Annex B: 	Appraisal, Retention and Disposal of Records
[Para]								[page]
B.01	Overview of Annex B   				[pp    

B.02	Background						[pp 04 ]

B.03	Roles and Responsibilities				[pp      ] 
Head of Office						[pp   ]
RAM Officer & UN Archivist		 			[pp   ]
Directors and Chiefs of Sections				[pp..]
Administrative or Operations Officer	 			[pp   ]
UNICEF Board of Auditors & Comptroller			[pp   ]

B.04	Records Inventory and Appraisal			 [pp ]
Initial appraisal procedural tools		 		[pp     4
Common UN Series Description and Retention Schedules 	[pp   ]

B.05	Guidelines for Common Record Series			[pp  ]

B.06	Set Retention Schedules for Common Record Series		[pp  ]
UNICEF Appraisal Grid				 	[pp   ]

B.07	Accounting and Financial Record Series 			[pp  ] 

B.08	Supply Related Records Series 				[pp  ]

B.09	Periodic Review in Local Office							[pp..]
Cleaning up Records									[pp..]

B.10	Bi-Annual Review										[pp..]
Completing listing to expedite approvals and action			[pp  ]

B.11		Disposal of Records									[pp..]

B.12		Transfer of Records from Field to Headquarters			[pp..]

B.13	Summary								[pp.21

B.01				Overview/Introduction 
UNICEF has accumulated millions of records -- letters, memoranda, policy circulars, manuals, diskettes, EMAIL, etc. -- over its long history. 
This unit describes the Inventory, Appraisal, Destruction and Retention systems for determining which records are kept,  which are discarded, and why.
The systems are designed:
•	to preserve the historical legacy of UNICEF by ensuring that the important records are retained and properly stored, 
•	to reduce the accumulation of materials to simplify searching;
•	to reduce the cost of file folder storage, and 
•	to ensure a productive and efficient use of office space, setting a schedule for required records to be kept and unnecessary records to be destroyed.
B.02				Background
Every office needs to conduct an biennial inventory of records so that records can be kept current, and necessary records are retained and unnecessary records are destroyed. This review coincides with the budget cycle. It is essential for records retention and disposal to be systematic in order to preserve the historical legacy of UNICEF and in more practical terms, to ensure that we have space to store working and non-current records.
This unit, therefore, offers a systematic way of managing the accumulation of records at the field office. You will learn about:
•	forms used in surveying office records and how and when to use them, and 
•	special guidelines governing financial and supply records.
The system includes the annual Records Survey, an inventory of all office records. Each field office must conduct the Records Survey to determine:
•	file folders that should be sent to non-current storage
•	non-current records that are ready for destruction or retention
•	boxes that should be proposed to Records Management Officer, NYHQ, for disposal
•	records that are of historic value to be retained as a long-term UNICEF archive
•	non-current records that are ready for transfer from the file folders of working records.
Contact the Records Management Officer (RAM) at NYHQ for additional information relating to non-paper records. You may also refer to Workbook Unit 9 dealing with electronic records.
B.03				Roles and Responsibilities
Records appraisal is a shared responsibility.
•	Head of Office:	The head of the office is initially responsible for identifying which local records have a potentially lasting value to UNICEF, and which should be retained. 
•	RAM officer:	In consultation with the United Nations Archivist, the UNICEF Records and Archive Management (RAM) Officer, NYHQ, has ultimate authority for determining which records have lasting value to UNICEF. Please refer to [CF/AI/1983-359 Par. 2. Management and Preservation, and par. 8.Disposal.]  
The RAM officer may also participate with UN Archives and other agency colleagues in determining long-term information requirements for the UN community, which may apply, to specific records. This role may be especially relevant where no precedents have been set for substantive records with potentially long-term value. Unicef substantive records cover activities which support and promote the activities of UNICEF, or facilitate the execution of UNICEF’s mandate. The supporting records include administrative, financial and other records, such as supplies, accommodations,  etc. 
•	UN Archivist:	
The Archivist of the United Nations has an advisory role concerning UNICEF records and archives as specified in and United Nations Secretariat and UNICEF Administrative Instructions. 

The UN Archivist and RAM officer cooperate to establish procedures and monitor maintenance, preservation and repair of the archives and non-current records of UNICEF. The RAM Officer consultants with the UN Archivist, among others, in questionable cases involving retention or destruction of UNCEF records having potential long term value. The UN Archivist, as Chief of the UN Archives and Records Management Section, has a special role in determining which records have sufficient historical value to warrant their continued preservation as the archives of the United Nations, which also includes Secretariat units away from headquarters and subsidiary organizations of the United Nations. The UN Archives is authorized to provide guidance and set standards which include disposal of and public access to, the archives and non-current records of other United Nations Organs and of Secretariat units away from Headquarters.

[Please see CF/AI/1983-359, par. 2., par. 8.; UN/ST/SGB/242, par. 3 and par. 5.; UN/ST/AI/326, par. 11

•	Directors an Chiefs
Directors and chiefs are responsible for the records under their control. This responsibility includes completing UNICEF Form 351 [see annex E] before the Records and Archive Management Officer approves the transfer or destruction of records.
•	Administrative or Operations Officer
The administrative or operations officer is responsible for:
-	 conducting initial, periodic and 2 year inventories of all records, 
-	 keeping the lists of records up-to-date,
-	 completing the UNICEF Form 381 (Listing of Records Series) and UNICEF Form 351 (Listing of File Titles) and 
-	 submitting forms within a month of completion, to the Records and Archive Management Officer, NYHQ.
•	UNICEF Board of Auditors
The UNICEF Board of Auditors sets the retention periods for accounting and financial records. The Comptroller authorizes the destruction of such records. Field offices can request permission from the Comptroller to deviate from the retention periods described below for financial records.For example keeping records longer than initially planned will most likely may be approved where further action is possible.
B.04				Records Inventory and Appraisal
There are some activities going on in the field, which are vital to our "institutional memory". As a minimum we require listings of file series and file folders (See the 351 and 381 forms Annex E) to know what exists.
The inventory of records must be conducted in order that important records of UNICEF may be separated and protected in each office and the non-essential records destroyed. The initial inventory has several key goals:
•	to identify documents and other information material in the office;
•	to determine which groups of this material contain items which are UNICEF records that must be maintained;
•	to specify the "home" location and responsible official for UNICEF records, and
•	to appraise the importance and assign retention periods to all record series.
The appraisal of records must be conducted in order to determine the records of continuing value to UNICEF which should be kept. There are guidelines for general records and unique guidelines for financial and supply records.

Destruction and Retention, Initial UNICEF Appraisal tools
•	UNICEF Financial Circular [CF/FC/025 Rev .1], which covers "Retention and Destruction of Accounting and Financial Records," is made available to individuals or divisional representative to task force [s] making preliminary recommendations on destruction or retention. This doc includes a list of financial and accounting record series and initial retention periods. Financial Circular 25 [CF/FC/025/Rev.01 Issued under cover of CF/DFM/1994/05   [at UNICEF Intranet  = http://www.intranet.unicef.org/, Document Repository, Financial Circulars]
•	"UNICEF Sample Appraisal Grid for preliminary retention/disposal decisions" CF/NYH/IRM/RAM/1993-174 and 176 is also available [in electronic or paper format]. Individuals are advised that the appraisal grid could be especially useful for considering retention of data or systems not having an exact match to the 3 categories of records set out on FC/025/Rev.1 with permanent, 7 year and 4 year initial retention.
Used to determine retention periods for records based on criteria of "Type of Record" and "Importance of Activity" which the records cover. The types of records are identified as: Policy/Precedent/Intrinsic Value, Routine/Transactional, Background or Temporary.  The importance of Activity are identified as: Facilitative (support/promote main activities, e.g. Housekeeping records) or Substantive (Unique to UNICEF mandate and mission, e.g. main programme activity.) See Appraisal Grid and  [on NYH CCmail BB and UNICEF Intranet] [http://www.intranet.unicef.org/, Document Repository, Information Management, Ram related]
Common UN Secretariat, Agency, Programme or Fund Record Series Descriptions and Retention Schedules
A number of UN Agencies are interested in shared record series descriptions for similar records. Common descriptions would also facilitate in some instances shared destruction and retention schedules. Some of the related issues are complex and will take some extended effort to negotiate with the substantive officers concerned. [Human Resources, Programme, Administration etc.]  In the meantime you may wish to review the UN Web site record series and retention schedules. 
[See pointers listed below for operational records and for missions.]
Retention Schedules for :
	UN Offices: 		http://www.un.org/Depts/archives/un_offices.html
	UN Missions:		http://www.un.org/Depts/archives/un_missions.html
 As noted above when an office proposes retention or destruction for the record series in offices, the title should relate to categories in Financial Circular 25/Rev.1 or on the Appraisal grid wherever possible. If an office believe some of their record series correspond to similar UN listed Record series please indicate.  Your proposal will assist us in further defining the common record series and retention schedules for records.
B.05				Guidelines for General Records
In Unit 3, you developed a list of record series for the office. Use UNICEF Form 381 to record this information.[Annex E of this workbook which provides general instructions for completing UNICEF Form 381.] Detailed instructions also appear in Section 10.4,. Appendix A, of the UNICEF Policy and Procedure Manual, Book J “Administration,” Chapter 10, Records and Archives Management.
All main record series should be listed on Form 381. A separate form should be completed for each division in the field office. 
An important feature of this form is the retention period. This is where you will recommend how many years to keep records:
•	as working records in the office
•	stored in the regular area of the file folder storage facility
•	stored in the high security area of the file folder storage facility
Completing Form 381 takes time. It is the responsibility of the administrative or operations officer to make sure this form is completed or updated at least every two years.
IMPORTANT: Do not include file folder titles on Form 381. Use UNICEF Form 351 to record file folder titles within series.

B.06				Set Retention Schedules for Record Series
The Records and Archive Management Officer, NYHQ, has proposed a retention period for various types of records. Retention periods for Accounting, Financial and Supply Records are treated separately. All other records are treated according to the Proposed Retention Schedules below. As mentioned above, one of the responsibilities of the administrative officer is to set retention schedules.
The retention periods for Accounting, Financial and Supply Records are discussed below.
Proposed Retention Schedules
Records should be retained for one or more years. This chart was developed by the Records and Archive Management Officer as a way of helping you set retention periods for record series. There is an arbitrary period that can be added for review (rev) so that records concerning people, events, and areas of interest to researchers, can be retained longer. There are also indications where records should be stored during the retention period (oa, rc and as). See below for descriptions of abbreviations. For more information see UNICEF SAMPLE APPRAISAL GRID (CF/NYH/IRM/RAM/93-174 and CF/NYH/IRM/RAM/93-176) or contact the Records and Archive Management Officer, NYHQ.
The appraisal grid is only required for types of record series which don't already have a retention schedule.  The office should contact the RAM officer with the newly defined Record Series so that the list of retention schedules could be updated to include the new series.

Appraisal Grid: Retention Schedules for Records
	APPRAISAL for - Total Retention Time (TRT)

VALUE = TYPE of record + IMPORTANCE of activity documented					

	
IMPORTANCE: (of activity)		

	
	FACILITATIVE 
(support/promote main
activities,  e.g.
housekeeping records)	
	SUBSTANTIVE
(Unique to UNICEF
mandate and mission, e.g.
main programme activ.)	

	TYPE OF RECORD			
(Suggested Years TRT)**		

POLICY, PRECEDENT
(Evidence of policy, procedure + exceptions, legal & precedent setting action/decision/commitments) "Intrinsically valuable"			

	10 + rev*	

	15 + rev*	

ROUTINE, (TRANSACTIONAL)
(Operational, commitment of funds, case files)			

	4-10	

	4-10 + rev*	

Administrative		
	4-7	
	4-7 + rev*	

Financial		
	4-10	
	4-10 + rev*	

	
Acknowledgment (actions or requests)		
	2-5	
	5 + rev*	

BACKGROUND
(Product literature, research notes, news clippings – usually not UNICEF produced)			

	1-3	

	3-8 + rev*	

TEMPORARY
(Information circulars, convenience copies - widely circulated of short term use)			

	1	

	1 + rev*	
 
Guide to Definitions and Abbreviations (see Retention Schedules above) 
Substantive RECORDS -- These cover areas of primary importance to UNICEF’s mandate and mission, including main programme activities. The records are so important that they may be retained permanently. They are usually unique to UNICEF and distinguish UNICEF from other organizations and mandates.
REV - “rev” means that additional time may be added to the retention time. A decision must be made as to the “informational value” of such records vs. the cost to UNICEF of maintaining records. Consideration is given to the information the records may contain concerning people, places, things and phenomena of interest to future researchers.
** TRT = total retention time in office area, Record Centre [non-current record storage area] and in Archival Storage [separate, secure  area for long or short term vital and archival storage].
B.07				Accounting and Financial Records
There are unique rules and regulations governing the retention and destruction of UNICEF accounting and financial records. (See Financial Circular 25, Rev. 1 -- CF/DFM/1994-05)
Accounting and Financial Records for Permanent Retention
•	Financial reports and accounts
•	General ledger and subsidiary ledgers 
Accounting and Financial Records for Retention and Destruction After Seven Years
•	All records and documents (with supporting documentation) showing proof of commitments, call forwards, procurement, shipment and delivery of UNICEF programme assistance and special account transactions (mainly reimbursable procurement).
Local salary payrolls and vouchers.Accounting and Financial Records for Retention and Destruction After Four Years
•	All records and documents (with their supporting documentation) showing proof of receipt, appropriation and disbursement of funds as well as outstanding obligations.

For additional information please see:
•	Rule 113.3: The Comptroller is responsible for the policies with respect to the financial operations of UNICEF. The Comptroller shall prescribe and maintain the accounting records and shall institute all financial systems and procedures, including those in respect of offices away from headquarters, designated to permit accurate and timely financial reporting on all activities by the Executive Director to the Executive Board.

•	Rule 113.10: The UNICEF accounts and other financial records and all supporting documents shall be retained for such period(s) as may be agreed with the Board of Auditors, after which, on the authority of the Comptroller, such records and documents may be destroyed. = http://www.intranet.unicef.org/, Document Repository, Financial Regulations & Rules]

•	Excerpt from CF/FC/025 Rev.1 -Par. 5. The records and documents mentioned in this Financial Circular [CF/FC/025/Rev.01] and its Annex are defined as "Accounting and Financial Records." Under financial rule 113.10, the Comptroller has the responsibility for maintaining records. The Comptroller has assigned this responsibility as follows:

•	Deputy Director DFM Accounts and Deputy Director DFM Finance, if records/documents originate in or are sent to the Division of Financial Management for recording and processing. Directors and Representatives if these records/documents are kept by the originating office(s) and recording is made by the Division of Financial Management through other means of communication (computer media, consolidation of balance sheet, statements, etc.). Directors and Representatives should further assign in writing the responsibility for maintaining them to staff in their office(s).

B.08				Supply Related File Folders
The Supply Division Central File Folders consist of:
•	UNIPAC Supply Lists (SL)/ Non-Standard Supply Lists (NSL)  / Supply Call-Forwards (SCF) / Reimbursable Procurement Requests (PR)  / Re-Orders
•	Invitations to Bids
•	Purchase Orders / Requisitions
•	Sailing File Folders / Shipping Reports
•	Subject File Folders
The Director, Supply Division, established retention periods for Supply Division records. See Supply Division Instruction No. 94 (CF/SU/IN/1984-094) – to be re-confirmed with Suply Division
For additional information please see:
•	Excerpt from CF/FC/025 Rev.1 -Par. 6 -- The procedures outlined in Financial Circular [CF/FC/025/Rev.01] automatically apply to the accounting and financial records of the GCO and Supply Division operations. However, GCO and Supply Division may issue additional guidelines to cover their special requirements. If issued, GCO and Supply Division will send a copy of the additional guidelines to the Comptroller [and the RAM Officer at NYHQ]. http://www.intranet.unicef.org/, Document Repository, Financial Circulars] [see CF/FC/025/Rev.01 Issued under cover of  CF/DFM/1994/05 par. 5 & 6

•	The authorization given above is general and offices may keep certain records beyond the time limits shown when necessary to permit completion and clearance of transactions. However, if offices wish to dispose of any records in advance of the time limits stated, they must request authorization from the Comptroller " and RAM Officer at NYHQ for those previously identified for permanent retention [http://www.intranet.unicef.org/, Document Repository, Financial Circulars] [see CF/FC/025/Rev.01 Issued under cover of  CF/DFM/1994/05 par. 4
RETENTION PERIOD (IN YEARS) FOR SUPPLY DIVISION RECORDS
Document	Retain in Supply Division		Archive Records	Total 
SL /SCF / PR			5-6				4		   9
Reorders			2				2		   4
Bids				3				4		   7
Purchase Orders		3				4		   7
Sailing File Folders			3				4		   7
Subject File Folders
•	Precedent		5				5 rev.		   10
•	Policy /Procedure	2				2		   4
•	Information/Copies	2				2		   4

Based on UNICEF field office comments additional record series and descriptions or examples will be added to the Retention/Destruction list. The additional list could contain subjects reflected in the Global Classification Guide [GCG in Annex A] Main terms and linked to Appraisal Grid. However, to develop the subject specific retention, agreement from internal partners with responsibility for substantive functions is required  [i.e. subject matter experts in division/offices such as Human Resources, Programme or Audit].

B.09				Periodic Review
Review working File Folders periodically to eliminate unnecessary documents, especially prior to office moves. 
The administrative officer should conduct a complete review all office records prior to any move. By identifying and discarding duplicate records, redundant paperwork, document and unnecessary non-document materials, you can reduce the size of File Folders to be transferred. This will make the move more efficient. See Cleaning Up Records for additional guidelines on managing and archiving records prior to office moves. (CF/EXD/1995-023).

B.10				Bi-annual Review
All File Folders should be reviewed bi-annually so that File Folders scheduled for transfer to a file storage facility can be readied and working file folders can be culled and sorted to remove unnecessary material.
The completed and approved UNICEF Form 381 should be used to determine which records may be disposed of and which should be transferred to a file folder storage facility. 
The Records Management Officer may request that the file folder Title Listing (UNICEF Form 351) is completed for all file folder titles within record series. 

B.11				Disposal of Records
The retention of records must adhere to the retention schedule in UNICEF Form 381 - Listing of Record Series. At the time of the Annual Review of Records, there may be records that reach the end of their life cycle, and now are eligible for disposal / destruction. If you have any questions about destruction of records, contact the Records Management Officer, NYHQ prior to destroying anything.
The administrative officer is responsible for ensuring that records are disposed of in accordance with UNICEF guidelines.

Record copies may not be disposed of by any staff member unless disposal has been specifically authorized by the administrative officer.

B.12				Transfer of Records from Field Offices to HQ 
Additional  guidance on when field office records should be transferred to Regional Offices or to a Headquarters location for preservation can be obtained after discussion with the RAM officer at HQ. For example, during security or other emergencies, or when an office or main Programme or project is closing, it is necessary to agree which records:
•	can be destroyed locally,
•	must be transferred to the Regional office
•	must revert to a Hqs location.
Some guidance is provided in the UN Mission Records Schedule. Refer to http://www.un.org/Depts/archives/un_missions.html.
B.13				Summary
1.	The records management appraisal system is designed to preserve the historical legacy of UNICEF and ensure a productive and efficient use of office space.
2.	Every office needs to conduct an initial, periodic and bi-annual inventory of records.
3.	Records appraisal is a shared responsibility. But, the heads of the office, directors, chiefs and administrative officer, play key roles in appraising records under their control.
4.	Use Form 381 to for Record Series Listings. 
5.	Use Form 351 for File Title Listings.
6.	Set a Retention Period for all Record Series. Use the Proposed Retention Schedules as a guideline.
7.	Accounting, Financial and Supply records must be retained according to the retention schedules established by the particular division.
8.	At the time of the bi-annual Review of records, those records from facilitative activities that have reached the end of their life cycle may be disposed upon receipt of documented appoval from the head of office. Extra care must be taken to protect all records from UNCIEF substantive activities.
9.	All questions at the time of record disposal should be directed to the Record and Archive Management Officer prior to destruction of records.

The UNICEF chapter on the Records and Archive Management (from the former UNICEF Field Manual, Book J - Chapter 10 - issued in 1987) provides further information on records inventory, appraisal, retention and destruction.