shelving units that can be labeled.  All boxes should be stored on shelving units --not on the floor.
•	Be dry to prevent mildew growth and control pests.

NOTE: Non-vital records to be kept in storage for less than seven years are stored in the same boxes they were transferred in, in the regular storage area.  Vital records, and other records being kept in storage for more than seven years, are stored in the high-security storage area.

Vital Records
It is crucial to keep all vital materials safe.  There are certain procedures to follow in order to protect important or vital records.
Use metal filing cabinets to store vital records to protect against fire or natural disaster. Store vital records together to help their removal if the office or storage facility must be quickly evacuated.
Follow the directions below for protecting vital records that include confidential or restricted material:
•	Make duplicate copies of vital records and store them in different locations. Paper duplicates can be used or alternative media of storage such as microform or disk, as an economical alternative.
•	Fire-proof safes should be considered for storing extrememly important records of which no duplicates can be made.

10.06			Recommended Supplies
Using certain types of supplies and equipment for storing records and files will preserve them longer. This unit focuses on several key recommendations. 

See Annex B for supplies and equipment recommended by the Records Management Officer for general office organisation and effective records management.
1. Paper
Standardize paper sizes used in the office.  It is easier to file records when all paper is one standard size.  The use of non-standard size paper (legal, portfolio, foolscap) should be avoided when possible.  There are two standard sizes:
•	The North American standard size is 8 1/2 x 11 inches (e.g. A2).
•	The European standard size is 210 X 297 mm. (8 1/4 x 11 3/4 inches) (e.g. A4).
Use a 3/4 inch margin when placing information on the page, so that data is not lost if the record is copied onto the shorter American standard or narrower sheets of European standard.  This is especially important for electronic facsimile transmissions.
2. File Folders
The file folders used to hold paper records are very important to their preservation and maintenance. Two types of folders should be used, depending on the length of time you expect to store records:
•	pressboard file folders or clip binders -- for files being kept seven years or less, or files that are handled frequently.
•	manila file folders -- for files being kept for less than three years or files that are handled infrequently.
3. File Storage Containers
Use file storage containers for files being transfered from one location to another and for storage. A container is a box in which records are stored. Standardised Boxes may be preferred for usual paper records, but "containers" can also be special cabinets or cases for maps or over-sized material. A container could also be any packaging that protects the material in difficult circumstances. Transfer boxes, also called archive containers, should be used to transfer and store non-current or archival records . When full of records, these should weigh less than 35 pounds (16 kilograms).   They will provide easy access to contents and hold legal, letter or computer data binder size records. These containers are shipped flat and can be assembled in 1-3 minutes.

10.07 Shipment - Transfer	
A transfer is the removal of records from one location, the shipment and the deposition of them to another area for storage. In order for a transfer to be made certain data shuld be recorded. (See Annex E, UNICEF Form 371 for more information.) Some of the circumstances that might initiate a transfer are: 
•	not enough space (usually for records over 3 years old)
•	reclassification of records, or 
•	the moving of an office/work unit (often to another floor or building). 

Determining information needed for a transfer
In order for a transfer to be made, certain data must br recorded. The most important data are: 
•	the year and the assigned number of the transfer,
•	the title/description 
•	the estimated dates of the material 
•	projected years in storage
•	the room number where the records are to retrieved, 
•	where the records are to be moved to 
•	the estimated number of boxes
•	how frequently the records are used (will be used)
•	who is preparing the transfer/shipment, and 
•	who is responsible (the office supervisor).

10.08			Box - Container
A Box/Container is a receptacle in which records are stored.  Since many of the storage facilities are not temperature controlled environments, these containers must be quite sturdy. (They are usually made of heavy-duty cardboard.) Since they must hold quite a few file folders they are also sufficiently large to accommodate up to 35 pounds of manila file folders with their contents. 

Summary of Steps Required for 	Transfer/Shipment

STEP	DESCRIPTION	COMMENTS	
1	Describe the Shipment	To initiate “transfer”	
2	Number boxes	To transfer shipment	
3	Pick folders	For Boxes	
4	Assemble Boxes		
5	Have boxes verified by Administrative Officer; Each Box should receive a storage location label	Boxes are picked up, and transported to storage.	

Boxes are verified by the Administrative Officer and Storage Location Labels are placed on each box.  The boxes are then moved to the storage facility. Assessments are made periodically concerning the continued storage of records: should they be retained longer or destroyed? Records may be retrieved for reference from storage, if necessary, by contacting the Administrative Officer.

10.9				Transfer or Separation of Staff - Forms 							Completion
When staff members are replaced, transferred or separated, record survey forms (UNICEF 381 series listing form and UNICEF 351 titles listing form) must be updated prior to the date of transfer or separation. Copies should be given to the chief of division/section and the administative officer. (See Annex E for more information).
List records in one of two ways:
•	complete the UNICEF 381 series listing form.
•	complete the UNICEF 351 titles listing form.
There are three other procedures to follow:
•	provide replacement staff with copies of these forms to become familiar with records under her/his control.
•	if a function is transferred, send completed forms to the new section/unit head before dispatch of records.
•	if a function is terminated, the incumbent staff member must prepare the forms necessary for transferring records to appropriate storage areas.

REMEMBER: Staff should store personal records and private papers (as defined in Administrative Instruction 359) separate from official records and papers.  Private and personal papers are the only records staff are allowed the take with them when leaving or transferring.

10.10			Records Cleanup
UNICEF CF/EXD/1995-023"Cleaning Up of Records” is an instruction from the UNICEF Executive office directed to NY staff concerning clean up of files. The instruction identifies records categories which may be discarded and encourages all staff to properly list their important, and/or historical records. The guidelines are useful for all offices to reduce space requirements in all premises and identify materials that need to be properly appraised, preserved and subsequently archived. Every staff member should devote one day a year or time periodically to cleaning records in his/her work area.

Progress Check

1.Who decides which records are vital and restricted?

2,	What information must be filled out for each box going to the storage facility?

3.	Answer the following True (“T”) or False (“F”):

         	Store personal records with offical office records and papers.
_____	Use transfer boxes to store working records..

4. Check off all the conditions that might initiate a transfer of records to a storage facility?

         	Not enough space in the office - for records over three yeras old.
_____	Records have been reclassified.
_____	It’s time to retire active records.
_____	Office is relocating to another building.

 Answers

1.	Who makes the decision on which records are vital and restricted?

The head of the office is responsible for deciding which records are vital and which records are restricted.

2,	What information must be filled out for each box going to the storage facility 

Year - Number; Title/Desciption; Estimates Dates of Materials

3.	Answer the following True (“T”) or False (“F”):

    F	Store personal records with offical office records and papers.
    F  	 Use transfer boxes to store working records.

4. Check off all the conditions that might initiate a transfer of records to a storage facility?

    x    	Not enough space in the office - for records over three yeras old.
__x__	Records have been reclassified.
__x__	It’s time to retire active records.
__x__	Office is relocating to another building.

Summary
You now have an overview of maintaing and protecting records.See the Annexes for additional information.
	
+Remember...	
•All UNICEF staff are responsible for the maintainance and protection of office records
•	Using the right supplies to store working and non-current records will increase their life.

	You have now completed the Records and Archive Management Workbook. Congratulations!