Fonds AG-069 - Secretary-General Ban Ki-moon (2007-2016)

No. of Boxes: 1096

The functional description of records in AG-069 is based on the retention schedule of the Executive Office of the Secretary-General (EOSG), dated 2011. AG-069 consists of: AG-069-001 - Office of the Deputy Secretary-General S-1893 - Deputy Secretary-General Asha-Rose Migiro's Activities S-1894 - Deputy Secretary-General Asha-Rose Migiro's Trips S-1944 - Deputy Secretary-General Jan Eliasson's Trips S-1945 - Deputy Secretary-General Jan Eliasson's Activities AG-069-002 Office of the Chef de Cabinet S-1941 - Chef de Cabinet Vijay Nambiar's Activities (2007-2012) S-1954 - Chef de Cabinet Susana Malcorra's Activities (2012-2015) AG-069-003 - Executive Office of the Secretary-General (EOSG) S-1942 - Secretary-General's Trips S-1943 - Secretary-General's Activities S-1948 - Personnel (2007-2015) S-1951 - Secretary General Personal S-1953 - Secretariat Departments (2007-2010) S-1955 - Issues (2007-2010) S-1956 - External Relations (2007-2010) S-1957 - Inter-Agency Relations (2007-2010) S-1959 - Executive Office of the Secretary-General (ESOG) - Central Files (2011-2016)

Ban Ki-moon's papers (those under AG-069-003) were screened for immediate disclosure in 2017-18, following the completion of Mr. Ban's final term. Digitized versions of all those archives identified for disclosure are available online.

Series descriptions and file lists available

The screening process for archival records at the United Nations Archives and Records Management Section consists of: - identifying items that feature classification markings in either the Strictly Confidential or Confidential levels. - identifying items, which are either unmarked or which feature Confidential markings, that contain strictly confidential information. Records containing sensitive personal information are classified Strictly Confidential because of privacy restrictions. Both the content and context of the personal information must be considered by the archivist when identifying records that contain strictly confidential information. Folders that consist predominantly (more than 50%) of the following three types of records should be classified Strictly Confidential: - Medical records - Human resources/personnel records - Criminal records (records pertaining to the detention/capture of UN staff for political reasons are NOT inherently sensitive records) All folders (except folders with majority Strictly Confidential items) are to be screened at the item level. When screening folders, the context in which a classified record is found influences whether it should be separated and placed in a subfolder. If separating strictly confidential or confidential items in a folder would destroy an original order that is other than chronological order, then the items should not be separated; instead, the entire folder should be classified Strictly Confidential or Confidential and a statement should be made in the Notes field in TRIM which identifies the items that are strictly confidential or confidential. An example of an item with an original order is a dossier featuring numerous sections with subject descriptions. If the original order can not be re-established for the items being separated, then classified items should not be separated. The amount of information presented about a sensitive subject also influences whether it should be considered strictly confidential. For example, a situation report that merely states �Peter Smith broke his leg on Friday� would not need to be classified strictly confidential, but a situation report with copies of Smith�s medical records attached would. Documents (for example, incident reports) which name someone to be the victim of a crime are not strictly confidential. Exception: documents which name victims of rape or other sexual offences should be considered strictly confidential. Documents which name individuals suspected to have committed the crime, or who have been arrested, charged with the crime, and are awaiting trial are strictly confidential. Exception: records conveying that an individual was wrongfully arrested (for example, arrested by military or police forces of warring factions) are not strictly confidential. The names of leaders of illegal military factions or of extremist political or terrorist groups are not considered strictly confidential. Items conveying the names of members of such groups should be considered strictly confidential if their criminal actions implicate them more as individuals than as members of the group. Items that convey a level of public knowledge about such individuals and groups, or the events they are involved in, should not be considered strictly confidential. The names of hostages do not need to be considered strictly confidential; however, records which convey detail about the personal trauma of the hostage�s experience should be considered strictly confidential. Documents containing sensitive/personal information about internally displaced persons (IDPs) and refugees are strictly confidential. The exception are records documenting the movement of IDPs and refugees, or that only provide information about their location, which are unclassified. Folders that consist predominantly (more than 50%) of documents in languages that the archivist is not proficient in should be noted as NOT YET SCREENED on folders, and they should not be assigned a security level in TRIM. In TRIM, the following statement should be added to the Notes field: Documents in this folder have not yet been screened. If the volume of foreign-language documents in a folder is less than 50%, the processing archivist should: 1) Separate the foreign-language documents and place them in a subfolder stamped with TRIM number information and marked in pencil with LANGUAGE NOT SCREENED. 2) Write on the main folder, beneath the security classification(s), LANGUAGE SUBFOLDER. In TRIM, the following statement should be added to the Notes field: Language subfolder has not yet been screened. English-language documents in the folder should be screened according to the usual procedures. Subfolder foreign-language documents only if, in doing so, context would not be destroyed. Documents accompanied by translations do not need to be subfoldered. If a folder contains foreign-language documents (whether they consist of more than 50% or whether they have been subfoldered), the processing archivist should identify the foreign languages in the Folder Properties in TRIM, in the Language field. The Confidential classification expires twenty years from the date of record creation. During archival processing and security screening where the Confidential classification has not expired, it may be necessary to identify and separate Confidential items so that the security of those items can be upheld during the internal use of those records by ARMS staff and by UN staff. It is not necessary to subfolder Confidential items that date more than twenty years past record creation. Seek the advice of ARMS Archivist on this matter prior to processing a series that contains records that are less than 20 years old. Documents that feature passport numbers or Laissez-Passer numbers are strictly confidential. Government-issued personal identification numbers (Social Security numbers/National Identification numbers, etc.) and drivers� license numbers, are also strictly confidential. Personal identification numbers issued to military personnel by a country contributing troops for the purpose of active duty in UN peacekeeping missions, are unclassified; for these folders, the processing archivists should make a note in TRIM that the folder contains personal identification numbers. It is understood that the decisions made by processing archivists to identify and separate into subfolders unmarked items containing Strictly Confidential information is not definitive. It is subject to review by UN staff at the request of researchers and at the time of records access. All strictly confidential (or confidential) items should be placed in separate subfolders at the front of the file. All items marked Strictly Confidential or Confidential, as well as all sensitive/personal items identified as strictly confidential, will be counted. A stapled group of documents is counted as one item regardless of the number of strictly confidential, sensitive/personal, or confidential items contained within the stapled group of documents. Strictly Confidential markings: - Strictly Confidential - Cryptofax � Only / No Distribution - Eyes Only / For Your Eyes Only - Only - No Distribution Confidential markings: - Confidential - Cryptofax - Restricted - Code Restricted - Personal (If documents marked Personal are sensitive in nature, they should be classified strictly confidential.) - Secret - Limited Code Cables 1. Code Cables prior to 6 June 2008 - Only/No Distribution/Strictly Confidential (any combination of these keywords) = Strictly Confidential - Code Cable/Confidential (any combination of these keywords) = Confidential 2. Code Cables after 6 June 2008 a) Prior to 6 June 2008, all code cables � even if they were administrative in nature � were considered as sensitive and handled as such, resulting in highly restricted access controls in most missions and at United Nations Headquarters. As of 6 June 2008, all cables are to be marked as UNCLASSIFIED, ONLY/CONFIDENTIAL or NO DISTRIBUTION/STRICTLY CONFIDENTIAL, thereby drawing a distinction between non-sensitive and sensitive cable traffic. A good percentage of the non-sensitive cables emanating from UNHQ are broadcast in nature (e.g. announcements of a new policy or event). These broadcast cables are UNCLASSIFIED, and mission business units could benefit from seeing this information (e.g. through subsequent application of a policy to their work environment or through participation in a conference). Accordingly, missions may wish to re-evaluate how such cables are distributed within the mission area. (Information Sensitivity Toolkit, Version 1, 24 February 2010). b) Code cables, like other business records, are deemed to be sensitive or not based on their contents, not on the means of transmission. Accordingly, code cables may be of any sensitivity level and thus may bear any one of the three United Nations security classifications. Note that for code cables, the marking CONFIDENTIAL must always be used in conjunction with the dissemination label ONLY, and the marking STRICTLY CONFIDENTIAL must always be used in conjunction with the dissemination label NO DISTRIBUTION. This policy was formally established in the peacekeeping group with the issuance of Circular Cable 1310 of 6 June 2008 on �Marking code cables for sensitivity and dissemination�. (Information Sensitivity Toolkit, Version 1, 24 February 2010) - UNCLASSIFIED - ONLY/CONFIDENTIAL - NO DISTRIBUTION/STRICTLY CONFIDENTIAL **Please note that if you see Code Cables prior to 6 June 2008, (i.e. from 2007, 2006, etc.), but they follow the screening guidelines in point number 2 � please follow as such. According to the above guidelines, the following types of sensitive/personal documents are to be considered Strictly Confidential: - Curriculum vitae and resumes - Personnel records - Job applications - UN Personal History forms - Letters of recommendation - Medical records (immunizations, correspondence regarding employee�s absence due to illness, notes/letters signed by doctors) - Performance evaluation reports - Academic degrees, transcripts, and professional certificates - Report of Dependence Benefits - Records containing information about staff next-of-kin - Skills questionnaires - Monthly Attendance sheets - Medical records of UN staff as well as non-UN staff, including records which indicate that an individual is mentally unstable - Records which indicate that an individual was using alcohol or drugs - Notifications of casualties (NOTICAS) - Records of legal proceedings for criminal offenses (unless the information about the crime is public) - Case files and other records documenting the investigations of the Board of Inquiry - Photocopies of passports or documents featuring passport numbers - Photocopies of Laissez-Passer (LP) documents or documents featuring Laissez-Passer (LP) numbers - Photocopies of driver�s licenses or documents featuring driver�s license numbers - Settlement of death cases and other legal cases (money awarded to people submitting claims to UN insurer) - Visa applications - Documents featuring bank account numbers - Autopsy reports - Birth certificates and death certificates - Documents naming prisoners and detainees - Board of Inquiry (BOI) Records documenting investigations conducted by the Civilian Police and Military Police units of peacekeeping missions (traffic accidents, property damage, assault, theft, kidnapping, homicide, rape) often contain strictly confidential information. Such documents should be considered strictly confidential if names of suspects are present, and/or if a large amount of personal detail about the victims or witnesses is present. Records include: - Official reports and case conclusions - Crime scene and investigation chronologies - Witness statements - Hand drawn sketches that provide information about the incident - Photographs of the scene of the incident - Photographs of the individuals involved and deceased victims - Transcripts of interviews - Related correspondence Authored by The Winthrop Group, Inc. Approved by Paola Casini, January 2014 Updated March 2016 Approved by Stephen Haufek Chief, Archives Unit UN Archives and Records Management Section