UN/CS/RAI/USAA/DB01/2004-00138
DPKO
SUBJECT CLASSIFICATION FILING SCHEME (SCS)
6 September 28
TABLE OF CONTENTS
2. Development of the SCS
3. Basic principles of the SCS
4. Finding a category
5. Choosing categories for offices
6. Adding categories
7. Mission-related files
8. Chronological files
9. Training
DPKO Subject Classification Filing Scheme
1. Description
The uniform Subject Classification Filing Scheme (SCS) described in this handbook is established for use throughout DPKO Headquarters. The purpose is to bring together in one system all the records that DPKO holds. This system is designed for use in both paper and electronic document management systems.
The filing plan was developed after consultation with all operating units within DPKO and with the assistance of the UN Archives and Records Management Service (ARMS). It incorporates elements of the existing filing systems of each of the operating units.
The SCS is an alphanumeric filing plan. Each filing code begins with a three letter
alphabetical designator for the primaryncipal
subject: BUD for budget-related records,
LEG for legal issues, and so on. A list
of the principal subjects follows this introduction.
Under each alphabetic subject are numbered
subjects. In all primary subject
categories except Reports (REP), number 1 is reserved for Administrative
matters (for example, HRM 01), 2 is reserved for Policy (for example, MIL 02),
3 is reserved for Planning (for example, LOG 03), 4 is reserved for Standard
Operating Procedures, 5
is reserved for Partnerships, 6 is reserved for Best Practices,
and 7 is reserved for Reference. After
the first seven numbers, the numbers are arbitrarily assigned to topic
categories.
Records
in a Planning file are those created or received as a part of the exercise of
any function where DPKO has the lead.
That includes all planning within DPKO for its own purposes. If the planning activity is led elsewhere and
DPKO is supporting or partnering with another entity, these records will go
under the secondary category for Partnerships (05).
In some instances, the numbered subject
categories are subdivided more than once.once or twice. A subcategory may
either be numeric or alphabetical. For
example, under PCR, which is the alphabetical designator for State-building/Peace-buildingkeeping/Post
Conflict Reconstruction, number 45
is Partnerships or PCR 054. Partnerships the
This then has
a subfile for Regional Organizations (PCR 045-01).,
Regional Organizations and it in turn hthen
hasas alphabetical subcategories for
specific organizations such as the African Union. The alphanumeric
code for documents related to DPKO’s
work with the African Union regarding
State-building/Peace-building/Post Conflict Reconstruction would be coded PCR
This handbook includes an alphabetical index to the subject categories in the SCS. The index includes every entry in the SCS plus additional terms that a person filing might use to characterize the item to be filed. The index will grow and change as more terms are used.
Under each SCS primary
category (except the REP Reports category) the secondary category numbered 023 is
PlanningPartnershipsStandard
Operating Procedures. Records in a Planning
file are those created or received as a part of the exercise of any function
where DPKO has the lead. That includes
all planning within DPKO for its own purposes.
If the planning activity is led elsewhere and DPKO is supporting or
partnering with another entity, these records will go under s45a coordination
file, either by the subject of the coordination or
by the name of the entity that is the partner.
A basic outline of
file categories to be used in each office in PKO that maintains separate files
has been developed. Any
office in DPKO can use any file category from the SCS. ADM, for example, is not reserved just for
the use of the administrative staff, and MIL is not just for the use of the
Military Division. All offices should
use any of the official categories that they need to maintain and easily
retrieve the records they create.
If an office finds that it has material
that does not fit easily within the current SCS categories at the first,
second, or third level, the office should contact OUSG Front Office and request
that an additional file category be established. Additions to categories at below
the third levellevel four and below may be made by
the office concerned with notification to the OUSG Front Office.
Some offices file
records by mission,
while others file by subject matter. Either practice will
work with the SCS. Offices
filing by mission will adopt the SCS to organize
the mission file. For example,
MONUC’s budget would be filed as follows: MONUC /BUD /09. Offices
filing by subject would file as BUD /09.Some
offices maintain records on each mission supported by the office. Sometimes these are
entirely separate file series from the records of the Headquarters office, and
sometimes they are a separate file on a subject but interfiled with the
headquarters records. Either
practice will work with the SCS.
For mission files, the mission code precedes the alphanumeric
designator. For example, if the office
maintains a file on force generation for MONUC, the code for military force
generation is MIL 089, so the
Headquarters file on force generation for MONUC is MONUC MIL 089. In an electronic system these codes will
automatically bring the regional files together; in paper, the office can choose
to interfile the regional MIL 089
files after
the Headquarters MIL 089 or keep
them as a separate series.
Many offices retain duplicate copies of records in a chronological file. Offices may, if they choose, continue to maintain chronological files, but they should ensure that all official records are in the SCS and that the chronological file contains only duplicates preserved for convenience of reference.
The OUSG/Front
Officeproposed records management officer ARMS in
coordination with ARMSOUSG Front Office will coordinatedevelop
and provide training on using thethe
application of SCS. All staff members who are responsible for
filing official records within their areas will receive training.
1. ADM Administration and Management
2. AUD Audit, Oversight, Evaluation, Investigations
3.1.
4.3.
CIV Civil Affairs
5.4.
CSM Commodities & Services Management
6.5.
DDR DDR/DDRRR
7.6.
ELE Electoral Affairs
8.7.
EXT External Relations/Public Information
9.8.
FEN Facilities and Engineering
10.9.
FIN Financial Management
11.10.
HRM Human Resource Management
12.11.
HRT Human Rights
13.12.
HUM Humanitarian Affairs
14.13.
ICT Information & Communications
Technology
15.14.
INM Information Management
16.15.
LEG Legal
17.16.
LOG Logistics
18.17.
MIL Military
19.17.
20.18.
ORG Organizational and Policy Development
21.19.
PCR State-building / Peace-building
/ Post Conflict Reconstruction
22.20.
POL Political Affairs
23.21.
REP Reports
24.22.
RUL Rule of Law
25.23.
SAS Security and Safety
Definition: Records on matters common to all units in DPKO, including policy decisions regarding administrative matters, the Strategic Framework, USG’s Programme Management Plan, area work plans, office inventories, HQ space planning, and procurement of items and services for HQ.
Application: HQ functions
Special instructions: Use HRM for Personnel-related records, not ADM.
Definition: Records that deal with reviewing and evaluating the administrative and substantive work of DPKO.
Application: HQ and Field Mission functions
Special instructions:
Definition: Records covering all aspects of the budget process.
Application: HQ and Field Mission functions
Special instructions:
Agreements (MOUs, Letters of Assistance, SOFAs, SOMAs) are filed under LEG 09 Agreements.
Commercial contracts are filed under LEG 10.
Definition: Records
relating to matters of assistance to local civilian authorities and communities
to restore political, legal and social infrastructures that support democratic
governance and economic development.
Application: HQ and
Field Mission functions
Special instructions:
Definition: Records on providing goods and services to the field missions.
Application: Field
Special instructions:
Contracts for HQ or field goods and services are filed under LEG 10 Contracts. Documents on the management of field contracts are filed under CSM 07 Contract administration.
Definition: Records relating to the administration and coordination of activities including disarmament, demobilization and re-integration of former combatants sometimes also including national forces.
Application: HQ and Field Mission functions
Special instructions:
Definition: Records relating to the administration and coordination of electoral assistance activities.
Application: HQ and Field Mission functions
Special instructions:
Definition: Information from external sources received by DPKO and communications that document, describe, and promote the work of DPKO and/or the UN.
Application: HQ and Field Mission functions
Special instructions: Speeches and Public briefings are filed in EXT –11 Speeches and public briefings; internal DPKO briefings are filed under REP 09.
Definition: Records that deal with the facilities planning, building management and infrastructure requirements of the field missions including facilities/structures for military components.
Application: Field
Special instructions: HQ facilities management is filed in ADM 07, not in FEN.
Definition: Records that deal with the management and monitoring of Field Mission financial matters and Headquarters operations.
Application: HQ and Field Mission functions
Special instructions:
Mine Action Voluntary Trust Fund is filed under Financial Mangagement (FIN) 09, not under Mine Action (MIN).
Agreements (MOUs, Letters of Assistance, SOFAs, SOMAs) are filed under LEG 09 Agreements.
Commercial contracts are filed under LEG 10 Contracts.
Definition: Records relating to civilian, police, and military personnel matters at HQ and civilian personnel in field missions.
Application: HQ (All categories of personnel) and Field
(civilian personelpersonnel
only)
Special instructions:
File all records relating to training policy for civilian, police, and military personnel under HRM.
File all records relating to conduct and disciplinary matters policy for civilian, police, and military personnel at HQ and in the field missions under HRM.
File SG’s reports on authorized staffing under HRM 06
File MOUs for staffing under LEG 09.
Definition: Records relating to the administration and coordination of human rights activities.
Application: HQ and Field Mission functions
Special instructions:
Definition: Records relating to the administration and coordination of humanitarian activities, including the provision of assistance to victims of war and natural disasters.
Application: HQ and Field Mission functions
Special instructions:
Definition: Records that deal with hardware, software, telecommunications and information technology and software development.
Application: HQ and Field Mission functions
Special instructions: Records related to the development of electronic applications are filed here; applications in use are in INM.
Definition: Records that pertain to document, records, archives, information, content and knowledge management; mail operations, registry and tracking; information distribution, collaboration and sharing.
Application: HQ and Field Mission functions
Special instructions: Records related to electronic applications in use are filed here; records relating to the development of software applications are filed in ICT.
Definition: Records that deal with UN-DPKO legal matters in the field missions and liaison with OLA.
Application: Field
Special instructions:
LEG 07 Applicable laws is filed alphabetically by country.
File all Agreements (MOUs, Letters of Assistance, SOFAs, SOMAs) in LEG 09 Agreements.
File all contracts, both for HQ and field, in LEG 10 Contracts. Management of field contracts is filed in CSM 04 Contracts administration.
Definition: Records that deal with the day-to-day coordination and provision of logistics support to the field missions; records that deal with transportation.
Application: Field
Special instructions: In addition to LOG 09 for
Contingent-owned equipment see also Financial Management (FIN) and Military
(MIL).
Definition: Records relating to the provision and management of military and related activities in peacekeeping missions.
Application: Field
Special instructions:
File records dealing with training policy under HRM 02 Policy.
File records dealing with conduct and disciplinary matters under HRM 11 Conduct.
MIL 03-02 Military
- Planning – Concepts of Operation is
filed alphabetically by mission, country, or region under review.
In addition to MIL
10-01 for Contingent-owned equipment, see also Financial Management (FIN) and
Logistics (LOG) .
Records relating to Security Sector Reform are filed under PCR State-building / Peace-building / Post Conflict Reconstruction.
Definition: Records that deal with the administration and coordination of mine action activities.
Application: HQ and Field Mission functions
Special instructions:
Mine Action Voluntary Trust Fund is filed under Financial Management (FIN) 09 Trust Funds.
Pledges, contributions for mine action are filed under FIN 09-02 Donors.
Cost plans for mine action are filed under FIN 09-03 Cost Plan.
Payments for mine action are filed under FIN 09-04 Expenditures.
Financial reports for mine action are filed under FIN 09-05 Status.
MIN 02-01 National policies is filed alphabetically by name of country.
MIN 07 Current operations has subordinate categories 07-01 UN operations and 07-02 Non-UN operations. Both subordinate categories are filed alphabetically by name of country.
Definition: Records that deal with the dynamics of armed conflict, including activities to help resolve them through peaceful processes, such as negotiation processes and good offices.
Application: HQ and Field Mission functions
Special instructions:
Definition: Records relating to the administration and
coordination of state-building, peace-building,
and post conflict reconstruction activities, such asincluding
institutional capacity building, and
good governance, security sector reform,
constitution making, and economic development. It
also encompasses civil affairs, including assistance to communities, and
participatory political and civic processes.
Application: HQ and Field Mission functions
Special instructions:
PCR 04
Partnerships has subordinate categories 04-01 Regional organizations and 04-02
UN system. Both subordinate categories
are filed alphabetically by name of organization or acronym.
Definition: Reports and briefings on DPKO activities
including , including
those to the General Assembly and the Security Council.
Includes talking points and, records related to the
work of standing (ACABQ, Fifth committee) and
temporaryand records of
committees, task forces, and working groups..
Application: HQ and Field Mission functions
Special instructions:
Established
committees, working groups and task forces are filed alphabetically by title or
acronym. Newly formed committees, working groups and task forces are filed and
assigned a filing code as they are established.
REP 023
General Assembly is filed chronologically.
REP 101-01
Assessment reports includes pre-deployment, verification, and security reports.
REP 11
Meetings includes agendas and minutes of meetings.
Visits
and briefings for visits are filed under REP 09 Briefings.
Public briefings and speeches are filed under External Relations\Public Information (EXT) 11 Speeches and public briefings.
Definition: Records relating to the provision and
management of civilian police officers, and activities relating to the
establishment and strengthening of civilian police, judiciary and corrections
structures to strengthenuphold the
rule of law.
Application: HQ and Field Mission functions
Special instructions: Records relating to civilian police are filed under RUL except for Civilian Police records dealing with training policy (filed under HRM 02 Policy) and conduct and disciplinary matters (filed under HRM 11 Conduct).
Records relating to Security Sector Reform are filed under PCR State-building / Peace-building / Post Conflict Reconstruction.
Definition: Records relating to safety and security programs and practices, including physical security, personnel and travel security, and security standards.
Application: HQ and Field Mission functions
Special instructions:
Security assessments are only those assessments directed by the Secretary-General or the Under Secretary-General for DPKO. Assessments include high-level technical assessments.