Unit 5: 		Grouping Records for Major Series Inventory
[Para]								[page]
5.01	Overview of Unit 5   				[pp    
5.02	Background						[pp 04 ]
5.03	Record Series Registration Process			[pp      ] 
Why register a Record Series			[pp   ]
What makes a Record Series 			[pp   ]
How to Start a Record Series			[pp    ]
When to create Sub-Series for Records	 	[pp   ]
Common Record Series Titles			[pp   ]
Series Transfer between work units		 	[pp   ]
5.04	Surveying Existing Records Series		 [pp ]
Record Series Codes 		[pp     4
Establishing a Work Unit Prefix for Records 	[pp   ]
Choose Record Series Codes for Register	   [pp   ]
Sample Record Series List				[pp  ]
Circulate and revise the Record Series List		[pp  ]
5.05	Progress Check - Self Test			[pp.04]
Frequently Asked Questions for Team Leaders
5.06	Summary							[pp.21

5.01   	Overview of Unit 5
All UNICEF records in a work group should be organized in groups called Record Series. 
This unit explains:
•	How to Identify and Register Record Series
•	How and When to Create Sub-Series within Record Series
•	Who needs to know about the Record Series in an office.
5.02		Background 
Every UNICEF field office needs to register (or list) all record series in the office. This includes documentation, correspondence and information stored on other media (tape, diskette, microfiche, email, etc.). At least every three years, field offices are required to conduct an inventory of Record Series.
The registration process is easy to understand, but making it part of a day-to-day office routine takes some time.

5.03	Record Series Background and Process		
You will now learn how to identify the main groups or "Record Series" which a work unit maintains.
All office files should be organized into fixed categories called record series.
Why use Record Series
Most work units store hundreds of file folders full of records (documents, etc.). Record Series  are broad categories of file folders. By organizing your file folders in record series, you can search for information fast and efficiently. Because file folders in a series are similar, they will often be handled in similar ways for storage and disposal, later in their life cycle.

Note: The retention period (how long you actually keep a record on file) is the most important criteria for managing records over time. In order for a correct appraisal [Annex B] to be made concerning retention, a series must be accurately described.

What makes a Record Series 		
Record Series include file folders that:
•	relate to a particular function, product, or business process (e.g. processing "purchase orders"). or
•	encompass the same activity (e.g. "International Year of the Child" in 1979, or "World Summit for Children" in 1990), or
•	have the same form or container (e.g. binders, file folders, microfiche, video cassettes, audio cassettes, data disks), or
•	have a similar retention period (e.g. papers from the Executive Director's Office might be separated into administrative subjects that are only kept for 7 years and into correspondence from heads of state, which could be kept permanently).

•	

How to Start a Series 
Starting a series is easy. Give the series a title: call it "General Series”  or “Initial Series.”
This series can now hold file folders - increasing to about 100. Once this series becomes full, you can now break it down into smaller series.  It should be apparent which categories of records are of major areas of interest for the particular work unit. File folders can then be separated and formed into other series. It is easy to change series titles as the need arises.

When to subdivide Record Series		
When there are more than 100 file folders in a series, break them into two or more sub-series. You can break up the folders by months, with a new series for every three months, or six months. 
	
	EXAMPLE:
	General Series - January to March 1999
	General Series - April to June 1999

Common Record Series Titles 
Some of the most common series titles in use at UNICEF are:

•	Human Resources, Personnel and Training
•	Budget and Finance
•	City or Country Folders
•	Policy Procedure and Practice
•	Special Projects
•	Working Papers
•	Folders to be Assigned, and
•	Retired Files (RET).

(See Annex B for a more complete list.)
Series Transfer Between Work Units
When the maintenance of files and record series is shifted from one work unit to another, the best list available should be provided to the work unit assuming responsibility for the record series. When the registration of record series and file folders has been done using a database (see Annex E), then the database file itself can be transferred to the new work unit.

5.04	Surveying Existing Records Series
The administrative, operations or designated officer, in cooperation with unit heads, should begin the process of surveying existing record series in the field office.
The process involves several tasks:
•	Identify the Work Unit that is responsible for particular records
•	Survey all existing records (groups of files) in the office.
•	Register the series and code the files in a list (see UNICEF Form 381 - Record Series Listing). You can start with your own categories, use the common record series titles (above), and draw from the terms and codes in the Global Classification Guide (GCG). (CF/NYH/IRM/RAM/97-099. (See Annex A.)
Use UNICEF Form 381 (Summary of Record Series) to record a listing of all record series in the office. The updated form should be submitted to the Records and Archive Management Officer, NYHQ, at least every three years.

•	Circulate the record series list throughout the office.
•	Send a copy of the list to the RAM officer at NYHQ. Update the list at least every 3 years.
Choose Record Series Codes
Every Record Series at UNICEF must be marked with a  Prefix that includes three very important elements: 
•	the UNICEF organizational code - CF
•	the originating office country/city abbreviation.
•	The work unit in the office
This Prefix is then followed by the year [usually the year the Series was created] and an alpha or numeric code
Establishing a Work Unit Prefix for Records
The originating office is the work unit which created, collected or received the records and identified them with a specific series. The originating office is usually a work unit (or its successor) which prepares the records for transfer and later may approve its  disposal.
When you register records, you establish a work unit prefix. This prefix identifies the originating field office and work unit for the records.
A unique prefix must be set up for each work unit which creates, collects or receives records. This  prefix is later used to register records series, folders, objects and transfer containers or boxes . (See Unit 4 for more information.)

Example of Record Series in a Regional Office

EXAMPLE A -
BY OFFICE  /  Year /  Alpha-Numeric Code
•	Start with the Organization Code -- CF for UNICEF
•	Next add the office city abbreviation (RURA -- for Ruritania, Regional office)
•	Add OP for Operations Section 
•	Add the Year and 
•	A sequential number of a record -- in this case 002.
UNICEF  / Ruratania A / Operations Section / (Year) / Sequential Number
CF / RURA / OP / 1991 / 002

Organize and Label Existing Record Series 
Organize and number the series.
If you have any questions contact the Records Management Officer, RMU, NYHQ, for guidance.
Examples of a Record Series List for Operations Section of Ruritania  Office
OFFICE Work Unit	Year	Code	Main Title	Fuller Description	
RURA-OP	1990	001	Information Material	Information Materials, Brochures, Leaflet	
RURA-OP-	1990	001	Legal	Contracts, Office Lease, Car Lease	
RURA-OP-	1990	003	Miscellaneous	Other Matters	

5.05	Progress Check

1.	Who in the office is responsible for ensuring that a Record Series Inventory has been completed for the  office?

2.	What is the component of the Prefix which should  be used for all record series? 

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

         	All Important Records should be grouped in a specific Series.

         	A list of the record Series in the office should be readily available to all staff including visiting auditors etc. 

         	A Record Series should only be updated every ten years or when the head of office changes.

Answers

1.	Who in the office is responsible for ensuring that a Record Series Inventory has been completed for the  office?
The Administrative, Operations or designated officer in an office.

2.	What is the component of the Prefix which should  be used for all record series? 
CF /  City Abbreviation / Work unit

3.	Answer the following True (“T”) or False (“F”):
   T    	All Important Records should be grouped in a specific Series.
   T    	A list of the record Series in the office should be readily available to all staff, including visiting auditors etc. 
   F    	A Record Series should only be updated at least every three years, and prior to office moves, renovations and reorganizations.

5. 06   Summary

You now have an understanding of how to group existing records by major series for inventory. In the next workbook unit you will register all folders within the main Record Series.

   +Remember
•	All records in the office must be organized by record series.
•	Record series should have a prefix identifying the responsible work unit.
•	The record series list should be available in the office.
•	The record series list should be updated at least every three years.

You have now completed Unit 5. 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 6 now.