United Nations Department of Peacekeeping Operations Department of Field Support Ref Guidelines

Transcription

1 United Nations Department of Peacekeeping Operations Department of Field Support Ref Guidelines Use of the Peacekeeping & Political Operations Retention Schedule (PORS) v.3 Approved by: Alain Le Roy, USG DPKO Susana Malcorra, USG DFS Effective date: 1 August 2011 Contact: Peacekeeping Information Management Unit, O/COS, DPKO/DFS Review date: To be reviewed no later than August

2 DPKO/DFS GUIDELINES ON Use of the Peacekeeping & Political Operations Retention Schedule (PORS) Contents: A. Purpose B. Scope C. Rationale D. Guidelines E. Terms and definitions F. References G. Monitoring and compliance H. Contact I. History ANNEXURES Acronyms Peacekeeping and Political Operations Retention Schedule (PORS) v.3 A. PURPOSE 1. These guidelines provide detailed instruction on the use of the Peacekeeping and Political Operations Retention Schedule (PORS). 2. The PORS authorizes field mission offices to carry out the specified disposition of their paper and electronic records without the prior approval of ARMS. Based on an estimate of the frequency of current and future use, and taking into account applicable UN rules and regulations, the PORS details the period of time that records need to be retained before their (in most cases) final disposal. 3. The PORS: Ensures the consistent application of disposition procedures for the records of all field missions Helps field mission offices to limit the number of records held in primary office space and servers, thereby freeing up storage areas for other purposes Facilitates information storage and retrieval by identifying redundant or unnecessary records for disposal Permits the destruction of records in the mission area, thus mitigating the costs of shipping and rented storage space in New York, both of which are obligated from mission budgets Identifies records that need to be retained for mission liquidation 2

3 Pinpoints potential archival records for regular transfer to ARMS, thereby protecting valuable historical material from risks associated with field missions B. SCOPE 4. The PORS and accompanying guidance apply to all UN peacekeeping and political missions, including those missions administered by the Department of Political Affairs. PORS is designed to be used in conjunction with the newly-developed Records Retention Schedule for Records Common to UN Peacekeeping and Political Operations (RCUN.P). The RCUN.P details retention policy for records created and collected in the administration of an office, and which do not document its core business activities (e.g. budget records in a legal office). DPKO and DFS offices at UNHQ must use the Peacekeeping Headquarters Retention Schedule (PHRS) for the disposition of their core business records. Both PORS and RCUN.P must be used after the application of the Peacekeeping File Classification Scheme (FCS). The FCS enables the work units to centrally organize records into FCS categories. The FCS categories are then linked to the PORS and RCUN.P, thereby facilitating the timely transfer, destruction and archiving of records. C. RATIONALE 5. PORS v.1 was developed in 2006 by the United Nations Archives and Records Management Section (ARMS) so that UN peacekeeping and political missions could systematically transfer, destroy, and archive paper and electronic records created and collected in the course of their daily operations. The Peacekeeping Information Management Unit, Office of the Chief of Staff, DPKO/DFS, in consultation with DPKO/DFS stakeholders at the operational level, issued a second version of PORS in 2009., In accordance with the scheduled review of these guidelines for January 2011 slight modifications were made to the PORS. The modifications were driven by the disposition exercise related to inactive records of closed missions. D. GUIDELINES 6.1. General Mission Functions The PORS brings together retention requirements for core operations and mission support records of peacekeeping and political missions. With the exception of the HOM and DMS sections (explained below), PORS is organized by mission function rather than by mission office. Each of the 28 functions is subdivided into record series, with one series for each row of the PORS. A record series is a group of records that relate to the same activity and therefore have the same retention period and disposal action. Each office should identify the function or functions for which it is primarily responsible and take note of the retention instructions contained therein. In certain instances, the office of record (i.e. the office ultimately responsible for the record series) is located outside of the mission area. In such cases, the mission office with the primary responsibility for that function within the mission area must follow the retention 3

4 instruction for the non-record (i.e. unofficial) copies. Compare the following two record series: Schedule PKO.HRM006 Series Name Human Resources: Appointment and assignment: local staff management Retention Disposition Notes Vital T + 30 D Records include: personnel V file (equivalent to Official Status File) containing records relating to staff member's accidents, benefits and entitlements, career development, recruitment, awards, notices and condolences, promotion, contract extensions, separation, performance appraisals, etc. Office of Record Mission Personnel Section PKO.HRM007 Human Resources: Appointment and assignment: international staff management T = staff separation from the mission or mission closure. T D Records include: personnel working file containing nonrecord copies of records relating to staff member's accidents, benefits and entitlements, career development, recruitment, awards, notices and condolences, promotion, contract extensions, separation, performance appraisals, etc. V UNHQ DFS/FPD T = staff separation from the mission or at mission closure. Special transfer: original records must regularly be transferred to DFS/FPD via diplomatic pouch. Caveat: prior to file destruction confirm that all necessary records have been received by DFS/FPD. Note that in PKO.HRM007, it is understood that the Mission Personnel Section is responsible for the non-record copies of these records in the mission area; as such, the Mission Personnel Section must maintain these working files until the T trigger is reached (staff separation from mission or mission closure), at which point they may be destroyed. In contrast, offices that maintain ad hoc personnel files for their staff must refer to RCUN.P for retention guidance. The RCUN.P would also apply to ad hoc personnel files created by a Mission Personnel Section in the administration of its own staff HOM and DMS Sections The HOM section may only be used by the office of the mission s designated head: Special Representative of the Secretary-General, Executive Representative of the Secretary- General, Chief of Staff (if acting as Head of Mission), Force Commander (if acting as Head of Mission), or Chief Military Observer (if acting as Head of Mission). Similarly, the DMS section may only be used by the Office of the Director of Mission Support or the Office of the Chief of Mission Support. The Offices of the HoM and DMS/CMS may use the relevant RCUN.P sections to manage records relating to their own offices routine administrative matters (finance, travel, 4

5 personnel, etc.), but wherever the office is in possession of other mission records (even if not designated as the office of record), it is obliged to follow the instruction in HOM or DMS Retention Schedule Description Each record series in the retention schedule is broken into seven fields: Schedule Series Name Retention Disposition Notes Vital Office of Record Each field is described in detail below Schedule The schedule number is the unique identifier for each record series and is to be referenced in all transfer and destruction actions. Each schedule number consists of the designator PKO followed by a three-letter code and a sequential three-digit number. The designator PKO ( Peacekeeping and Political Operations ) signals that the record series listed here are to be used by field mission offices only. The three-letter codes following PKO correspond to the 28 primary mission functions (defined in Section 5.3). Depending on the mission mandate, some functions may not be applicable. Code BUD CIV DDR ELE FEN FIN GOV HRM HRT HUM INM JDL LAE LEG MAT MIL MIN Title Budget Civil Affairs Disarmament, Demobilization, Reintegration Elections Facilities & Engineering Finance Governance Human Resources Human Rights Humanitarian Affairs Information Management Judicial & Legal Systems Law Enforcement Legal Management & Integration Military Mine Action 5

6 MOV OVE POL PRC PRO PRP PUC SAF SEC SSR TRL Movement & Transport Oversight Political Affairs Prisons & Corrections Services Procurement & Contracts Management Property Management Public Information & Communications Safety Management Security Management Security Sector Reform Translation & Interpretation Additionally, there are two codes specific to peacekeeping mission offices, as explained above: Code DMS HOM Title Office of the Director of Mission Support or Chief of Mission Support Office of the Head of Mission The sequential three digit number following the function code refers to the record series. 001 is used for Policy, procedure, and best practice, and 002 is used for reporting activities from the field to HQ. All other numbers are assigned arbitrarily Series Name The text in the Series Name field reflects the function and activity covered by the record series. For example: PKO.DDR010 DDR: Capacity building Function Activity Activities under 001 and 002 are the same for each function: 001 Policy, procedure, best practice Records include: policy, standing operating procedure, guidelines, manuals, and best practices documents (after action reviews, end of assignment reports, surveys of practice, lessons learned etc.) for 1.) the function as a whole (e.g. DDR) or 2.) any activity associated with the function (e.g. Capacity building as it relates to DDR). Applies only to records generated at field missions. HQ-authored policy and guidance records are to be maintained by UNHQ. Finalized records that have an application beyond a single peacekeeping or political operation should be electronically transmitted to the Peacekeeping Best Practices Section (mailto:peacekeeping-policysupport@un.org) for possible inclusion in the DPKO/DFS Policy and Practice database. 6

7 002 Reporting to UNHQ Records specifically designated as reports that are sent at regular intervals from a field mission to a UNHQ office as a matter of standard operating procedure. Reports may be related to 1.) the function as a whole, or 2.) any activity associated with the function. Disposition decisions on reports internal to the field mission should be based on report contents (i.e. refer to other record series within the relevant functional area) Retention Retention periods are generally expressed as a code plus a number. The retention codes are as follows: Code Name Description C Current Year Maintain until the end of the current year record is dated B End of Biennium Retain until the end of the biennium E Mission Closure Retain until mission closure P While Needed Retain while needed to conduct UN business S Superseded Retain until superseded or obsolete T Terminated Retain until termination, settlement or completion The number is the number of years the records are to be kept after the event or trigger indicated by the code. For example, if the retention is C + 2, and the current year the record is dated is 2008, the record would be retained until end of 2010 and destroyed thereafter. The retention periods give the total time the records are to be retained, regardless of their location. If the records are to be retained for more than three years, they should be sent to the mission s records storage facility at the threeyear mark. Where two retention codes are listed, e.g C+3, E, the first action is to be applied while the mission is still in operation, and the second is to be applied at mission closure. For the example C+3, E, records three years of age would be destroyed on an annual basis; at mission closure, all of the records would be destroyed, regardless of age. Records of the HoM and CMS/DMS, and other high-value records as determined by the mission, should be sent directly to ARMS at the threeyear mark. ARMS will facilitate records retrieval should the mission require these records at a later date. Contact ARMS (arms@un.org) for more details Disposition To the right of the retention code is a Disposition code. This indicates what will happen to the records when they have passed their retention period and are no longer needed for business purposes. Most records will have a disposition code of D for destroy. A small portion of the records will be designated A for archival review. These records must not be destroyed by the mission. They will be reviewed by ARMS for possible inclusion in the UN s collection of documents to be preserved for their historic value. 7

8 Notes Vital Note that a designation of A does not guarantee that the records will be retained permanently as archives. To the right of the disposition code are Notes which give example records in the series and provide additional information about the retention of the records, including specific information about event triggers. Note that the list of records in each series is not exhaustive, and may be locally amended to provide a greater level of specificity to end users. In rare instances, record copies or non-record copies must be transferred to a repository other than ARMS, or in addition to ARMS. For example, at the end of the mission s mandate, reference copies of all open audit case files must be forwarded to the DFS/FBFD Liquidation Unit. Such instructions are marked as Special Transfer in the Notes field. Following the Notes column is the Vital column. Vital records are records the mission would need to continue its normal activities in the event of a disaster or emergency. Record series that are considered vital across all missions have been indicated with the letter V. A mission s Information Management Officer should identify any additional vital record series through the implementation of a mission vital records programme. Vital records are not necessarily permanent records. Vital records protection periods are frequently shorter than the retention period of the record. Vital records are specially protected only for the period of time when their uniqueness warrants protection. For example, accounts receivables are vital records only until the payment has been received and booked. Each field mission must develop its own vital records programme. More information on establishing a vital records programme is available at: sksandprotectingvitalrecords.htm Office of Record The function or office listed in the Office of Record column is responsible for keeping and preserving the official copy of that record. Caveat: Due to slight variations in naming conventions among missions, the name of the office of record may not match exactly with the equivalent office in your mission. Consult your mission s Information Management Officer for any necessary clarifications Field Mission Core Functions BUD Budget Records covering all aspects of a field mission budget process. CIV Civil Affairs Records relating to the work at the social, administrative and subnational political levels to facilitate a countrywide implementation of peacekeeping 8

9 mandates and to support the population and government in strengthening conditions and structures conducive to sustainable peace. DDR Disarmament, Demobilization and Reintegration Records relating to the administration and coordination of the disarmament, demobilization and societal reintegration of former combatants, including rehabilitation and repatriation. ELE Elections Records relating to the administration and coordination of electoral management or electoral assistance activities. FEN Facilities & Engineering Records that deal with facilities planning, building management and infrastructure requirements of peacekeeping missions, including facilities/structures for military components; the provision of facilities and engineering services to local governments, including the construction and maintenance of prison facilities. FIN Finance Records that deal with the support and management of field mission financial matters. Legal agreements (Letters of Assist, SOFAs, SOMAs): See LEG Memoranda of Understanding: See LEG Commercial contracts: See PRO GOV Governance Records relating to the capacity building and economic development of a field mission's host government(s). HRM Human Resources Records relating to personnel matters for civilian staff and individually seconded military and police officers and observers serving in field missions; official status and working personnel files for appointed, assigned and seconded individuals in field missions; training records. Training programmes for local populations: See Capacity Building under the relevant functional category Education programmes and campaigns targeting local populations: See CIV and PUC Memoranda of understanding for staffing: See LEG OIOS investigation of staff disciplinary matters: See OVE HRT Human Rights Records relating to the administration and coordination of human rights activities. HUM Humanitarian Affairs Records relating to the administration and coordination of humanitarian activities, including the provision of assistance to victims of war and natural disasters. INM Information Management Records that pertain to document, records, archives, information, content and knowledge management in field missions. Records that deal with hardware, software, communication systems, information technology and software development and use in field missions. Records relating to cartography and geography, including maps and geo-databases. Communications & IT asset management: See PRP JDL Judicial & Legal Systems Records relating to the establishment and bolstering of judiciary structures to strengthen the rule of law. 9

10 LAE Law Enforcement Records relating to the provision and management of police and related activities in peacekeeping missions; rotation of formed police units; training materials for local police services in mission areas. Records relating to recruitment/secondment and travel of individual field personnel: See HRM Records relating to travel of formed police units: See MOV Training records for UN-seconded police and formed police units: See HRM LEG Legal Records relating to field mission and HQ legal matters and agreements, including letters of assist and memoranda of understanding, regardless of topic Peace and cease-fire agreements between conflicting parties: See POL Contracts: See PRO MAT Management & Integration Records having broad application across three or more UN business functions (e.g. administrative policies); records relating to the integration of 3 or more UN business functions (e.g. records relating to a peacekeeping mission's Joint Operations Centre); records relating to the supervision of and responsibility for increasing the performance of others, allocating labour material and capital to produce a high return, and decision-making. Use HRM for personnel-related records MIL Military Records relating to the provision and management of military and related activities in peacekeeping missions; rotation of military contingents; military-civil coordination. Records relating to recruitment/secondment and travel of individual field personnel: See HRM Records relating to travel of military contingents: See MOV Training records: See HRM MIN Mine Action Records that deal with the administration and coordination of mine action activities. MOV Movement & Transport Records relating to movement of equipment, military contingents, and formed police units within and to/from peacekeeping missions; records relating to the movement of all personnel and equipment inside a mission area. For travel of individuals to and from mission area, see HRM For transport safety, see SAF OVE Oversight Records dealing with the review of the administrative and substantive work of field missions. Activities include Board of Inquiry case work, OIOS investigation, and internal and external auditing. Records relating to investigations of local police service: See LAE Records relating to investigations of local, non-un-related crime where the UN has executive law enforcement functions: See LAE Records relating to UN staff disciplinary matters not resulting in a formal investigation: See HRM 10

11 POL Political Affairs 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. PRC Prisons & Corrections Services Records relating to the establishment and bolstering of corrections structures to strengthen the rule of law. PRO Procurement & Contracts Management Procurement cases, including contracts, purchase orders, requests for proposals, and vendor registration files. PRP Property Management Records relating to the deployment, rotation, replenishment, inventory, write-off, and transfer of UN-owned and contingent-owned equipment in peacekeeping missions. Requisition of supplies and services through the mission procurement section: See PRO Letters of Assist: See LEG PUC Public Information & Communications Records relating to the creation, management, and dissemination of materials that document, describe, and promote the field mission s work. SAF Safety Management Records relating to peacekeeping mission safety programmes and practices, including physical, personnel and travel safety; investigations of safety incidents. Administrative investigation of violations of UN rules and regulations: See OVE SEC Security Management Records relating to peacekeeping mission security programmes and practices, including physical, personnel and travel security; investigations of security incidents. Administrative investigation of violations of UN rules and regulations: See OVE Emergency communications and notification systems: See INM SSR Security Sector Reform Records relating to security sector reform, including assessment, review and reform of the security sector and its institutions. For specific aspects of Security Sector Reform (e.g. Prisons and Corrections Services), refer to that category (e.g. PRC) TRL Translation and Interpretation Records relating to the provision or receipt of translation and interpretation services Responsibilities The Head of Mission is responsible for ensuring that all mission offices comply with the PORS Designated mission Records Disposal Authorities are responsible for authorizing the disposal of records in accordance with the PORS. Records Disposal Authorities must be staff members at the P4 level or higher who have an intimate knowledge of the records in question. 11

12 Designated mission records management focal points are responsible for liaising with the mission s Information Management Officer on records transfer matters, including the creation of file transfer lists. Records management focal points are also responsible for liaising with the mission s Information Management Officer in the bulk destruction of sensitive materials The Peacekeeping Information Management Unit, OCOS, DPKO/DFS, is responsible for periodically reviewing and updating the PORS in consultation with ARMS The DFS Information and Communications Technology Division (ICTD) is responsible for supporting the proper management of DPKO/DFS electronic systems to ensure appropriate electronic records disposition In accordance with Section 4.2 of ST/SGB/2007/5, if the PORS does not provide disposition instructions for a particular record series, the record series may not be destroyed without signed authorization of the Chief, ARMS. E. TERMS AND DEFINITIONS Active record A record needed to carry out business duties and subject to frequent use Disposition The range of processes associated with a record as it goes through its life cycle; common examples of disposition processes are file transfer and file destruction Disposition trigger Any event that initiates a disposition action, such as the completion of a business activity or the end of the fiscal year Inactive record A record no longer used to carry out business duties but preserved until it comes to the end of its life cycle Life cycle The time spanning from a record s creation to its destruction or addition to a permanent archive Non-record copy Any non-official copy of a UN record Office of record The administrative unit responsible for the maintenance, preservation and disposition of official records Official record Master or official copy of a UN record; the official record is not necessarily the original Record series A group of records that relate to the same activity and therefore have the same retention period and disposal action Records hold The act of temporarily preserving records due for destruction pending the completion of an investigation or other activity requiring the records Retention schedule A comprehensive instruction covering the disposition of records to assure that they are retained for as long as necessary based on their administrative, fiscal, legal and historic value 12

13 Semi-active record A record that is only occasionally needed for reference Transitory record Data or information required for only a limited time to ensure the completion of a routine action or the preparation of a subsequent record Vital record a record which is necessary to ensure the ongoing operation of an organization in the event of a disaster or other disruption to normal operating conditions F. REFERENCES Normative or superior references ST/SGB/2007/5 Record-keeping and the Management of United Nations Archives DPKO/DFS Policy Directive Records Management Related procedures or guidelines Peacekeeping File Classification Scheme Peacekeeping Headquarters Retention Schedule (PHRS) Use of the Peacekeeping Headquarters Retention Schedule (PHRS) Retention Schedule for Records Common to All UN Peacekeeping and Political Operations (RCUN.P) Use of the retention schedule for Records Common to All UN Peacekeeping and Political Operations 13

14 G. MONITORING AND COMPLIANCE Mission records management focal points, as designated by each mission s Information Management Officer, will monitor compliance with these guidelines. H. CONTACT The Peacekeeping Information Management Unit should be contacted for information about these guidelines at peacekeeping-imu@un.org. I. HISTORY PORS v.2 was approved on 13 January The guidelines on the use of PORS were issued and approved on 20 November These revised guidelines reflect the changes that were made to PORS and that resulted in PORS v.3. 14

15 ACRONYMS DFS/FBFD DFS/FBFD/MCMS DFS/FPD DFS/ICTD DFS/LSD DFS/LSD/MSS DFS/LSD/ATS DFS/LSD/STS DFS/OASG DFS/OASG/CDU DFS/OUSG DPA DPA/EAD DPI DM DM/OHRM DM/OHRM/MSD DM/OPPBA/ABCC DM/OCSS/FCSD/CAS/ARMS DM/OCSS/PD DM/OPPBA/AD DM/OPPBA/PFD DM/OPPBA/PPBD DPKO DPKO/OMA DPKO/OO DPKO/OROLSI DPKO/OROLSI/CLJAS DPKO/OROLSI/DDRS DPKO/OROLSI/MAS DPKO/OROLSI/OASG DPKO/OROLSI/PD DPKO/OUSG DPKO/DPET DPKO/DPET/ITS DPKO/DPET/PBPS DSS DSS/DRO/POSS OCHA OIOS OIOS/IAD OIOS/ID OLA UNLB UNOG UNOV Field Budget and Finance Division Memorandum of Understanding and Claims Management Section Field Personnel Division Information & Communications Technology Division Logistics Support Division Medical Support Service Air Transport Section Surface Transport Section Office of the Assistant Secretary-General, DFS Conduct & Discipline Unit Office of the Under-Secretary-General, DFS Department of Political Affairs Electoral Assistance Division Department of Public Information Department of Management Office of Human Resources Management Medical Services Division Advisory Board on Compensation Claims Archives & Records Management Section Procurement Division Accounts Division Peacekeeping Finance Division Programme Planning and Budget Division Department of Peacekeeping Operations Office of Military Affairs Office of Operations Office of Rule of Law and Security Institutions Criminal Law and Judiciary Advisory Service DDR Section Mine Action Service Office of the Assistant Secretary-General Police Division Office of the Under-Secretary-General, DPKO Policy Evaluation and Training Division Integrated Training Service Peacekeeping Best Practices Section Department of Safety and Security Peacekeeping Operations Support Service Office for the Coordination of Humanitarian Affairs Office of Internal Oversight Services Internal Audit Division Investigations Division Office of Legal Affairs United Nations Logistics Base (Brindisi, Italy) United Nations Office in Geneva United Nations Office in Vienna 15