Ref: CF/RAI/NYHQ/DPP/RAM/2002-00385

 

DRAFT

 

Decision Assistance Project; Status as of 22 October 2002

[Deliverable , SOW Description, Vendor Response to RFI,]

CSTF   -   WGARM

 

Table of Contents

A.         Introduction and Background................................................................................................................................................................................ 1

B.          Highlights of Status of 5 main deliverables......................................................................................................................................................... 2

C.          Details of  status – SOW compared  tp,Vendors Statement and current status :.......................................................................................... 3

Compendium of Professional Records Retention Standards..................................................................................................................................... 3

Annotated List of PA Records classes......................................................................................................................................................................... 4

Matrix of Standards and Records Classes......................................................................................................................................................................... 4

Functional Requirements for an Appraisal Decision Package................................................................................................................................... 5

Software Recommendation Report................................................................................................................................................................................ 5

D.         ADA  Project Documents....................................................................................................................................................................................... 6

D.1       RFP and Statement of Work.............................................................................................................................................................................. 6

D.2       Naremco response RFP...................................................................................................................................................................................... 6

D.3       1993 ICA/SIO workshop material...................................................................................................................................................................... 6

 

A.        Introduction and Background

WGARM Decision Assistance Project was apporoved by the Common Service Task Force. Naremco was vendor  selected to fulfill the Statement of Work.


B.        Highlights of Status of 5 main deliverables

 

 

SOW Reference

Deliverable

Statement of  Work Description

[for details and comparison to Vendor response see section C]

Status RFP See detail below

Status 22 Oct 2002

Notes

2.1

Compendium of Professional Records Retention Standards

Develop a compendium of professional records retention standards.

 

·         150 + forms from work units provided by UNPOs

 

·         Naremco has provided hard copies of 5 retention schedules: 2 national archives, NY state, 2 international Organizations

 

·          If available we would like to receive in electronic format. [scanned PDF or native].

.In progress

Noremco agreed to provide a few corporate retention schedules. What others should we expect?

 

If more information is needed form specific PO, agreed D.Muller the DAP project manager would facilitate

2.2

Annotated List of PA Records classes

Assemble a list of PA records classes with linkages to the business processes that

they document and existing disposition applications.

Naremco Plans to to provide the table of PA records Classes in an Access table draft by 15 November.

In Progress

2.3

Matrix of Standards and Records Classes

2.3 Develop a Matrix that links standards (rules and values developed in 2.1)to PA record classes (listed in 2.2).

·         Naremco agreed to provide first draft of martrix by 15 Nov 2002

·         Naremco agreed a part of the matrix [2.3 deliverable] to at least highlight the paper versions for relevant entries of relevent items on compendium mentioned above.  Might also provide a table with relevant excerpts

 

·         Agreed that the list of what is provided would include unique reference number to specific document specific if known

Had hoped for at least consolidate list of which rules or decisions form other organizations were relevant.

 

Background papers from 1993 ICA/SIO on Appraisal Decision Assistance and Tools provided as a baseline for identifying values and functional requirements. Provided to vendor and at sharework.net.

2.4

Functional Requirements for an Appraisal Decision Package

Develop Functional Requirements for an appraisal decision assistance package.

 

 

Header From ICA/SIO material See especially doc ram93-149 “Appraisal Criteria”, ram93167 “Functional Requirements for Appraisal Tool”

2.5

Software Recommendation Report

Select o r develop Appraisal Decision Assistance Software.  to develop a matrix of rules and values linked to authoritative sources for application to PA records.

 

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C.        Details of  status – SOW compared  tp,Vendors Statement and current status :

 

SOW Reference

Deliverable

Statement of  Work Description

Statement on Vendors response to RFP

Status 22 Oct 2002

Notes

2.1

Compendium of Professional Records Retention Standards

Develop a compendium of professional records retention standards.

 

See detail below

.In Progress

Header

2.1.a

Survey

Collect financial, audit, personnel and other administrative records retention standards/rules

and informational values currently used by PAs in determining the retention of records. In

this connection, develop a strategy for collecting such information through surveys and

interviews with key officials identified by WGARM members.

Naremco will prepare a survey instrument [digital spreadsheet ] …to compile a comprehensive list of

currently existing records retention schedules or rules as well as other guidelines used

to determine the value of records for the purpose of establishing retention periods. The PAs will complete the survey instrument and provide information that includes: Records Classes or Series

,  Retention Values, Rules and Exceptions, Pertinent UN Organization, Authority for the Retention Values or Rules, Functional Area Covered, Associated Business Processes

150 + forms from work units provided by UNPOs

 

2.2.b

retention standards and recommendations of relevant professional

organizations

The resulting compendium

should also include retention standards and recommendations of relevant professional

organizations, e.g., the International Congress on Archives, selected national archives and

national/regional archival societies. While PAs and professional organizations will serve as

the primary source for this information, corporate records retention practices in the Host

Country should be noted in areas where PAs are compliant with local legal and financial

requirements.

1. Naremco will research and collect the retention standards and relevant recommenda-

tions developed by relevant national archives and records management bodies as well as

those from relevant professional associations and the International Council on Archives.

2.Naremco will identify pertinent Federal [US ],state [NY ],and local [NYC ]  statutes, ordinances, and regulations that are usually referenced in corporate environments to as sure that the New York City-based PAs can be compliant where the statutes,  ordi-

nances,and regulations are applicable.-

As of  22 Oct Naremco has provided 5 retention schedules: 2 national archives, NY state, 2 international Organizations

Noremco agreed to provide a few corporate retention schedules. What others should we expect?

2.2

Annotated List of PA Records classes

Assemble a list of PA records classes with linkages to the business processes that

they document and existing disposition applications. Based on input from PA records

managers and records-originating offices, identify classes of PA records, associated business

processes and current disposition arrangements.

1.Based upon the responses provided by the PAs to the survey instrument, Naremco will codify the results and prepare a comprehensive list of the various PA records linked to their associated business processes, and current retention [if any exists ].

a. Noremco has agreed at a minimum to provide hard copies of the schedules. Where available we would like to receive in electronic format. [scanned PDF or native].

 

2.3

Matrix of Standards and Records Classes

2.3 Develop a Matrix that links standards (rules and values developed in 2.1)to PA

record classes (listed in 2.2).Categorize retention rules and values according to finance,

personnel, legal and other major functional areas, while maintaining linkages to their organizational authority and identifying supportive and contradictory assumptions and

relationships. Match categories developed to appropriate PA record classes -whether or not covered by existing disposition arrangements -and circulate the results among the P As for

reaction and comment.

C.Comprehensive Standards Matrix Development

Naremco will …create an evaluation matrix to categorize the various PA records according to Functional Area [Programs,Finance,Legal, etc.] and provide appropriate data for each record series, including: Retention Periods,  Applicable Organizations., Retention Authority,  Retention Assumptions, Differences Related to Storage Medium.Etc. The matrix  will be submitted for approval by WGARM and the Participating Agencies prior to any further project action.

Nor3mco agreed a part of the matrix [2.3 deliverable] to at least highlight the paper versions for relevant entries of relevent items on compendium mentioned above

Header  Had hoped for at least consolidate list of which ones were relevant.

 Agreed that the list of what is provided would include unique reference number to document if known

2.4

Functional Requirements for an Appraisal Decision Package

Develop Functional Requirements for an appraisal decision assistance package.

Following PA approval, specify the functional requirements for an appraisal decision

assistance package in which the main data table and required fields are identified and their

inter-relationships are defined.

 

Background papers from 1993 ICA/SIO on Appraisal Decision Assistance and Tools provided as a baseline for functional requirements

D.Appraisal Decision Assistance Package: Functional Requirements

Once WGARM and the New York City-based Participating Agencies have approved the

Comprehensive Standards Matrix, N aremco will specify the functional requirements for software to assist with appraisal decisions. The functional requirements will support both the

initial data entry and revision of all elements to be incorporated into the database [defined in a set of standard SQL tables ].Specified functions will include:

*Required Data [Examples ].

• Functional Area.

• Records Series.

• Authorities.

• Retention.

• Etc.

Optional Data [as identified during the project ].

Links Among the Data .

• Record series and retention rules.

• Official and convenience copies.

• Organizations.

Agreed  to provide first draft by Dec 01

Header

2.5

Software Recommendation Report

Select or develop Appraisal Decision Assistance Software. Recommend an Appraisal decision assistance software to develop a matrix of rules and values linked to authoritative sources for application to PA records. Justify the recommendation relative to other software available. If an "off the shelf software cannot be identified or is not immediately available, develop a simple prototype for the main tables and fields using MS Access or other acceptable database tool. Prepare a report in which advanced functionality

(dynamic relationships between tables and fields)is described.

E.Appraisal Decision Software

Naremco will evaluate currently existing software packages that have the capability to manage

the information created for the Comprehensive Standards Matrix. The major evaluative criterion will be the ability of the software to create a matrix of rules and values with links to

authorities supporting the rules and values. A secondary criterion will be the flexibility of the

software's reporting function. Based on the results of the evaluations Naremco will either:

1.Recommend a specific 'off-the-shelf software package with justification for the selection of the nominated package in relation to other packages considered.

2.Create an Access database with primary and secondary tables, accompanied by a report which documents the links and dynamic relationships among the tables as well as the

functions [defined by menu choices ] required within the system.

 

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D.        ADA  Project Documents

D.1      RFP and Statement of Work

D.2      Naremco response RFP

D.3      1993 ICA/SIO workshop material