Unit 3: 		Definitions and Roles
[Para]														[page]

3.01	Overview of Unit 3					[pp 04 ]

3.02	Background							[pp 04 ]

3.03	Roles and Responsibilities			[pp 04 ]
Head of Office
Desiginated Officials and Focal Points
Staff
RAM Unit (NYHQ)

3.04	Definitions						[pp      ]
Records..
Categories of Records
Record Series

3.05	Progress Check - Self Test		[pp      ]

3.06	Summary

3.01		Overview of Unit 3 - Definitions and Roles
The management of UNICEF records is a responsibility shared by the head of the office, administrative staff, and all UNICEF staff who create and file UNICEF records. 
This Unit explains:
•	Roles and responsibilities of staff for records and archives management
•	RAM-related terms -- (see Annex C for a more complete list of terms and definitions).

3.02		Background
The records, documents and archives of UNICEF represent an important historic and operational asset. All important records and objects (i.e. photos, diskettes, etc.) should be registered in a reliable manner, using a standard registration system. This workbook describes a common system. Systems may vary from office to office.
•	All items should be registered (or listed). Registering incoming and outgoing records and objects makes it easier to store and locate them. This applies to documentation, correspondence and information stored on other media, also known as objects (tape, diskette, microfiche, email, etc.).
•	The registration process is easy to understand, but making it part of the ongoing procedures may require "set up" time.

3.03	Roles and Responsibilities

All staff members are responsible for ensuring that records they issue, receive, or collect are properly registered.  In addition, they are responsible for ensuring that the support staff they supervise understand and use the systems properly.
The head of the office is responsible for determining which records at the field office are vital and which records should be restricted, and for ensuring that staff and procedures are in effect to protect these records. (see below for definitions of vital and restricted records).
The administrative, operations or designated office in a field office is responsible for ensuring that a registration system is developed for the field office and that all staff members understand and use the systems.
In larger offices, a divisional or sectional focal point may be assigned responsibility for coordinating records management activities, including collecting information on record series and retention/destruction activities, for that division or section.
The Records and Archive Management Unit at HQ, in co-operation with the office from which the records originate and the United Nations Archives, is responsible for the custody, preservation and servicing of archival material and records of UNICEF. This includes all records, regardless of their physical type, issued or received by UNICEF that should be preserved because of their administrative, legal, historical or other value as evidence of the official business of UNICEF. These include the records of Headquarters divisions/sections and UNICEF offices away from Headquarters. (See CF/EXD-2867).
The United Nations Archives and Records Management Service has overall authority for the development of policies and produres governing the disposition and handling of all records of the United Nations and its official agencies and offices.

3.04	Definitions
A few key records management definitions are provided below. Kindly refer to Annex C for a more comprehensive list of definitions. 
Records
Records comprise information that is created, received, maintained and preserved in some form by UNICEF. The form of records may include, but not be limited to, correspondence, memoranda, cables, forms, reports, publications, documents, films, photos, maps, recordings, and email. 
Registration
Registration is the process for listing record series, file folders, correspondence items, and objects (film, photos, microfiche, posters, etc.).
Categories of Records
There are several categories of records:
Official Records -- printed materials issued by UNICEF, the UN or any agency thereof. They are part of a numbered series controlled by and issued through the HQ of the agency.
Vital Records -- records that are indispensable for ensuring the work of the office in the event of an emergency or disaster. These might include financial, security and personnel records, and papers relating the fulfillment of obligations to country projects and other outside interests.
Working Records -- records that are less than three years old. These are regularly used for current business and must be maintained in the office area.
Non-Current Records -- records that are more than three years old. Since most are no longer required for current business, they are stored in a separate area outside the main office.
Restricted Records -- records that have access limitations imposed by rules and regulations, including personnel files, confidential records not intended for general knowledge, and personal notes and unedited observations, the unauthorized disclosure of which could damage UNICEF.
Archival Records - non-current records having administrative, legal, historical, evidential or informational value beyond 10 years.
Especially Important Records -- any records, other than UN documents, which may be seen as providing evidence of UNICEF’s origin, structure, functions, procedures and significant transactions. This may also include policy statements, procedural instructions, and descriptions or demonstrations of precedent-setting decisions or actions. These require special procedures for protection and preservation.
Personal Records and Private Papers - Private Papers of UNICEF staff members are those which have no connection with their official work for UNICEF, but which have been filed in the office by a member of the staff. They may also include duplicate copies of official documents related to or reflective of personal performance but not subject to restrictions.
Record Series
The concept of Record Series is very important for efficient records and archive management.  A Record Series identifies and describes records used by an operational unit or section in an office that:
•	relate to a particular function or business process output  (i.e. programme funding, purchase orders, etc.). 
•	are maintained together in a work unit or designated area 
•	are in a specific form or container (i.e. binders, folders, microfiche, diskettes, etc.)
•	have the same retention period (see Unit 10).
Grouping common records of a work group in a record series is very important to the success of records management in the field office. Unit 5 explores Records Series in more detail.

3.05  Progress Check [Self Test]

1.	The process for listing record series, file folders, correspondence items, and objects (film, photos, microfiche, posters, etc.), is called:

2.	Common records of a work group are grouped in a record series or tickler file?

3.	Who in the office is responsible for ensuring that a classification and coding system is developed for the field office?

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

_____	The responsibility for registering and maintaining records is with the work unit that creates them.

_____	Staff are not responsible for records management. Only the administrative officer has the responsibility.

_____	Vital Records include financial, security and personnel records, and papers relating the fulfillment of obligations to country projects and other outside interests.

Answers
	
1.	The process for listing record series, file folders, correspondence items, and objects (film, photos, microfiche, posters, etc.), is called:

Regisration

2.	Common records of a work group are grouped in a record series or tickler file?

Record Series

3.	Who in the office is responsible for ensuring that a classification and coding system is developed for the field office?

The Administrative, Operations or designated officer in a field office.

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

__T___	The responsibility for registering and maintaining records is with the work unit that creates them.

__F__	Staff are responsible for conducting the proper records and archive management for their work unit.

__T___	Vital Records include financial, security and personnel records, and papers relating the fulfillment of obligations to country projects and other outside interests.

3.06    Summary
-	
You now have an overview of the roles of UNICEF staff in records management and how common records management terms are defined.

+Remember
All records in the office must be identified with the work unit that is responsible for maintaining them.

You have now completed Unit 3. 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 4 now.