Recordkeeping Policy

1 > PURPOSE

The purpose of this policy is to ensure that full and accurate records[1] of the business activities of the United Nations Office for the Coordination of Humanitarian Affairs (OCHA) are created through the provision of a framework and assigned responsibilities. As an ever-increasing majority of records are created electronically and as information technology continues to advance, there is an increasing need to ensure that these materials are archived[2] and preserved in their original electronic format. It aims to ensure that records are maintained to support business needs and accountabilities until such time that they can be disposed of in accordance with the Retention and Disposal Guidelines (Annex 2).

2 > SCOPE

This policy applies to all staff and to all activities carried out by, or on behalf of, OCHA in any location. Therefore the policy pertains to both permanent and temporary staff, including contractors and consultants, and to all activities regardless of how they are conducted.

All policies, practices, systems, and procedures related to document management, archiving, or records management are to be aligned with this policy. For example, any electronic system that produces, uses, or stores data files, must include functions and instructions related to the classification of, retention of, disposal of, security of, and access to the data held in the system.

3 > POLICY STATEMENT

OCHA recognizes that the endorsement and practice of good document and records management and archiving procedures are key strategic focuses. Adhering to this policy will ensure both support to its staff and delivery of information and services to related stakeholders.

The day-to-day functions of OCHA result in the creation and maintenance of many documents and records. These documents and records provide evidence of OCHA’s functions and may form part of the public record. OCHA’s commitment to this policy confirms its accountability to its staff, the United Nations Secretary General, all Member states, and the world community.

4 > GUIDELINES

4.1 > Record Management Principles

OCHA expects that:

> Each staff will create / capture and properly maintain full and accurate records of all relevant office related activity, where relevant is defined as being important to OCHA’s institutional memory.

> All records are created / captured and retained in accordance to the related system in question (Correspondence Registry, Email, OCHA Online, Relief Web, shared network folders, etc.).

> Each record will follow a consistent naming schedule as this is considered good information management practice (see Annex 3).

> Each record will be stored in accordance with the OCHA’s Retention Schedule (see Annex 2) in the format in which they were originally created.

> All vital records[3] are identified and special consideration will be given for their protection, including particular attention to any/all OCHA backup or disaster recovery plan(s).

> A migration strategy must be instituted to ensure records will continue to be accessible in the future even through multiple software systems. Metadata[4] (see Annex 4) as well as other IT policies and procedures will handle this point.

> Upon set-up of a central archiving solution, all existing and new systems will be modified/developed to work with this solution where appropriate.

4.2 > Record Management General Practices

OCHA expects that the following practices will be adhered to:

> Responsible staff will manage and archive records as required.

> All staff will attach meaningful metadata (see Annex 4) to all documents they create.

> All existing and new systems will automate functions related to metadata and record archiving.

> All staff will index documents and records according to the indexing structure outlined in Annex 5 that has been prepared by OCHA. This structure is a customisation of the Record Series Listing prepared by the UN Working Group on Archives and Records Management.

> Responsible staff / unit will regularly review and update the attached annexes and any supporting documents in relation to best practices.

> All storage will adhere to Electronic Storage and Refreshment Guidelines (Annex 6)

5 > REGULATORY FRAMEWORK

This policy complies with the following Policies, Standards and Codes:

> International Standard on Recordkeeping, ISO 15489

> ST/AI/326 – The United Nations Archives

> ST/SGB/242 – United Nations Archives and Records Management

> OCHA Metadata Standards (being finalized)

6 > RESPONSIBILITIES

6.1 > The Head of Office / Emergency Relief Coordinator (or his/her designate) is responsible for:

> Authorizing and promulgating the recordkeeping policy;

> Assigning responsibilities for record keeping and archiving;

> Supporting archiving in OCHA [i.e. policy related, decision making, resources, etc];

> Ensuring that organizational policies support the creation and maintenance of full and accurate records of OCHA’s functions and activities;

> Ensuring that OCHA’s record keeping policies and procedures will meet best practice guidelines and stand up to both internal and external scrutiny;

> Ensuring that no unauthorized or illegal record disposals take place.

6.2 > The Chief, IT Section, is responsible for:

> Ensuring that the aims of this policy are supported by OCHA’s archiving procedures;

> Ensuring that information about OCHA’s archiving policies, systems, and procedures is communicated throughout the organisation;

> Ensuring that staff are sufficiently trained and supported in appropriate use of OCHA’s document management and archiving systems;

> Monitoring and auditing compliance with OCHA’s document management and archiving systems;

> Regularily reviewing this policy;

> Regularly reviewing any procedures, which support this policy, to ensure that they are relevant, useful, and meet OCHA’s needs.

6.3 > Each Headquarters Unit and Field Office is responsible for:

> Ensuring that all new staff receive records management induction where feasible;

> Monitoring staff compliance with OCHA’s document management and archiving policies and systems;

> Ensuring that no unauthorized or illegal record disposals take place;

> Ensuring that the practices in their unit meet best practice guidelines and can and stand up to both internal and external scrutiny;

6.4 > The Information Technology Section is also responsible for:

> Monitoring and custody of electronic records;

> Providing guidance and standards to ensure best practices are followed;

> Introducing new systems and supporting tools when feasible;

> Providing systems that enable / facilitate the implementation of this policy;

> Ensuring the Retention and Disposal Guidelines are regularly reviewed and updated;

> See Annex 7 > Requirements for Electronic Recordkeeping Systems

6.5 > The Registry Unit is also responsible for:

> Ensuring implementation of the records management and archives programmes by ensuring guidelines are comprehensive and up-to-date;

> Liasing with the United Nations Archiving and Records Management Section to revise retention schedules to ensure all existing and any new records are covered;

> Liasing with the United Nations Archiving and Records Management Section to ensure OCHA’s policies and procedures are aligned with their guidelines and recommendations;

> Liasing with record management groups from other United Nations agencies.

6.6 > All Staff are responsible for:

> Complying with OCHA’s document management and archiving policies and procedures;

> Creating full and accurate records of activities, transactions, and decisions carried our during the course of regular business activities;

> Ensuring that records are maintained by being captured into their respective systems;

> Ensuring that records are handled with care to ensure their integrity is not compromised;

> Preventing unauthorized access to records;

> Ensuring that no records are destroyed or removed unless permitted by a current disposal authority.

7 > MONITORING AND REVIEW

This policy will be regularly monitored and reviewed to ensure that it remains relevant to the organisation’s business aims and requirements. This policy will be reviewed annually by the Information Technology Section.

8 > AUTHORISATION

Approved

Mr. Jan Egeland

Under-Secretary-General for Humanitarian Affairs and Emergency Relief Coordinatoer

Office for the Coordination of Humanitarian Affairs

Date 0 December 2004
ANNEX 1 > DEFINITIONS

For the purpose of this policy, the following definitions apply.

Accountability:

The “principle that individuals, organisations, and the community are responsible for their actions and may be required to explain them to others”. (ISO 15489-2001, Part 1, 3.2)

Archives:

Records that are no longer required for current use, but have been selected for long-term or permanent reservation as they have been appraised to have continuing value.

Business Activity:

An umbrella term covering all functions, processes, activities and transactions of an organisation and its employees.

Capture:

The registration of a record into a document management/archiving system. This action may be designed into electronic systems so that the capture of the records is concurrent with the creation of records.

Custody:

The physical management of records or archives. Custody refers to where and with whom records are stored. It does not necessarily include legal ownership.

Disposal:

The relinquishing of a record from the custody of OCHA either by transfer or destruction. All record disposals will be in accordance with the authorized Retention and Disposal Schedule.

Document:

A document is recorded information regardless of medium or form including such items as a letter, photograph, report or email.

Document Management / Archiving System:

Information systems that capture, maintain, and provide access to records over time

Electronic Records:

Records capable of being processed in a computer system and/or stored at any instant in a medium that requires electronic or computer equipment to retrieve them.

Metadata:

Data describing data and data systems. In electronic document management/archiving systems, this means data that must be captured along with electronic records to enable them to be understood and to support their management and use.

Migration:

The “act of moving records from one system to another, while maintaining the records’ authenticity, integrity, reliability, and usability”. (ISO 15489-2001, Part 1, 3.13)

Record/s:

“[I]nformation created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business”. (ISO 15489-2001, Part 1, 3.15)

Vital Records:

Records which are essential for the ongoing business of OCHA, and without which OCHA could not continue to function effectively.

ANNEX 2 > RETENTION AND DISPOSAL GUIDELINES

> By definition, a retention schedule is an all-inclusive guideline that covers the disposition of records to ensure their preservation for as long as they have administrative, fiscal, legal or research value. Where:

· A record with Administrative value is necessary for conducting day-to-day business.

· Fiscal value means that the record establishes an audit trail by documenting money received, managed or spent.

· Legal value means that the record documents the rights or responsibilities of the United Nations, or its staff.

· Records with research value, including lessons learned and evaluation processes, are important for the information that they contain about the United Nations and its activities. They are valuable for future programme and policy analysis and documentation of the Organization’s institutional memory.

> Although final retention and disposal guidelines have not been completed, a preliminary guideline can be suggested. Although this is merely a suggested guideline, OCHA expects that staff will consider this as a “minimum” until final guidelines can be put into place.

> OCHA also expects responsible staff to use their better judgement and increase the retention period for any given record s/he believes should be retained longer than the suggested period.

> Suggested retention changes should be made to the Information Technology Section.

> Retention and disposal schedules for electronic records should be consistent with those for paper records.

Determining Retention Period:

Retention periods are initially broken down by document type: permanent and temporary. If the records are deemed to be of a temporary nature, then they will be placed into one of seven additional categories. Retention begins when the records is considered operationally closed and is no longer required in day-to-day functions.

Permanent Files (Records)
Any records dealing with policy, procedural, historical, sensitive or technical matters, which may be viewed as having a permanent archival value to the organisation, should be retained indefinitely.
Temporary Files (Records)
If not deemed to be a permanent record, then the record in question should be classified into one of the following general categories:
· Humanitarian Emergencies and Response	Maintained for a period of seven (7) years following the completion of the emergency.
· Policy Development and Studies	Retained for a period of seven (7) years.
· Financial Records	Retained for a period of seven (7) years.
· Human Resource Records	All records related to staff members should be kept for a minimum of seven (7) years.
· Advocacy, Information Management	Retained for a period of seven (7) years.
· Field Offices	HQ must coordinate with the FO to ensure all necessary files are sent to HQ for archiving.
· Other administrative, personnel, programme, organisation files	These records should be kept for a maximum period of seven (7) years.

Disposal:

> The disposal of any record must be confirmed with the organisational unit prior to the intended disposal date.

> Records will only be disposed of according to OCHA’s official retention guideline and will be disposed of by incineration and/or shredding.

ANNEX 3 > OCHA NAMING CONVENTION

In general, the use of a consistent naming schedule / convention is considered good information management practice that should be applied to both working documents and corporate records.

All OCHA staff are to adhere to the naming convention in this Annex.

Document / Record names are to:

> Give a unique and meaningful title to each document / record;

> Express elements of the title in a structured and logical order;

> Place most specific information at the beginning of the title;

> Give the version number at the very end (e.g. “DRC CAP 2004_v0.8”);

> Give similar titles to related documents (such as an earlier version);

> Avoid non-standard abbreviations and words that add no value;

> Be very specific and meaningful (avoid generic names or personal context);

> Be free of special characters (*, &, /, \, <, >, ;, :, ! , ?, etc.) unless absolutely necessary;

> Be free of the space character (“ “) when being used on any website. Simply replace the space with a underscore character (“_”);

> Be 50 characters or less in length, including any spaces;

> Only use dates when necessary (time should very rarely be required).

> Note that the computer will date-stamp the document when created and whenever edited so including the date is discouraged.

If a date is to be included in a document/record title, then the following strategy should be applied:

> Use the structure YYYYMMDD;

> YYYY represents the year. If the date consists of only the year, the document/record content applies to the entire year or the last year of a multi-year report;

> MM represents the month. If a month element is specified, the year element must be included. If the date consists of the year and the month, the document/record content applies to the entire month or the last month of a multi-month report. For example, a quarterly newsletter’s title would include 200412 if it represented the final newsletter of 2004;

> DD represents the day of the month. If a day is specified, the title must include both the year and month. If the date ends with a day, the document/record content applies to the entire day or the last day of a multi-day report;

Examples:

1. "ESB organizational chart 2000.doc" rather than "esboc2k.doc"

> Making your filenames intuitive to the people who will be seeing them will help make your information easy to search for and find;

> There is no requirement to abbreviate or shorten the file name;

> Use long file names if they are required to properly describe the file contents;

2. Assuming that the title of a document is “OCHA Naming Conventions for all Files and Records”:

> We could name the file “Naming Conventions - OCHA.doc”;

> On the other hand, if we had chosen a name that used the first letter from every word in the title we would have ended up with "OCHANCfaFaR.doc". Who will understand this name next week?;

> Intuitive (Plain-English) filenames are generally best.

3. “Recordkeeping Policy – OCHA – v1.0.doc” versus “OCHA Recordskeeping.doc”

> Placing the most specific information first will aid in the documents discovery. (If all documents started with “OCHA” there would not be any easy way to sort through them alphabetically);

> Specifying the version number in the documents title will help a user identify if s/he has the most recent version. Using the version number should only occur in either formal documents or documents that undergo frequent or regular modifications;

ANNEX 4 > METADATA

> Metadata is commonly referred to as “data about data”. More descriptively, it is considered information about the given document or record consisting of a list of its specific characteristics which identify it as a unique object from the other documents or records.

> A formal OCHA Metadata Standard is being developed and will provide much greater details and explanation than this annex attempts to offer. This annex is simply provided to offer a summary and hopefully a better understanding of metadata.

> Document metadata will include elements such as:

> Document title;

> Creator / Author;

> Keywords / Indexing Terms;

> Related Dates (creation, modification, etc.).

> Record metadata will include additional elements, relating to its context and history, such as:

> File Index (within File / Folder Indexing Scheme);

> Access permission;

> Retention periods;

> Disposal criteria.

> Any system that is holding, managing, or working with OCHA documents or records should ensure that:

> The related metadata cannot become detached from the document / record content;

> The metadata can be transferred as a meaningful part of the document / record when migrating to a new system and / or platform.

ANNEX 5 > FILE / FOLDER INDEXING SCHEME

> As with the metadata, a formal OCHA File / Folder Indexing Scheme is being developed and will provide much greater details and explanation than this annex attempts to offer.

> The United Nations Working Group on Archives and Records Management (WGARM) has already performed a large amount of work in this area in an attempt to standardize the scheme used. However, it is understood that high-level suggestion will not meet all agency’s needs and will require customisation in each implementation.

> In an effort to ensure compatibility, OCHA will use the WGARM suggestion as a basis from which it will develop its own file / folder indexing scheme.

> Only for interests sake, the WGARM high-level record series listing is included below. This series will be customized for OCHA’s needs and will be expanded at a lower, more detailed level.

Function Abbreviation	Description
ACP	Administration, conferences, central support and procurement
FBA	Finance, Budget and Accounts
HRM	Human Resources Management
IAM	Information Assets Management
ICT	Information and Communications Technology
LEG	Legal
OAE	Oversight, Audit and Evaluation
OCM	Organisation, Coordination and Management
PPM	Programme, Project and Mission
ROC	Relations, Outreach, Media and Communications

> Using such an index promotes corporate structure while leaving flexibility at a lower folder level.

ANNEX 6 > ELECTRONIC STORAGE AND REFRESHEMENT GUIDELINES

> There is no “one set way” to store electronic documents, but rather there are recommended guidelines depending on the given situation. The issues of cost, convenience, speed and security all factor into the decision regarding the choice of physical storage to use for the archival of electronic documents.

> Different options include:

1. Optical media such as CD-R (Compact Disc – Recoradable) and DVD-R (Digital Versatile Disc – Recordable). Pros and Cons are:

· Relatively cost-efficient, especially when acquired in bulk;

· If choosing a CD-ROM, then it best to choose one that conforms to ISO 9660 – the standard for volume and file structure of CD-ROMs for information interchange;

· “CD Burning” has become relatively standard and thus requires much less technical understanding than other technologies;

· Relatively slow when recording data (set-up, record, verification);

· Relatively slow when trying to access an archived file (locate, load, then search disc);

· Exponentially more complicated as data volume increases the number of discs.

2. Online Storage:

· Refers to storing document / records on “live” servers;

· Is a durable platform offering sustainability with easy storage and quick retrieval;

· Server must be correctly configured with a responsible backup and disaster recovery plan being followed;

· Space expansion becomes a concern, as a technical expert and financial capital will be required to install additional hard-disk space.

3. Network Attached Storage (NAS):

· NAS is hard disk storage that is set up with its own network address rather than being attached to the department computer that is serving applications to a network's workstation users;

· Can leverage the existing Local Area Network (LAN) and server for user log-in;

· As requirements or demands increase, NAS devices can be added to the network for access and storage of additional records;

· File requests are mapped by the main server to the NAS file server;

· Significant technical intervention and investment required on the network side to perform initial set-up and possibly support.

4. Outsource Storage:

· Refers to placing records in an archive offered by an outside company that provides service plans for the retention of digital resources;

· Consider such things as accessibility, protection (access and virus), file format, and fee schedule;

· On the positive side, the vendor should cover such items as disaster recovery, storage medium question, overall security and possibly refreshment.

> Refreshment of Archived Records

> Refreshment of records is a very important aspects of electronic archiving and data preservation;

> Refreshment is the transfer of digital files from one storage media to another to ensure that the files remain retrievable as technology advances;

> It is recommended that refreshement should occur approximately every five years or when new storage technology becomes available and is inevitable in its adoption;

> Accessibility of information is the number one priority and thus the refreshment is worth the cost and the effort.

ANNEX 7 > REQUIREMENTS FOR ELECTRONIC RECORDKEEPING SYSTEMS

> In general, an electronic recordkeeping system should:

> Meet the needs of all users, invested parties, auditors, and stakeholders;

> Retain records in an accessible form;

> Be aligned with the official retention schedule;

> Ensure that records are created and properly managed to guarantee authentic, reliable and useable electronic records;

> Maintain electronic records over time until they are authorised for disposal;

> Ensure security of records;

> Be designed to manage the content, context and structure of records as a whole;

> For additional information on what a recordkeeping system may have as functional requirements, it is recommended to read the United Nations Archives and Records Management Section’s “Functional Requirements for Recordkeeping Systems”.

[1] Records: “Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business”. (ISO 15489-2001, Part 1, 3.15)

[2] Archived: Items that are no longer required for current use, but have been selected for long-term or permanent reservation as they have been appraised to have continuing value.

[3] Vital Records: Records which are essential for the ongoing business of OCHA, and without which OCHA could not continue to function effectively.

[4] Metadata: Data describing data and data systems. More descriptively, it is considered information about the given document or record consisting of a list of its specific characteristics which identify it as a unique object from the other documents or records.

UN-CS-RAI-USAA-DB01-2004-00206

OFFICE FOR THE COORDINATION OF HUMANITARIAN AFFAIRS