UN/CS/RAI/USAA/DB01/2003-00283

10 September 2003

WGARM

Digital Archive Programme [DAP] Funding

Information Note

Table of Contents

1. Introduction

2. DAP- Mandate & Process

3. Start up Phase and DAP Strategic Plan Phase I

4. Current and Projected Costs

5. DAP Implementation (Pilot) Phase II - Participation

6. DAP Implementation (Pilot) Phase II - Funding

7. Annexes: [See Separate document ]

· DAP Budget Note, Originally Circulated December 2002

· Annex 1, Seven key areas to consider which effect DAP cost

· Annex 2, Indicative breakdown of DAP Implementation (Pilot) Cost

· Annex 3, Items to consider for Start up and Recurring costs

1. Introduction [back to top]

Further to the UN Common Services Task Force, UNCSTF, Meeting of 8 September 2003, the following items are noted to clarify any past or current funding and related issues concerning participation in the WGARM DAP project.

2. Digital Archives Programme, DAP - Mandate & Process [back to top]

The WGARM introduced a proposal to the UNCSTF concerning the development of a

Digital Archives Programme within a Common Service environment. As noted previously the DAP “will be a combination of policies, procedures, standards and technologies that facilitates the proper management, appraisal/retention and preservation of digital records and provides for the long term access and use of materials with long term value. Preservation requires active management that begins with record creation” (DAP SOW).

The UNCSTF agreed and supported the WGARM initiative with the mandate that there would be complete transparency, broad participation and a thorough due diligence exercised throughout the project.

In order to realize this approach, the DAP was broken down into several phases including:

· Start up Phase (2002/03);

· Phase I – Strategic Plan (2003/04);

· Phase II – Implementation (Pilot) (2005/06);

· Phase II – Implementation (Full) (2006/07);

There is an understanding that UNCSTF would review each phase in order to validate process and results. This is especially important prior to Implementation phases, which could have significant budget implications. Further, after the strategic plan is presented and before "opting in" to a specific DAP Model, UNPOs expressed the need to also have more clarity about related issues such as the Service Level and cost sharing Agreements, review period and possible withdrawal procedure. See other issues at end of par 6.

3. Start up Phase and Strategic Plan, Phase I [back to top]

The agreed approach has been successful throughout the Start up Phase (2002/03) which included an EOI, RFI, and RFP processes as well as a two ‘tier’ evaluation process that included presentations by several international vendors.

It should be noted that this approach of transparency, participation and due diligence has also been included throughout the Strategic Plan SOW as a means of developing a DAP within a Common Services environment.

“This would ensure (the) increase acceptance and implementation of most parts of the plan by a majority of the UNPOs… including recommending proven approaches and technology etc. that are within the known constraints of the UNPOs budgets and resources” (DAP SOW Deliverable 1, Work Plan).

“….The Plan of Work must be developed and presented in scaleable fashion that will permit WG-ARM to implement the DAP in discreet phases and that also permit each Participating Organisation to participate in defined activities as funding and other resources permit. The Plan of Work must define activities as sequential and/or concurrent, and must prioritise activities and deliverables in relation to the objectives of the Strategic Plan” SOW Deliverable 7 – Work Plan Phase II (Implementation).

4. Current and Projected Costs [back to top]

Acknowledging that the UNPOs have different levels of resources as well as priorities in relation to digital records and in view of the commitment to transparency, the table below outlines current and projected costs of the DAP.

	Item	Time	Total cost	UN cost	UNPO cost	Status
1	DAP Phase I	2003/04	$235,000	$105,750	$35,250	Approved/ funds obligated
2	Project Manager	2002/03	$150,000	$67,500	$22,500	Approved/ funds obligated
3	Project Manager extension	2003-05 26 mths.	$325,000	$146,250	$48,750	Proposed and approved in principal 8/9/03 UNCSTF meeting, cost must be obligated
4	DAP Phase II Implementation – Pilot	2005/06	$3,050,000*	See para. 5 below	See para. 5 below	See para. 6 below
5	DAP Phase II Implementation – Full	2006/07	To be determined

* As outlined in WGARM Budget Note December 2002, Annex 2 (attached for reference) and subject to confirmation and update within DAP Phase I.

5. DAP Implementation (Pilot) Phase II - Participation [back to top]

Although there is a current understanding of participation and cost breakdown (40,15,15,15,15) for many Common Services Projects, it is clearly stated in the DAP Phase I SOW (Deliverable 5 and 7 noted below) that the DAP Phase II Implementation must be developed and presented in scaleable fashion that will permit WG-ARM to implement the DAP in discreet phases and that also permit each Participating Organisation to participate in defined activities as funding and other resources permit.

· Deliverable 5 –Implementation Plan

…The plan must also reflect an understanding of the distinct organisational culture and capacity of each UNPO, as well as the information systems operated by each participating organisation. As noted above, the vendor should identify the proposed methods to increase acceptance and implementation of most parts of the plan by a majority of the UNPOs. This should include recommending proven approaches and technology etc. that would be within the known constraints of the UNPOs budgets and resources.

At minimum, the implementation plan must include the following elements…Scaleable and phased approach;

Therefore participation in DAP Implementation Phase II may vary depending on resources, priorities and known constraints within each UNPO. However, it has been recognized that the DAP was identified as a high priority with common concerns in each of the UNPOs. Therefore each UNPO should participate either indirectly, through establishing common DAP policies, standards, Electronic Records Management initiatives etc., or directly through initiating DAP pilot groups, within the anticipated time frame (2005/06).

6. DAP Implement (Pilot) Phase II - Funding & CS Agreement Concerns

[back to top]

SOW Deliverable 7 – Work Plan Phase II (Implementation)

“….The Plan of Work must be developed and presented in scaleable fashion that will permit WG-ARM to implement the DAP in discreet phases and that also permit each Participating Organisation to participate in defined activities as funding and other resources permit. The Plan of Work must define activities as sequential and/or concurrent, and must prioritise activities and deliverables in relation to the objectives of the Strategic Plan.”

DAP Phase II Pilot cost were estimated in WGARM Budget Note as an indicative budget to assist the UNPOs to allocate DAP funds for the 2005/06 budget and not as a level of financial commitment toward the project.

As noted in WGARM Budget Note , Annex 1 (attached for reference), there are 7 key areas which affect DAP cost. Therefore, the size of a UNPO may not necessarily reflect the funding required as much as the complexity, validation, servicing, data structure conversion and metadata requirements required in the digital archiving.

In view of the above, it is recommended that once DAP Phase I is complete, WGARM, under auspicious of the Common Services Task Force, draw up a separate Common Services Agreement in line with the findings of DAP Deliverable 7 and address funding questions concerning Phase II of the project, including both Pilot Start up costs as well as ongoing costs, Annex 3.

In this regard the following areas will need to be addressed within that Common Service Agreement for DAP:

· Centralized/decentralized models

· Possible lead UNPO for shared parts of DAP

· Service Level Agreements

· Access and security rights

· Review period (5 year?) and Sunset clause (possible withdrawal procedure)

· Pilot scope

· Volume of digitally created documents or. scanned documents to be verified and /or included

7. Annexes [attached document]

· DAP Budget Note, December 2002

· Annex 1, Seven key areas to consider whicheffect DAP cost

· Annex 2, Indicative breakdown of DAP Implementation (Pilot) Cost

· Annex 3, Items to consider for Start up and Recurring costs

[back to top]

Working Group for Archives and Records Management

Common Services

10 September 2003