CF ltem One BC5-Top-Sign Date Time Login pes · 2018-04-08 · Poster contest Population Forum Population Award International Conferences (Bucharest, Mexico, Amsterdam, Cairo) Parliamentarians

unicef I

CF Item = Barcode Top - Note at BottomCF_ltem_One_BC5-Top-Sign

Page 1Date 05-Jun-2002Time 2:13:45 PM

Login pes

UN/CS/RAI/USAA/DB01/2002-00046

Full Item Register Number [auto] UN/CS/RAI/USAA/DB01/2002-00046

ExRef: Document Series/Year/NumberRecord Item TitleUnited Nations Population Fund (UNFPA) Draft Memorandums [2] fr Yoh-ok Lee,Chief, Administrative Branch to Mr. Hirofumi Ando, Dep. Executive Director. Sub:Records Management. Dated 9 December 1993 and 8 June 1994. Lists &Summarizes Record Categories

Date Created/on Item08-Jun-1994

Date Registered05-Jun-2002

Date Closed/Superceeded

Primary Contact Paulette Spencer (Temporary Assistance)Owner Location Common Service Task Force - NY PA'sHome Location Work Group on Archives and Records Management

Current Location Common Service Task Force - NY PA's

Fd1: Type: IN, OUT, INTERNAL?Cross Ref or Language Orig or Dist?

Fd3: Doc Type or Format

Container RecordContainer Record (Title)

N1: Numb of Pages24

Full GCG Code Plan NumberRecord GCG File Plan

N2: Doc Year0

Da 1:Date Published Da2:Date Received Date3

N3: Doc Numb0

Priority

Record Type A02b Item UN/CS/RAI/ Common Service eg ARM

Electronic Details No DocumentDOS File Name

Alt Bar code = RAMP-TRIM Record Number UN/CS/RAI/USAA/DB01/2002-00046

Notes

Print Name of Person Submit Images Signature Of Person Submit

ftuUtV< Ztow+r \ l^1^^^

Number of imageswithout cover

End of Report UNICEF DB Name CFRAMP01

) ' • V4 0 ' " J V > \

*ArM^

cVrf |cS/RMJUSAA/«>BO|/2<><a- OOOV4

CDK^T Interoffice Memorandum

o.ie _____R .Tnnp 10 _

ro:

<rotn:

United Nations Fonds des Nations UniesPopulation Fund pour la population

Mr. Hirofumi AndoDeputy Executive Director

FUe No--

Subject:

)Q

Rp.nm-dH Manage

hone Extension: _____^3 fy 3

YCtff̂ ok LeeChief, Administrative Branch

Records Management

Based on your approval of the record categoriesfor the Geographical Divisions, we are pleased to advise thatDASE and APD have reviewed/purged their current and retired filesin the premises. It is expected that AD will finish shortlywhile LACD is taking steps to cqmplete this exercise as soon aspossible. The review of the geographical archived files at theUN is expected to commence in July.

We are now submitting for your review and approvalof the recommended record categories for the remainingdivisions/branches namely, TED, PCD, IERD (with ResourceDevelopment Branch) , OED -and Finance, Personnel andAdministrative Branches. The format and approach in establishingthe record categories followed that of the geographicaldivisions.

Upon receipt of your approval, we shall takenecessary steps for the implementation" of the pertinentmanagement tasks with the above-mentioned divisions/branches.

) 3 cc: Mr. Jyoti SinghMs. Iraelda J. M. HenkinMr. Jurgen SacklowskiMr. Stirling ScruggsMs. Mari Simonen

JUN - 8 mi

Up *>0V

r -i- €-Or

RECORD CATEGORIESPCD

Permanent Records

Office - up to 5 years.

Archives - permanent.

1. Legal Documents (Headquarters & Field):

Contracts/Agreements (initiated by PCD)

2. Management Documents:

Master, copy of UNFPA's policy and procedure manual (PPM) includingUNFPA 19 and Decentralization guidelinesProgramme Committee minutes

-•Project Review Committee minutesPolicy and Planning Committee minutesTSS/CST (IATF minutes and Agency support costs)JCGP minutesAnnual ceilings and related financial planning

3. Programme/project documents (originated by PCD) including financial mattersbelonging to them

4. Financial documents:

NONE

5. Training Documents (Headquarters/field staff, JPOs)

PlansSchedule/agendaList of participantsEvaluation/reportsOne set of training materials producedFellowshipsExternal training and EAP for each staff member

c -3-c

-2-

B. Non-permanent Records:

NONEC. Non-records:

Office up to 5 yearsNewspapers, magazines, clippings, draft documents.

cc/pcdmgt.cc1 June 1994

c c^ - H » v

RECORD CATEGORIESTED

A. Permanent Records

Office - up to 5 years

Archives - permanent

1. Legal Documents:

Signed preparatory assistance; letters of agreements for projects betweenUNFPA and donor governments/organizations.

Signed project documents (between recipient governments/organizationsand UNFPA).Contracts/agreements (with individuals/firms)


General policies and procedures.Technical guidelines, check list, etc. (originated from TED)

3. Programme/projects documents (originated from TED):

Project requestsSigned board sheetsMid-term review reportsTPR reportsFinal reportsEvaluation reportsPC presentation (documents and minutes)One set of publications, video/films, kits, producedResearch/studies (background, methodology, findings/recommendationsetc)Seminars/conferences/meetings

4. Financial Documents:

All letters for approval and allocation of fundsApproval of budget revisions with related correspondence

r -s - c

-2-

5. Training documents (originated by TED):

Agenda, list of participants, final reports, etc.


Office - up to 5 yearsArchives - up to 10 years

Cables, faxes, procurement purchase orders, non-project files, personnel,~) workplans, telephone calls, travel, etc.

NGO profilesRecords other than permanent records

C. Non-records:

Office up to 5 yearsNewspapers, magazines, draft documents, etc.

;

cc/tedrmgt.cc2 June 1994

c -*- c^{c- ^

RECORD CATEGORIESIBRD




1. Legal Documents:

-v — Signed preparatory assistance; letters of agreements for projects between' UNFPA and donor governments/organizations.

Signed project documents (between recipient governments/organizationsand UNFPA).


Information policy.Legislative Body decisions G.A. - plenary 2nd, 3rd, 5th CommitteeECOSOC-various segments, working group committee

Population commission, commission on sustainable development

Governing Council-sessions, board meetings, bureau meetings,.7 administrative logistics, documentation

Executive BoardCPC meetingsCPC-ACC joint meetings, ACC-OCCCPOQ, IACSD,IATFAF,CCAQ,IACM

3. Programme/projects documents:

Project requestsSigned board sheetsMid-term revised reports •TPR reportsFinal reportsEvaluation reports

C -T- C

-2-

PC presentation (documents and minutes)One set of publications, video/films, kits producedStatus of world population reportPoster contestPopulation ForumPopulation AwardInternational Conferences (Bucharest, Mexico, Amsterdam, Cairo)Parliamentarians

O^,-sy


All letters for approval and allocation of funds'"\ — Approval of budget revisions with related correspondence


Office - up to 5 yearsArchives - 5 years

Non-permanent versions and copiesCables, faxes, procurement purchase orders, invoices, consultancy reports,final manuscripts of publications, clippings.

C. Non-records:

Office up to 5 years\ -- Magazines, various drafts of publications, newspapers, reports, etc.

cc/ierdrm.cc

^ '

3'

c '8- - . wW/TH

RECORD CATEGORIESOED


Office - as long as they are in current use

Archives - permanent;


UNFPA agreements with other agencies/organizations , including UNDP*


UNFPA Committees - EC, MCEvaluations of UNFPA by donorsOECD/Development Assistance CommitteeDRSAPs/CDs' meetingsSpecial Studies/Surveys (e.g. McKinsy Study)Audit documents (external and internal)JIU

3. Program/projects documents:

NONE


NONE

5. Training:

NONE

General agreements of cooperation signed by the Executive Director. Those related tofinance, personnel, etc. will be kept by DFPA.

c c_ CJ _

-2-

6. Other:

Executive Director's Bio dataExecutive Director's speechesArticle contributions to journals, books, pamphlet, etc.


Office - as long as they are in current useCorrespondenceChron filesOther records than the permanent records

C. Non-records:

Office up to 5 yearsPapers, magazines

cc/oedmgt.cc7 June 1994

c -10-

-2-

C. Non-records!

Office up to 5 yearsPapers, magazines, clippings.

cc/rdbrmgt.cc1 June 1994

..)

c -- cRECORD CATEGORIES

ADMINISTRATIVE BRANCH */*(lf


Office - up to 5 years or as long as current.



Lease and modifications.Contracts/agreements - on renovations, constructions premises, consultantPurchase/lease contracts on equipment and related maintenance-telephone,

*$ • copy machines, signage, etc.& W — Externally funded procurement agreements made with governments and

donors


Policy and procedures (original, amendments and addendum)Inventory--and Insurance of non-expendable property, including vehicles(Headquarters and Field)Disposal of office equipment and property (minutes of HQ and fieldproperty survey Boards)Certifying officers (pouch)Consultants' final reportsListing of monthly document issuesList of records of retired files/documents sent to the UN archives and listsof disposed recordsFinal printed documents related to policy/programme (one copy only) thishas to be kept at out office as long as it is currentContracts Review Committee records



Country files on common premisesTravel filesPayment of bills (rent, telephone, cables, telexes, maintenance, etc.)Files related to the translation/editingRecords of files requested from the UN archivesFiles related to contracts (other than the CRC records), leases, bids,purchase orders

c _,„._ c

-2-

C. Non-records:

Office up to 5 yearsCirculars (from UN, UNDP) for distribution.Pouch related correspondence and transmittal forms (summary enclosurelogs)Incoming fax/telex/cable messagesRequest forms for printingMagazines, papers.

cc/abrmgt.ccI June 1994

J

C -iv - C

RECORD CATEGORIESPERSONNEL BRANCH


Office - up to 5 years.I)

^



Minutes of appointment and promotion board/panel


Consultants personnel filesInterns' personnel filesPost classification filesPersonnel manualsCircularsManagement Review Group recordsField local staff files, PARs (Prof &GS)JPOs



Vacancy folders (of applicants)Personnel files after separation (Prof. & GS)

C. Non-records:

Office up to 5 yearsInterviewed candidates filesApplication forms (general)Chron

cc/pbrmgt.ccI June 1994

r C^ -11- ^^_^Apwfj./^</RECORD CATEGORIES

FINANCE BRANCH




1. Legal Documents:

Trust Funds (by donor government agreements)United Nations legal divisionGeneral agreement on financial reporting on audit requirement with UNExecuting Agencies and NGOs


General policies , manuals, guidelines.External & Internal audit documents.UN Committees (ACABQ, CCAQ, JCGP, GA 5th committee).Governing Council (GC decisions; correspondence)

)


NONE


UN organizational unitsUNDP organizational unitsUN specialized agenciesNGOsBiannual Budget (APSS)Allotment and revisions and expenditure reportsPurchase ordersAgency statements (quarterly and annual)Trust Funds (payment records, financial statements and correspondence)UNDP treasury monthly accountsAll executing agencies (UN agencies, NGOs, Governments) Audit reportsCorrespondence with UN missionsBiennial Financial statementsField Office file (by Country)Budget & Management Analysis (Headquarters and Field)

f -is- C

;

-2-

5. Training documents (originated by Finance Branch):

Agenda, list of participants, training material, final reports.



Financial schedulesUNDP treasury monthly foreign exchange rateTravel plansPersonnel payroll mattersBranch work plansPayment vouchers (vendors, consultants, NGOs)Country files (correspondence to RR/CD)Final draft documentsReports, documents and minutes (Committees)Inter office vouchersApproval letter by Executing Agencies

C. Non-records:

Office - up to 5 years

Vendor profilesPapers, magazines, clippingsDraft documents

cc/fbrmgt.cc7 June 1994

f rv, ,. ^.

RECORD CATEGORIES L^xRDB r\°^—————— -^ y

V^- uPermanent Records



L. Legal Documents:

Contributions/PledgesContracts/Agreement (with individual donors for multi-bi projects)


Executive director's statement on pledging conferenceMonthly statements on income and contributionsMemoranda on annual pledging conference, fund raising, letters to Cdsand UNFPA RXs (master copies only with notation of all addressees)Audit documents (external and internal)


Annual submission of multi-bi proposals


Payment records both for general resources and multi-bi projectsIncome reports



Multi-bi project filesMajor donor profilesDonor consultation reportsMission reportsTravel documentsRecords other than permanent records

•'.= .- v -IT -C _„_ C.

-2-

C. Non-records:

Office up to 5 yearsPapers, magazines, clippings.

»,"t

)cc/rdbrmgt.ccI June 1994

i

3 L3 Vc)

•^NVig

3t-

•'4 / • '\,* -IT-^ • ' * 9 December 93

1

«<<tf'l'?l/Records Manage.

5366

Mr. Hirofumi Ando ' { ' 'A^> r t invi / /VDeputy Executive Director *JTMl /

/"<•̂ oh-ok LeeChief, Administrative Branch

Records Management

Record Categories: Based on the request of the PPC, attached isour recommendations on, the establishment of the record categoriesin respect of the geographical divisions. These recommendationsare based on the submissions provided to us by the AdministrativeAssistants/Senior Secretaries with the clearance of theirrespective Geographical Chief/Director and also based ondiscussions held with them.

To implement a manageable manual record managementsystem, we recommend that we start with the geographicaldivisions. These offices deal with documents that can be easilycategorized and identified by the staff. The bulk of ourarchives are from these divisions.

Discarding of non-permanent records: Assuming that the attachedis acceptable to you, we suggest that a committee be establishedconsisting of one representative (Senior Secretary orAdministrative Assistant) from each division to discuss theimplementation process. Training sessions should also beconducted by Committee members for the secretaries on how thefiling and purging process should be done.

At present, we have 29 secretarial posts in thegeographical divisions (LAC-5 posts, Africa-11 posts, Asia-8posts, DASE-5 posts). Ideally, if we request that each secretaryto review one archive box a day or 10 to 20 boxes (depending onthe size of the divisions) per week per division, we may be ableto reduce our archives boxes which are now stored at the UN andin our premises in a short period of time without authorizingovertime. Based on the boxes we inspected, there areapproximately 4-6 project files (upto 10 folders) in a box.

Other Divisions; We shall prepare similar proposals to besubmitted to you upon completion of the above-mentioned trainingsessions. By that time, we will have the feedbacks firom thegeographical staff.

cc: Ms. Imelda J. M. Henkin \/

/boxes

o

/̂

iZ

<̂-JCO

\0v5<Q=,

-21-

RECORD CATEGORIESGEOGRAPHICAL DIVISIONS

A. Permanent Records:

Office - period of country programme cycle - usually 4 - 5years.

Archives - permanently.

1. Legal Documents:

— Signed preparatory assistance; letters of agreements forprojects between governments (donor governments and UNFPA).

— Signed project documents (between recipient governmentsand UNFPA).

2, Management Documents:

— PRC Documents— Gov. Council approved country program documents

Programme/projects documents:

— Project request— Signed board streets prepared by Headquarters— PRSD reports— Mid-term review reports— TPR reports— Final reports— Evaluation reports— PC presentation (documents and minutes)

I. Financial Documents:

— All letters for approval and allocation of funds— Approval of budget revisions with related correspondence

(i.e. transmission letters from Country Directors toHeadquarters, letters of allocation to the executingagencies).

ax-

— O —

B. Non-permanent Records;

Office up to 5 yearsArchives 5 years

— Non-permanent versions and copies— Cables, faxes, procurement purchase orders, survey

reports/field consultancy report— Non-project files

C. Non-records;

Office up to 5 years

— Newspapers— Magazine— Drafts of various reports— Pamphlets/books

~3V

PROGRAMME FILING SYSTEMCLASSIFICATION OF DOCUMENTS

PERMANENT FILE

I. Country Programme File

4 Country Population Assessment Report (CPA)4 Executive Board Approved Country Programme Document4 PRC Documents and PRC Minutes4 MTR Report and PRC Minutes4 Country Evaluation Report4 Country Thematic Evaluation Report4 Policy Application Review (PAR)4 Country Audit Report4 Copy of the Final Status of Country Programme Report (printed from PRMS)

II. Sub-Programme File

4 Appraisal Committee Report of Sub-Programme4 Sub-Programme Document with Log Frame4 Summary and approved Sub-Programme Document4 Annual Review Report4 Sub-Programme Evaluation Report

III. Component Project File

4 Initial Component Project Document Approved4 Initial Allocation4 Supplementary Allocations4 Budget Revisions4 Letters of Approval4 Trust Fund Agreement (if applicable)4 Cost Sharing Agreement (if applicable)4 Letter of Agreement4 Letter of Understanding (for NGO-executed projects only)4 Component Project Monitoring and Evaluation Reports4 Annual Report4 Final Project Report4 Audit Report

-a * / -

NON-PERMANENT FILE

I. Country Programme

4 General Correspondence* CST Mission Reports4 Mission Reports4 PRC Minutes (longer version if required) ?4 Country Visits

II. Sub-Programme File

4 General Corrrespondence+ Comments - negotiations between Government / Field Office / Headquarters+ Appraisal Committee report+ PRC minutes ?

III. Component Project File

4 General Correspondence4 General reports, documents4 Copy of Forms A/B/C/D/E4 CST Mission Reports