for format consistent with new postings

Annex 5


DAP Digital Assessment Survey

List of Policies, Procedures and relevant background documents

United Nations Children’s Fund - UNICEF





Date registered/ posted here

Title of Document

Description of content

Document reference/cross reference and size

Date on item or published

Comment: Type of document and other comment e.g .relevance to specific part of project

Direct Web address if available






UNICEF 2000 Jan 01  Procedural Guidelines for UNICEF Records and Archives;  [Administrative Instruction] identifies responsibility of central Records and Archives Management Unit and individual section/units. for: management, preservation, conditions for temporary retention, transfer of non-current records, conditions of access and disposal. It identifies individual staff members responsibility, legal title and inviolability of records, archival guidance to offices away from Headquarters and explanation of terms CF/AI/1983‑359..[pp005] [also registered as RAM94210.doc] 1983



Part V = Explanation of Terms




UNICEF 2000 Jan 01

. UNICEF Records and Archives [Executive Directive] states general rules with regard to preservation of records of UNICEF in accordance with United Nations practice and prescribes custodial responsibility

."Archival material & records of UNICEF are inviolable and may not be destroyed or removed from UNICEF premises without specific written authorisation....records may be made available to UNICEF/United Nations officials and other interested parties subject to any conditions under which the material was accepted..."

 CF/EXD/1983‑2867. [pp001] [also registered as RAM94209.doc


Policy – Ongoing preservation and access to Archival material and records AUTHORITY FOR RECORDS AND ARCHIVES




UNICEF 2000 Jan 01

Organizational Filing  Scheme -  UNICEF’s Executive Directive

Including chart on Process and reasons for



Overview of Policy and reason for importance

UNICEF 2000 Jan 01

Organisational Filing included Skeleton of  Global Classification Guide (GCG). -         

Breakdown of GCG draft codes/terms & sub‑codes are available 

CF/EXD/1990‑002/ANX.1;  also CF/NYH/IRM/RAM/1997‑097; ‑099

Samples of File folder codes related to GCG AD = Administration,  ER = External Relations, FI = Finance-Budget- Accounts [all three in zip file]


Records Classification, CF/NYH/.. IRM/RAM/1996-230;1997-067;-068;-069

 Global Classification Guide[see also Draft Record Series related to GCG  ram02162]

UNICEF 2000 Jan 01

Cleaning Up Records ".  Instruction from Executive office directed to NY staff concerning clean up of files with the criteria defined

Guidelines are useful for all offices to reduce space requirements in all premises and identify materials that need to be properly appraised, preserved and subsequently archived. Directors co-ordinate the clean up process



Procedure for implementation and assigning responsibility: Identifies records categories which may be discarded and encourages all staff to properly list their important, and/or historical records

UNICEF 2000 Jan 01

UNICEF previous issuances Related to E-mail - Executive Directives and Information Circulars

Use of Electronic Mail ;A Guideline on Using cc:Mail; E-mail Etiquette; and Records and Archives

CF/EXD/1996-015 of 03 October 1996); CF/IC/1996-017 CF/IC/NYH/1994-011 CF/EXD/1983-2867

see:UN-CS-RAI-USAA-DB01-2005-00165 for cf-exds & CF-IC see

UN-CS-RAI-USAA-DB01-2005-00159- for early draft-


E-Mail, Shows the evolving awareness and policy related to e-mail & elec. Records

UNICEF 2000 Jan 01

"Setting Up Operations in Field Offices" - The Records and Archive part

The two pages on Records & Archive Management are in Chapter 6, page 6 & 7 issued under cover of CF/IC/1996-016

CF/MN/B.E/1996]. [pp 02]. CF/NYH/IRM/RAM/1996-176


Example of Global instruction given to field Offices

UNICEF 2000 Jan 01

UNICEF’s Records and Archives Management part of Manual

UNICEF Policy and Procedure Manual, Book J Administration, Chapter 10: Records Management

CF/MN/P.J/10CF/(rev. 1994)


Policy & Procedure guidance to FO

UNICEF 2000 Jan 01

Global File Classification Guide [GCG] Codes

How to link  items with a GCG code; obtain detailed GCG codes for subjects of interests; and reasons for using a thesaurus and /or vocabulary control list

CF/MN/TR/ RAMP Manual Annex A CF/NYH/EPP/RAM/1999-058 RAMP Manual Annex A


Classification- Subjects  issues related to Digital Archives

UNICEF 2000 Jan 01

Appraisal, Retention and Disposal of Records

determine which records are kept and which are discarded

CF/MN/TR/ RAMP Manual Annex B CF/NYH/EPP/RAM/2000-002   Annex B


Appraisal, Retention, Disposal Must address all related issues to for Digital Archives, See also CF/..RAMP Manual Unit 10 CF/NYH/EPP/RAM/2000-008

UNICEF 2000 Jan 01

Draft RAMP Generic Workbook – Unit on = Over view Why Records and Archives Management, organizational benefits and objectives as well as description of workbook annexes

Definitions and Roles , and responsibilities of staff, Key RAMP terms, identifying  work units, Grouping Records, Registering & Tracking items , Accelerating Records & Archives Management

CF/MN/TR/ RAMP manual Chapt 1-8  CF/NYH/EPP/RAM/1999-439 to 445


Must address all related issues to for Digital Archives-

UNICEF 2000 Jan 01

Maintaining & Protecting Records & Archives;

working records and non-current records

CF/MN/TR/ RAMP Manual Unit 10 CF/NYH/EPP/RAM/2000-008


Must address all related issues to for Digital Archives, See also CF/..RAMP Manual Annex B CF/NYH/EPP/RAM/2000-002   Annex B

UNICEF 2000 Jan 01

Destruction & Retention of Accounting and Financial Records: Lists examples of records with  Permanent, 7 year and 4 year retention.

Includes excerpt from UNICEF Financial Rule 113.10 “financial records and supporting documents shall be retained for such period as may be agreed with the Board of Auditors..”

CF/NYH/DFM/1994/05  & CF/FC/025/R01 Mar 1994 Financial Circular Number 25, Revision 1


Records Disposal guidance for records of importance [Financial reports and General Ledgers] great volume related to business process

UNICEF 2000 Jan 01

Main Goal of the Records and Archive Management Unit and seven sub-goals Main= Support  identification, protection and continued access to all UNICEF Records and Archives irrespective of the media, method, location or time of: creation; transmittal; or storage.

Sub-Goals= unique identification of groups of records; decision aids for “appraisal value” recommendations;  “reuse” of UNICEF information;   Identify unit responsible for issuing  “essential” UNICEF document or record series;

CF/NYH/EPP/RAM/1997-290, 20 Aug 1997 1 page


transfer of  historical record or document series to long term preservation or greater accessible alternate media of storage; Update instructions and monitor training; work  with  international community to  provide professional guidance

UNICEF 2000 Jan 01

Managing Electronic Records & Archives including EMAIL ; identify, manage and protect electronic, Internet or Intranet-distributed and email

 On-line, near-line and off line storage procedures, Hidden costs of not investing in appropriate and secure storage of electronic records.

CF/NYH/EPP/RAM/1999-481 Ramp  manual draft Unit 9


[very early draft needs major revision  since Lotus notes e-mail implications 2002-2003]

UNICEF 2000 Jan 01

RAMP-TRIM :Users Manual for Records and Archive Management Programme Tower Software Replaced RAMP-WANG

includes key learning points and “self-test” questions and answers. Note: RAMP-TRIM UM relates to the way it has been implemented at NYH.


CF/NYH/EPP/RAM/2000-131 +


Software support –need specific modules to manage  Digital archives  document stores as well as metadata on groups of records for end users; Decision on software to serve as Field RAMP software tool  will not be made until 2003

UNICEF 2000 Jan 01

Archival and other Non-current Records: Types of Facilities & Services Recommended

Information on Security, Location, Space Layout, Equipment, administration, staff, physical plant, legal and research related items.

CF/NYH/IRM/RAM/1993-052/R02 [pp025


Good detail on issues to consider when evaluating options for shared DAP procedures or locations

UNICEF 2000 Jan 01

RAMP Quick Steps – for Records and archives  - 1 page sheet

for evaluating current status and developing a simple RAMP related work plan



Must be updated to reflect digital archives; Most popular for work with individual sections

UNICEF 2000 Jan 01

Appraisal for Total Retention Time (TRT) - Appraisal Grid; Used to determine retention periods for records based on criteria of "Type of Record" and "Importance of Activity" which the records cover

types of records:: Policy/Precedent; Routine/Transactional, Background or Temporary.  Importance of Activity: Facilitative (support/promote main activities, e.g. Housekeeping records) or Substantive (Unique to UNICEF mandate and mission, e.g. main programme       activity.),

CF/NYH/IRM/RAM/1993-174 & 176 Adm. Man. Chapt/Sect 10.4 Appendix C [CF/MN/P.J.10.04/C] [pp002].

Unicef Records Appraisal Grid page.01% & Time in Areas = page 2

link to relted records .UN-CS-RAI-USAA-DB01-2005-00175-links-UNICEF-Apraisal-GRID.html



Indicative of training tools and links to decision process for retention times of all record formats and media based on content & context; Developed with input from Executive office, UN archives, Internal Auditors

UNICEF 2000 Jan 01

 Recommended RAMP Supplies & Manual Equipment & Exhibits = pictures and product literature

 Admin Manual, Chapter 10, Sect 3, Appendix A & Exhibits CF/MN/P.J./10.3/APX.A &..10.03/E

 CF/NYH/IRM/RAM/1993-204 [pp014]. CF/IRM/ISS/RAM/1996/106


 Training and implementation;  Eventually will need similar advice to  offices related to storing or processing of electronic records

UNICEF 2000 Jan 01

Draft Information Gathering and Problem Solving paper on Concepts and Strategy concerning E-mail Philosophical perspective, Technical Basics,

Storage automatic selection, Cost & automation Process and Annexes: related to E-mail:, User Concerns with Implementation, common questions



Back up schedule & Disaster Recovery Plan, Cost of Disk Space Comparisons,  DB Tables for Tracking Backups, .System type Identification General, , frequency, generations

UNICEF 2000 Jan 01

Draft Appraisal Grid and E-mail Categories for transfer/Store

The rules to secure electronic records will be reflective of destruction retention schedules [e.g. Financial Circular 25/Rev.1 and general appraisal grid for specific types of records].



Comparison of records to be sent to Electronic stores to those stored in manual file areas

UNICEF 2000 Jan 01

Researcher Guide to UNICEF Records and Archives  - Procedures for reviewing records; Overview types of records available; Work units to contact regarding records;

Sample Records & Archives Researcher Background Request form & Researcher Guidelines for use of UNICEF Records; Details on records available;  Charges,


CF/NYH/IRM/RAM/1997-071; Access conditions UNICEF records CF/AI/1983-359 para.4


How will Researchers be effected by access procedures to Digital records

UNICEF 2000 Jan 01


Lists all the main RAM related documents used to respond to substantive UNICEF RAM related FAQs from field or HQ



Background , See UNICEF Intranet site: http://www. intranet.unicef.org/


UNICEF 2000 Jan 01

Generic Records and Archives Management response

to Frequently Asked Questions from Field Offices



Advice to Field Offices; The most pressing Field office question now is becoming what to do about electronic records

UNICEF 2000 Jan 01

Draft UNICEF E-Mail, Electronic Records and Internet User guidelines [With Focus on: Access, Authority, Responsibilities and Protection of Electronic Records]

with sections on security, passwords, private messages, content responsibility,  appraisal and long term storage, Size of Messages and Attachments, E-mail Bulletin Boards, general E-Mail etiquette, mobile e-mail procedure, short list archive guideline.



E-Mail, Electronic Records

UNICEF 2000 Jan 01

DRAFT Issuance setting out Policy for  E-Mail, Internet Monitoring and Electronic Records

restates  basic assumptions and identifies responsibilities of staff for protection of electronic message records. Related drafts of Procedure and user detailed guideline is referenced




UNICEF 2000 Jan 01 RAMP-TRIM Training material extract Aug 2004 needs  to be redone with just current 2004