Unit 2: About Records and Archives Management
2.01	Overview of Unit 2 					[pp.02]

2.02	What is Records & Archives Management 	[pp.02]

2.03	Why Records & Archives Management 	[pp.02]
			Four Primary Goals					[pp 02]
			RAM Lifecycle					[pp 02] 

2.04	Why Appraisal is Important

2.05	RAM Lifecycle

2.06	Frequently Asked Questions

2.07	Summary

2.01				Overview of Unit 2

This unit introduces the primary goals of and rationale for records and archive management. The concept of the RAM Lifecycle—the life-span of records and archives, from creation to disposal -is explained. Frequently asked questions and answers are also featured.

NOTE: This unit introduces a few new terms used in records and archive management.  Refer to Unit 3 or to the “Definitions and Glossary of Terms” (Annex D) for additional information.

2.02				What is Records and Archive Management

Records Management is the planning, controlling, directing, organizing, training, promoting and other managerial activities involving the life cycle of information, including creation, maintenance (use, storage, retrieval) and disposal, regardless of media. 
As a UNICEF staff member you will be creating and using official records. They may be in many formats: paper, electronic, audio-visual, maps, etc. Records document the organization, functions, policies, decisions, procedures, operations and other activities of UNICEF. 
There are rules governing the use and destruction of all UNICEF records. It is your responsibility to protect UNICEF records in your custody, and there are legal implications for destroying records without the proper authority. Following good records management practices can benefit the Agency in many ways such as: improving access to information, saving time, space and money. 

Keys to good filing practices are filing only what you need to file, filing it in a way that facilitates access and disposition, and doing it consistently. The answers to the following questions will help you gain a better understanding of your responsibilities.

2.03				Why Records and Archive Management?
UNICEF’s records and archives management system was established to identify, protect and improve access to records used at HQ and field offices. 
There are four primary goals of the RAM program:
•	To identify and register all important UNICEF records for reuse
•	To preserve, protect and archive UNICEF historic records
•	To store records in the office efficiently and improve access to them
•	To dispose of records in a systematic way.

UNICEF’s records management program aims to help organize information so that it is timely, accurate, complete, cost-effective, accessible and useable. Better information, at the right time, makes for a better running organization. 
There are several important reasons to set up a good records management program in your office anyway. (Adapted from Ten Business Reasons for Records Management in Information and Records Management: Document-based Information Systems, Robek, Brown, Stephens, 1995.) 
1.To Control the Creation and Growth of Records 
Despite decades of using various non-paper storage media, the amount of paper in UNICEF offices continues to escalate. An effective records management program addresses both creation control (limits the generation of records or copies not required to operate the business) and records retention (a system for destroying useless records or retiring inactive records), thus stabilizing the growth of records in all formats. 
2.To Reduce Operating Costs 
Recordkeeping requires an expenditure for filing equipment, space in offices, and staffing to maintain an organized filing system (or to search for lost records when there is no organized system). 
There is an opportunity to effect some cost savings in space and equipment, and an opportunity to utilize staff more productively - just by implementing a records management program. 
Usually, in an office that doesn't have a records program, 30-50% of the files could be stored off-site. This can mean a cost savings for each office. 
3.To Improve Efficiency and Productivity 
Time spent searching for missing or misfiled records is non-productive. A good records management program can help any organization upgrade its recordkeeping systems so that information retrieval is enhanced, with corresponding improvements in office efficiency and productivity. A well designed and operated filing system with an effective index can facilitate retrieval and deliver information to users as quickly as they need it. 
4.To Assimilate New Records Management Technologies 
A good records management program provides an organization with the capability to assimilate new technologies and take advantage of their many benefits. Investments in new computer systems don't solve filing problems unless current manual recordkeeping systems are analyzed (and occasionally, overhauled) before automation is applied. 
5.To Safeguard Vital Information 
UNICEF needs a comprehensive program for protecting its vital records and information from catastrophe or disaster, because every organization is vulnerable to loss. Operated as part of the overall records management program, vital records programs preserve the integrity and confidentiality of the most important records and safeguard the vital information assets according to a "Plan" to protect the records. 
6.To Support Better Management Decision Making 
In today's working environment, the manager that has the relevant data first often makes a better, more informed decision. A records management program can help ensure that managers and executives have the information they need when they need it. 
By implementing an enterprise-wide file organization, including indexing and retrieval capability, managers can obtain and assemble pertinent information quickly for current decisions and future business planning purposes. 
7.To Preserve the Institutional Memory 
An organization's files contain its institutional memory, an irreplaceable asset that is often overlooked. Every business day, you create the records which could become background data for future management decisions and planning. These records document the activities of the UNICEF which future scholars may use to research the workings of the organization. 
8.To Foster Professionalism
A UNICEF office with files askew, stacked on top of file cabinets and in boxes everywhere, creates a poor working environment. The perceptions of the public, and "image" and "morale" of the staff, though hard to quantify in cost-benefit terms, may be among the best reasons to establish a good records management program.

2.04	Why Appraisal is Important
In any collection of records, there are also groups that are so valuable that they need to be evaluted and stored. Appraisal of records has been of concern to records managers, archivists, historians, office managers, support staff, and others for a variety of reasons. Even in the smallest collections it is useful to group and store valuable records for special protection. It has also been found useful to identify the most often reused records in ways that allow for quick retrieval and links to other related information. For this reason, the RAM workook also includes information on effective appraisal strategies for UNICEF records.

2.05	RAM Lifecycle
The Records and Archives Management lifecycle refers to the life-span of records -and archives -- from creation to disposal. The lifecycle of records is described throughout the workbook. 
Records are handled in unique ways throughout their life cycle:

1.	Records are created at the field office, collected at the office (attachments to mail) or received at the office (incoming mail).
2.	Important records are registered (coded):
•	a notation is made in a correspondence log
•	routing and tracking of the record is recorded
•	the record is coded  and placed in file folder and record series (see Unit 3 for definitions).
3.	After several years, important records are placed in boxes and eventually moved to a  storage area
4.	Records in storage are appraised and reported.
5.	Records in storage may be retrieved for use and returned to storage.
6.	After several years, records are treated in accordance with retention/destruction schedules
7.	Short-term retention records are disposed of.

2.06 	 Frequently Asked Questions
What are my basic records responsibilities as a manager or staff member?
There are only three major ones: 
•	Create the records necessary to document the activities for which you are responsible, 
•	File those records in a manner that allows for them to be safely stored and efficiently retrieved when necessary, and 
•	Dispose of records in accordance with UNICEF rules and regulations. 
What is a record?
Records are defined as “all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by UNICEF and and needed to document UNICEF’s activities or actions.

Is all of the paper I have in my office record material?
No. Perhaps a quarter of the paper volume is actually record material that needs to be retained for any length of time. Much of what is in most offices is either reference material which can be destroyed when no longer needed. Even working papers are records, although they generally need to be maintained for a shorter period of time.

What should I treat as a record in my office?
From a records management perspective, a document is a record in your office if: 
•	Your office created it. 
•	Your office acted on it. 
•	Your office received it for action. 
•	Your office is designated as the custodian because of oversight duties or for other reasons. 
•	Your office needs it to document its activities or decisions. 
I have a lot of records around. I don’t need them any more and they are taking up space. Am I free to recycle or destroy them?
UNICEF records are the property of the organization They can not be loaned, recycled, or otherwise destroyed without authorization.
How can I reduce the volume of records I have in my office?
Use records disposition schedules as a guide to eliminating unnecessary records. Retention of each type of records maintained in your office is governed by a records disposition schedule which has been rigorously reviewed to ensure the records are kept a sufficient length of time. Schedules are reviewed and approved by UNICEF and the Records Management Officer and serve as the legal authority for destruction of records or their transfer to UNICEF’s Archives. 

Here are other methods for reducing the amount of paper in your office: 
•	Review your files for outdated reference materials and discard (recycle) superseded or obsolete items. 
•	Microfilm your records. In most cases if they are properly filmed, the paper original can be destroyed. 
•	Use image technology to eliminate the need to keep massive amounts of paper on site. 

Does this apply only to paper?
No. A record can be any physical format: microfilm, videotape, maps, photographs, electronic records (word processing, spreadsheets, electronic mail, etc.), or other media. For example, electronic mail messages that meet the definition of a record must be retained in either paper or electronic form as long as the records disposition schedule specifies. Records in media other than paper are also covered in the records disposition schedules and often require special handling due to the fragility of the medium.

Why do we have to do records management?
Three reasons - it makes sense from an economy and efficiency standpoint; it enables the UNICEF (and you) to fully document its actions and decisions; and it is required by the United Nations rules and regulations.

How do I benefit from good records management?
You benefit several ways. 
•	Free up office space for other purposes. 
•	Allow quicker retrieval of documents. 
•	Provide better documentation with less paper. 
•	Save money on space, equipment, and staff time. 
•	Comply with UNICEF guidelines. 

Who do I contact for help?
Contact the Records Management or Administative Officer in your field office, or the Records Management Officer at HQ to assist you with your records questions. 
Assistance is also available from the Records Management Officer at HQ in the form of: 
•	Records contact listing 
•	Training and briefings 
•	Copies of records disposition schedules 
•	Records management publications 
•	File plans and other model documents 

2.07				Summary
You now have an overview of Records and Archive Management and its rationale. The remaining units cover all subject matter in detail and reveal the importance of proper records and archive management in field office operation.
	
   + Remember...	
There are four primary goals of the RAM program:

•	To identify and register all important UNICEF records for reuse
•	To preserve, protect and archive UNICEF historic records
•	To store records in the office efficiently and improve access to them
•	To dispose of records in a systematic way.

You have now completed Unit 2.
If you are taking this programme with a trainer, wait for instructions from your trainer before proceeding. If you are taking this programme by yourself, continue to Unit 3 now.