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2.01 Proposal Submitted to IATI Steering Committee for approval on 16 October 2014

This is the full text of the formal proposal, It is also attached in .docx and .pdf formats

Meeting of IATI Steering Committee Members and Observers

UN City, Copenhagen, Denmark 16 October 2014

Paper 10 : Proposed Changes to the IATI Standards: Version 2.01


Introduction

 

After six months of consultation, including three punctuation points at which Steering Committee members have been formally asked to express objections, consensus has been reached. The IATI Secretariat seeks formal approval for adoption of Version 2.01 of the IATI Standard, consisting of

Supporting materials

 

 

Content

 

This proposal is divided into eight sections.

  1. Strengthening the Core of the Standard
  2. Additional Mandatory Conditions
  3. Language Neutral Codelists
  4. Multi-lingual Text Fields
  5. Improvements to the Organisation Standard
  6. Replicate more activity-level elements at transaction level
  7. Miscellaneous
  8. Organisation and Activity Identifiers

 

 

  1. 1.     Strengthening the Core of the Standard
    1. a.     Enforcing Order on the Schema

                                          i.    The order in which elements are reported MUST follow the sequence dictated by the Schema.

                                         ii.    Schema cardinality rules are enforced.

                                        iii.    Order and occurrences for the Activity standard are here.

                                        iv.    Order and occurrences for the Organisation standard are here.

  1. b.    Participating organisation

                                          i.    At least one occurrence of participating-org is MANDATORY

                                         ii.    For each occurrence of participating-org @role is MANDATORY

                                        iii.    For each occurrence of participating-org @ref or participating-org/narrative is MANDATORY

  1. c.     Title

                                          i.    The title is MANDATORY

  1. d.    Description

                                          i.    The description is MANDATORY

  1. e.     Activity Date

                                          i.    At least one occurrence of activity-date is MANDATORY

                                         ii.    All activities MUST contain a start date: either planned or actual

  1. f.      Sector / Transaction Sector

                                          i.    Sector may now be reported at transaction level instead of activity level

                                         ii.    Sector MUST be reported at either activity level or transaction level but not both

                                        iii.    Multiple sectors per transaction can only be reported if they come from different vocabularies.

                                        iv.    sector/@code OR transaction/sector/@code is MANDATORY

                                         v.    If Sector/@vocabulary is not present then the DAC 5-digit vocabulary is assumed

  1. 2.     Additional Mandatory Conditions
    1. a.     Budget dates

                                          i.    If the budget element is present then

                                         ii.    period-start/@iso-date is MANDATORY and must be a valid ISO format

                                        iii.    period-end/@iso-date is MANDATORY and must be a valid ISO format

                                        iv.    period-end/@iso-date must be after period-start/@iso-date

  1. b.    Planned Disbursment date

                                          i.    If the planned-disbursement element is present then the period-start/@iso-date is MANDATORY

 

 

  1. 3.     Language Neutral Codelists – Changes to Codes
    1. a.     Activity Date Type

                                          i.    See http://dev.iatistandard.org/201/codelists/ActivityDateType/

  1. b.    Gazetteer Agency

                                          i.    see http://dev.iatistandard.org/201/codelists/GazetteerAgency/

  1. c.     Organisation Role

                                          i.    see http://dev.iatistandard.org/201/codelists/OrganisationRole/

  1. d.    Transaction Type

                                          i.    see http://dev.iatistandard.org/201/codelists/TransactionType/

  1. e.     Vocabulary

                                          i.    Change name to SectorVocabulary

                                         ii.    see http://dev.iatistandard.org/201/codelists/Vocabulary/

  1. 4.     Multi-lingual text fields
    1. a.     Scrapping text of purely code elements
      In the following elements the @code attribute is all that is required and text MUST NOT be provided.

                                          i.    Activity Standard
activity-status; activity-scope; policy-marker; collaboration-type; default-finance-type; default-flow-type; default-aid-type; default-tied-status; transaction/transaction-type; transaction/flow-type; transaction/aid-type; transaction/finance-type; transaction/tied-status; transaction/disbursement-channel; document-link/category; document-link/language; related-activity; crs-add/loan-terms/repayment-type; crs-add/loan-terms/repayment-plan; location/exactness; location/location-id; location/administrative

                                         ii.    Organisation Standard
document-link/category; document-link/language

  1. b.    Including nested, multi-lingual narrative elements for all elements containing free text
    Existing text() MUST be replaced with the narrative sun-element.

                                          i.    Example 1

  1. Current Usage
    <title xml:lang="en">English Title</title>
    <title xml:lang="fr">Titre français</title>
  2. Proposed Change
    <title>
       <narrative xml:lang="en">English Title</narrative>
       <narrative xml:lang="fr">Titre français</narrative>
    </title>

 

 

 

                                         ii.    Example 2

  1. Current Usage
    <sector vocabulary="RO" xml:lang="en code="456">Water and sanitation</sector>
    <sector vocabulary="RO" xml:lang="fr" code="456">Eau et assainissement</sector>
  2. Proposed Change
  3. <sector vocabulary="99" code="456">
        <narrative xml:lang="en">Water and sanitation</narrative>
        <narrative xml:lang="en">Eau et assainissement</narrative>
    </sector>

                                        iii.    Elements to be modified are:

  1. Activity Standard
    reporting-org; participating-org; title; description; activity-date; contact-info/organisation; contact-info/person-name; contact-info/job-title; contact-info/mailing-address;recipient-country; recipient-region; location/name; location/description; location/activity-description; sector (for use only with reporting organisation's own codes); policy-marker (for use only with reporting organisation's own codes); country-budget-items/budget-item/description; transaction/description; transaction/receiver-org; transaction/provider-org; transaction/recipient-country; transaction/recipient-region;document-link/title; conditions/condition; result/title;result/description; result/indicator/title; result/indicator/description; result/indicator/baseline/comment; result/indicator/period/target/comment; result/indicator/period/actual/comment
  2. Organisation Standard
    reporting-org; iati-organisation; recipient-country-budget/recipient-country; document-link/title; document-link/recipient-country

 

  1. 5.     Improvements to the Organisation Standard
    1. a.     Add recipient-country to document-link

                                          i.    Create a document-link/recipient-country element

                                         ii.    Inherit properties from iati-activity/recipient-country

                                        iii.    Allow multiple countries to be reported per document-link

  1. b.    Create budget-line element

                                          i.    Add a new complex element for use as a nested sub-element in reporting budget breakdowns within: total-budget; recipient-org-budget; recipient-country-budget

                                         ii.    Create a budget-line element

                                        iii.    Create budget-line/@ref as a reporting organisation reference for the budget line

                                        iv.    Create budget-line/narrative for a description of the budget line (repeated for multiple languages)

                                         v.    Create budget-line/value inherited from the existing iati-activity/transaction/value element

                                        vi.    Usage: budget-line should be used in addition to total-budget/value, recipient-org-budget/value and/or recipient-country-budget/value. NB that it does not replace the existing reporting guidelines

  1. c.     Replace iati-identifier with organisation

                                          i.    Replace the iati-identifier element with an organisation-identifier element.

  1. d.    Tightening up on version

                                          i.    iati-organisations/@version is MANDATORY

                                         ii.    iati-organisation/@version is DELETED

                                        iii.    The value of @version MUST be on the version codelist

  1. 6.     Replicate more activity-level elements at transaction level
    1. a.     Add transaction/sector

                                          i.    This element should inherit all characteristics from the activity-level sector element excluding percentage

                                         ii.    If this element is used then the activity-level sector element MUST NOT be used

                                        iii.    Only one sector per vocabulary can be reported for each transaction.

                                        iv.    Multiple sectors per transaction can only be reported if they come from different vocabularies.

  1. b.    Add transaction/recipient-country

                                          i.    This element should inherit all characteristics from the activity-level recipient-country element excluding percentage

                                         ii.    If this element is used then the activity-level recipient-country element MUST NOT be used

                                        iii.    Only one recipient-country OR recipient-region may be reported per transaction.

                                        iv.    If a transaction covers multiple countries and/or regions then the transaction needs to be split into constituent parts.

  1. c.     Add transaction/recipient-region

                                          i.    This element should inherit all characteristics from the activity-level recipient-region element excluding percentage

                                         ii.    If this element is used then the activity-level recipient-region element MUST NOT be used

                                        iii.    Only one recipient-country OR recipient-region may be reported per transaction.

                                        iv.    If a transaction covers multiple countries and/or regions then the transaction needs to be split into constituent parts.

  1. 7.     Miscellaneous
    1. a.     Combined usage of recipient-country and recipient-region

                                          i.    Current guidance advising use of only one or other of these elements is reversed

                                         ii.    recipient-region should only be used to indicate that the region as a whole is a recipient, not as an added description to a named recipient-country

                                        iii.    if both elements are used percentages must be reported and they should add up to 100% across all recipient- elements

  1. b.    Tightening up on version

                                          i.    iati-activities/@version is MANDATORY

                                         ii.    iati-activity/@version is DELETED

                                        iii.    The value of @version MUST be on the version codelist

                                        iv.    A new non-embedded codelist for IATI Version has been created

  1. c.     Segmentation and file size

                                          i.    A limit of 40MB is placed on the size of any single XML file.

                                         ii.    Guidance to segment by country is no longer necessarily considered to be best practice.

  1. d.    Redefine activity-website as a document-link

                                          i.    Remove the iati-activities/iati-activity/activity-website element

                                         ii.    Add documentary-category codelist categories for Organisation Webpage, Sector Webpage, Country Webpage and Activity Webpage

  1. e.     Allow multiple languages to be specified for a single document

                                          i.    Change cardinality of document-link/language from single to multiple occurrences

                                         ii.    This applies to both Activity and Organisation standard

  1. f.      Delete all previously deprecated items

                                          i.    Delete elements, attributes and codes that have previously been deprecated.

                                         ii.    Delete (not deprecate) elements, attributes and codes that are being removed in this upgrade.

  1. g.    Planned-disbursement Type

                                          i.    Delete planned-disbursement/@updated

                                         ii.    Add planned-disbursement/@type (using IATI codelist BudgetType)

  1. h.    Addition to RelatedActivityType Codelist

                                          i.    Add a value to the codelist:

                                         ii.    5 - Third Party - A report by another organisation on the same activity (excluding activities reported as part of financial transactions - eg. provider-activity-id - or a co-funded activity using code = 4)

 

 

  1. i.      Vocabulary Codelists

                                          i.    Add Sector Vocabulary codelist (derived from current Vocabulary codelist) and link to sector/@vocabulary

                                         ii.    Add Policy Marker Codelist and link to policy-marker/@vocabulary

  1. j.      Date and DateTime formats

                                          i.    All dates must validate against xsd:date

  1. k.     URL validation

                                          i.    Where links are expected datatype is xsd:anyURI

  1. l.      Removal of "mixed=true"

                                          i.    This is set as an option on many elements in the schema to allow a mix of text, elements and attributes. It has been removed from all occurrences of it in the schema.

  1. m.   Remove indicatorOutcomeType

                                          i.    This is a type that is not in use and has been removed from the schema

  1. n.    Rename crs-add/aid-type-flag

                                          i.    Rename the element iati-activity/crs-add/aid-type-flag to iati-activity/crs-add/other-flags

                                         ii.    Rename codelist AidTypeFlag to CRSAddOtherFlags

  1. o.    Add contact-info/department

                                          i.    Add a new element iati-activity/contact-info/department

                                         ii.    Add a narrative sub-element

  1. p.    Description Type

                                          i.    All description types currently contain a type attribute. This is only applicable to iati-activity/description

                                         ii.    Delete the following attributes
country-budget-items/budget-item/description/@type; result/description/@type; result/indicator/description/@type

  1. q.    Embedded codelist descriptions

                                          i.    Embedded codelist descriptions have been reviewed and updated

                                         ii.    See https://docs.google.com/spreadsheets/d/1gVpcS8DR_-QDB8pxKdPHRuuRPmW...

  1. 8.     Organisation and Activity Identifiers
    1. a.     Reporting organisation

                                          i.    The reporting-org element is MANDATORY.

                                         ii.    ALL the following rules must apply to the organisation-identifier in reporting-org/@ref:

  1. It is mandatory
  2. The agency prefix MUST be a valid code in the IATI OrganisationRegistrationAgency code list
  3. The identifier MUST be the same as that recorded by the publisher on the IATI Registry
  4. The identifier MUST only contain alphanumeric characters and hyphen, underscore, colon or period [NB. Finalisation of this rule is pending]
  5. b.    IATI activity identifier

                                          i.    The iati-identifier is MANDATORY

                                         ii.    It MUST be globally unique among all activities published through the IATI Registry

                                        iii.    Once an activity has been reported to IATI its identifier MUST NOT be changed in subsequent updates,

                                        iv.    It MUST be prefixed with EITHER the organisation-identifier found in reporting-org/@ref OR a previous reporting-org identifier reported in other-identifier/@ref

                                         v.    The identifier MUST only contain alphanumeric characters and hyphen, underscore, colon or period [NB. Finalisation of this rule is pending]

  1. c.     Other-identifier

                                          i.    The definition of the element should be changed to allow both organisation and activity identifiers to be reported.

                                         ii.    The following items have been removed:
other-identifier/text(); other-identifier/@owner-name

                                        iii.    The following items have been added:
other-identifier/@type; other-identifier/@ref; other-identifier/owner-org; other-identifier/owner-org/@ref; other-identifier/owner-org/narrative; other-identifier/owner-org/narrative/@xml:lang; other-identifier/owner-org/narrative/text()

                                        iv.    An OtherIdentifierType codelist should be added for use by other-identifier/@type. Values are:
A1 - CRS Activity identifier; A2 - Reporting Organisation's internal activity identifier; A9 - Other Activity Identifier; B1 - Previous Reporting Organisation Identifier; B2 - Other Organisation Identifier

  1. d.    IATI Organisation Codelist

                                          i.    IATI will establish its own registration agency with a published list of registered identifiers

                                         ii.    The prefix for this agency will be XI-IATI

                                        iii.    This list will initially be populated with ALL currently valid identifiers that are in use and that do not have a valid prefix.

                                        iv.    IATI generated identifiers have no intrinsic meaning, irrespective of their derivation

                                         v.    Any publisher may request IATI to generate a code for it. This will be a manual process with a quick turnaround.

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