UN/CS/RAI/USAA/DB01/2004-00138

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

USER HANDBOOK

 

DPKO SUBJECT CLASSIFICATION FILING SCHEME (SCS)

 

68 October 2004 September 28
TABLE OF CONTENTS

 

 

Introduction

1.      Description

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

 

Primary File Subject Categories

 

Primary File Subject Categories Definitions, Application, Special instructions

 

DPKO Subject Classification Filing Scheme

 

DPKO SCS Filing Index


INTRODUCTION

 

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.

 

2. Development of the SCS

 

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.

 

3. Basic principles of the SCS

 

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 DPKOs work with the African Union regarding State-building/Peace-building/Post Conflict Reconstruction would be coded PCR 05-01-01.

 

4. Finding a category

 

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.

 

 

5. Choosing categories for offices

 

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.

 

6. Adding categories

 

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.

 

7. Mission-related files

 

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, MONUCs 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.

 

8. Chronological files

 

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.

 

9. Training

 

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.

PRIMARY FILE SUBJECT CATEGORIES

 

1.      ADM Administration and Management

2.      AUD Audit, Oversight, Evaluation, Investigations

3.1.BUD Budget

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.MIN Mine Action

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


PRIMARY FILE CATEGORIES - DEFINITIONS

 

ADM Administration and Management

Definition: Records on matters common to all units in DPKO, including policy decisions regarding administrative matters, the Strategic Framework, USGs 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.

 

 

AUD Audit, Oversight, Evaluation, Investigations

Definition: Records that deal with reviewing and evaluating the administrative and substantive work of DPKO.

 

Application: HQ and Field Mission functions

 

Special instructions:

 

 

BUD Budget

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.

 

 

CIV Civil Affairs

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:

 

 

CSM Commodities & Services Management

Definition: Records on providing goods and services to the field missions.

 

Application: Field Mission functions

 

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.

 

 

DDR Disarmament, Demobilization and Re-integration

 

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:

 

 

ELE Electoral Affairs

 

Definition: Records relating to the administration and coordination of electoral assistance activities.

 

Application: HQ and Field Mission functions

 

Special instructions:

 

 

EXT External Relations/Public Information

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.

 

 

FEN Facilities and Engineering

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 Mission functions

 

Special instructions: HQ facilities management is filed in ADM 07, not in FEN.

 

 

FIN Financial Management

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.

 

 

HRM Human Resource Management

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 SGs reports on authorized staffing under HRM 06

File MOUs for staffing under LEG 09.

 

 

HRT Human Rights

 

Definition: Records relating to the administration and coordination of human rights activities.

 

Application: HQ and Field Mission functions

 

Special instructions:

 

 

HUM Humanitarian Affairs

 

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:

 

ICT Information & Communications Technology

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.

 

 

INM Information Management

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.

 

 

LEG Legal

Definition: Records that deal with UN-DPKO legal matters in the field missions and liaison with OLA.

 

Application: Field Mission functions and liaison with OLA.

 

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.

 

 

LOG Logistics

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 Mission functions

 

Special instructions: In addition to LOG 09 for Contingent-owned equipment see also Financial Management (FIN) and Military (MIL).

 

MIL Military

Definition: Records relating to the provision and management of military and related activities in peacekeeping missions.

 

Application: Field Mission functions

 

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.

 

MIN Mine Action

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.

 

 

POL Political Affairs

 

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:

 

 

PCR State-building / Peace-building / Post Conflict Resolution

 

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.

 

 

 

REP Reports \ Briefings

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.

 

RUL Rule of Law

 

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.

 

SAS Security and Safety

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.