Ref: UN/CS/RAI/USAA/DB01/2003-00008
Annex A
Statement of Work
Strategic Plan for a Digital Archives Programme [
1.
Introduction
2.
Background
and Problem Statement
3.
Defining the
Strategic Plan
4.
Defining the
Digital Archive Programme
5.
Project
Activities and Deliverables
Activity 1 Establish Project Management Infrastructure
Activity 2 Survey the current policies, procedures, approaches, initiatives and best practices related to digital records
Activity
3: Inventory the current Information Management data bases and technical
platforms related to digital records
Activity 4 Establish
Activity 5 Prepare san Implementation Plan
for
Activity 6 Communicate and market the
Activity 7 Prepare a Wwork Pplan
for implementation and DAP(Phase 2)
6. Project Management and Administration
7. Proposal format, content and vendor
requirements
8. Technical Evaluation Criteria
9. Summary of Annexes
1. Introduction
·1.1
The United Nations Participating Organisations [UNPOs][1]
seek proposals from qualified vendors to develop a strategic plan for managing
and preserving digital records of long term value created and maintained by UNPOs based in Where
additional information or clarification is required on systems related to NY
activities or mandates which are maintained in other locations [e.g. Geneva or
Copenhagen] conference calls will be arranged where useful. [some of this in a footnote ?]
Thhe major issues
related to records created or received in other locations not addressed by the
scope of the plan should be noted and potential additional estimated costs
identified if the project size were increased to cover other UNPOs
locations. [“offices outside of NY’
should also be linked to
1.2 This project is the first of two phases required to
design and implement a Digital Archives Programme within the UNPOs. This phase
will identify requirements and specifications, define the standards and
establishes a plan for the
implementation of
1.3 It is
expected that the
1.4 Proposals are sought from firms that can demonstrate their ability to meet the stated requirements. The selection of the firm which will be engaged in this project will be, among others, based on:
· The firm’s ability to be fully objective and unbiased in carrying out the project;
· The firm’s experience in providing equivalent services to organizations similar in size and complexity to the United Nations;
· The firms approach to the project and operational methodologies used;
· Quality of the project team and its personnel to be assigned for the project;
·
The ability to operate in
· Project management;
· Proposed pricing.
1.5 The firm that is retained to carry out the work described
in this SOW will be ineligible to respond to, or be part of a consortium of
firms that respond to, the RFP for the implementation of the
2. Background and problem statement
2.1
2.1 The Task Force on UN Common Services Initiatives is a
senior level management group composed of representatives of the various UNPOs
(see Annex 1 for Organizational Context).
The Common Services Working Group on Archives and Records Management [WGARM]
reports to the Task Force and provides a forum for co-ordinating the archives
and records management programmes and activities throughout the UNPOs. WGARM
sponsors this project and has designated a Project Manager to work with the
successful bidder to conduct the project.
Details on the administrative requirements for this project are found in
Section 6 of this Statement of Work.
2.2 The UN Secretariat operates the United Nations
Archives and Records Section [ARMS] that, among other things, is charged with
the preservation of and access to core organisational knowledge assets of long
term value. Until recently,
records management and the archival programmes
haves
focused largely on materials that exist in paper formats (see Annex 2 for
Achievements). The project stems from UNPOs
commitment to build capacity within their archives and records programs to
preserve and make available those knowledge assets of long-term value that are
created or converted and maintained in digital form in a reliable and readily available authorised source. The project also aims to reduce the duplication
of efforts
work and documents to develop
2.3 Generally within UNPOs, records are defined as all material "regardless of physical form, created or received … in connection with or as a result of the official work of the United Nations" (POs) and "are the property of the United Nations[3] " (POs). Virtually all automated information systems create records that organisations are obliged by law, policy or good professional practice to capture, appraise, maintain, manage and preserve or dispose of in trustworthy recordkeeping systems
2.4 The term ‘recordkeeping system’ is used in its broadest sense, not as a documents or records management software package or even as an automated system. (Recordkeeping systems may or may not have automated components.) Rather, the term encompasses the breadth of arrangements that laws and sound management practice require of an organisation to enable its efficient operation, accountability, integrity of audit trails and institutional memory. The humans and human skills, policies, procedures, traditions and practices, automated and other systems, storage facilities, security and other standards together provide for the identification and management of recorded business documentation as records. Although ‘recordkeeping systems’ are qualitatively neutral, a ‘trustworthy recordkeeping system’ ensures the integrity of both the environment in which records are managed and the records themselves. These terms apply to records irrespective of their presentation or storage media.
by providing systematic
assurances that information contained in records is reliable and readily
available from an authentic source.
2.5 In addition, according to UN Secretariat Policy, Archives and Records Management “shall be responsible for establishing policy and procedures for records and files management throughout the Secretariat. These include preservation and servicing of archival records of the United Nations, both paper based as well as electronic, that should be preserved because of their administrative, legal, historical or other value as evidence of the official business of the United Nations[4].” In this regard, the Archives Section “shall maintain, preserve and repair the archives and non-current records of the United Nations and shall arrange and describe the archive groups and prepare finding aids to make them available for use.”[5]
2.6 Although Archives and Records
Management programmes are charged with the preservation and access of
core organisational records (including electronic) of long term value, they
lack the resources or capacity to apply this in the evolving digital working
environment.
2.7 Within a UN organizational context each UNPO has separate administrative and technical environments as well as distinct cultures and have begun to address such issues as email policy, disaster recovery, appraisal and retention schedules and long term digital storage, with varying capacities, resources and expertise. The UN Secretariat, the largest member of the Task Force in N.Y., operates the United Nations Archives and Records Section while the other UNPOs, e.g. UNICEF, UNDP, UNOPS, UNFPA, have Archives and Records Programmes of various magnitude. Likewise, the UNPOs have substantial but separate IT environments each with different infrastructures, information systems and administrations (see Annex 3 for examples of UNPO Structure).
2.8 2.2 Today, most records in the UNPOs
are created, but often not reliably managed, in digital form in the desktop environment. Therefore, staff are unable to ensure that
all digital records of long-term value are not captured and appropriately
preserved in a consistent manner. This creates significant risks since critical
organizational knowledge assets may be lost, not accessible or only recovered
at a high cost.
2.9 Some specific examples of the
challenges faced by the UNPOs concerning
·
the need to make all managers and staff aware of
the risks connected with inadequate recordkeeping practices and the role of
·
the need to share information and
provide network access while ensuring
integrity of data, address security concerns or legal issues.
· the need to accommodate significant changes in work patterns resulting from technological applications in the UNPO environment.
· the need to capture, manage, maintain and, as necessary, refresh and migrate legacy digital records as well as email, desk top documents and other nontransactional digital data, to ensure their long-term availability and accessibility where appropriate.
· the need to enhance business analysis and system development efforts to incorporate recordkeeping, information and knowledge management requirements as well as disaster recovery programmes.
3.
Defining the
Strategic Plan
3.1 The Strategic Plan is composed of three elements:
· An assessment and analysis of current digital records functionality within the UNPOs including the business context in which records are created, the general record keeping requirements and the capabilities (existing policy, practice and technology) relating to the identification and preservation of digital records.
·
Design a
·
An Implementation Plan that describes a high
level approach linking the current technical and administrative infrastructure
to the proposed
3.2 At this stage the Strategic Plan’s primary focus is
records created or received in New York UNPOs’ offices.
However, the Plan will also identify
any issues concerning the preservation and management of digital records
created or received in UNPO offices outside
3.3 The Strategic Plan will take into account an assessment of current capabilities, practices and investments in the areas of information policy, practice and technology that relate to the identification and preservation of digital records of long-term value. The Plan will provide a framework for the UNPOs to establish a Digital Archives Programme capacity for the identification, preservation and access of archival[7] materials that are created in digital form.
4. Defining the Digital Archives Programme
4.1 The Digital Archives Programme 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.
4.2 The
4.3 The objectives of the
· Establish Guidelines, Policies and Standards related to Digital Records practices;
· Establish minimal Standards, Requirements and Specifications for software and network related to digital records technology;
· Create an implementable framework that can be applied by the UNPOs to establish or sharing in the use of Digital Archives Facilities;
· Identify appropriate electronic records management, document management and digital preservation strategies;
· Ensure long term preservation, maintenance and access to digital records of archival value;
· Establish good record keeping practices.
5.1 The successful
vendor will be required to conduct a rigorous investigation and analysis of
current practices that preserve and manage records of long-term value of the
UNPOs that are in digital form. This
analysis will be informed by previous work in addressing electronic/digital
records issues, including the 1990 Managing
Electronic Records: Issues and Guidelines as a backdrop for analysis[8]. This report, although dated, provides context
for defining the digital information assets within the UNPOs. The vendor will work closely with information
technology staff in information technology support units of
POs to identify any current best practices as well as and planned initiatives that meet for creating
digital information to meet rerecordkeeping requirementsneeds.
5.2 There are activities as
well as deliverables associated products associated with the
execution of this E
project and t. he
UNPO Project Manager must formally accept all deliverables. Deliverable One will be accepted by the project
manager when the pProject Mmanager
has determined that the vendor's plan of work has addressed all of the
requirements listed below. Subsequent
deliverables will be accepted in accordance with the Ddeliverable Aacceptance
cCriteria
defined in Ddeliverable
Oone.
5.3 The project will be divided into 7 Activities each with its own Deliverable (see Annex 4 for Calendar/Duration of Phase I Activities).
Activity 1: Organise and implement the project management
infrastructure.
The vendor will establish a plan of
work for the life of the project that identifies all activities and tasks,
including a communication plan, the time frame within which the task will be
conducted, and
the resources that are required for each task and the Delivery Acceptance
Criteria for the successful completion of each deliverable.
The vendor and the UNPO Project Manager will mutually develop procedures for changing the plan of work, for modifying this statement of work and for managing escalating risks and issues.
The vendor will also provide a statement that identifies and assess risks to completing the project. For each risk identified, the vendor will define the potential cause of the risk, methods for mitigating the risk and the level of severity that the risk presents.
This activity will be conducted in
accordance with the project management methodology defined in the vendor's
response to this RFP. The vendor
should identify in the response to RFP 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 are within the known constraints of the UNPOs budgets and
resources.
Deliverable 1: Plan of work for conducting the project
The vendor will provide a formal
plan of work for conducting the project, specifying timetable for performing
activities 2 through 7 below, milestones and resource requirements. The plan of work will also establish methods
for issue escalation, changes to the plan of work or and changes to
the scope of the project as well as the project risk
identification and assessment document.
The
project plan, change management procedure, risk assessment and the delivery
acceptance criteria will be developed mutually with the UNPO Project Manger who
will obtain the agreement of the WGARM co-chairs to any proposed significant
changes.
Activity 2: Review and assess current policies, procedures, approaches, initiatives and best practices related to digital records as well as conduct a sampling of digital records and their business context.
In order to establish the current recordkeeping functionality and requirements, identify their business context and as well as to develop an understanding of the current practices of electronic recordkeeping and digital archiving within the UNPOs, the vendor will systematically review current policies, practices and procedures (see Annex 5 for Background Documents), gather data and information through interviews of Records and Archives Staff, Information Technology staff and various Business Unit staff as well as conduct a representative sampling of their digital records (see Annex 6 for Interviews and Sampling areas ). The results of a recent WGARM Project “Appraisal Decision Assistance” which identifies UNPO’s Record Series will be available (see Annex 7 for Functional Areas and Record Series Matrix).
The purpose of the interviews and record sampling is to
gather substantive "real-world" information from both information
technology professionals as well as business unit personnel on the way digital
information is created and meet business and operational requirements.
Among the activities to be included in this data gathering phase is the review of:
· Work programme of the nine task forces of the Secretariat's Information and Communications Technology Board (ICTB)
· Taxonomy and Intranet Portal initiative at UNDP
· Knowledge Management/Knowledge Sharing Unit at UNFPA
· Use of TRIM records management software at UNARM, UNICEF and UNOPS
· The imminent implementation of ERP software (PeopleSoft) at UNDP, UNFPA and UNOPS
· WGARM Appraisal Decision Assistance Project
·
Formal policies, practices and approaches are those that are codified in an officially adopted report, standard or other vehicle establishes an activity as an official practice. As noted, an initial listing of formal policies, practices and procedures is included in Annex 5 of this RFP which is not anticipated to grow by more than 10 percent. Operational practices or procedures are those which are not codified but are in effect within an operational environment.
Deliverable 2: Report cataloguing and analysing existing
policies, practices, approaches and
initiatives concerning the identification, management, accessibility and
preservation of digital records. Establish current record keeping
functionality and requirements.
Prepare a report identifying the
current policies, practices and initiatives related to digital information
assets and analyse the current conditions which supports, or prohibits, the
identification, accessibility and preservation of digital records of long-term
value. This
report will describe each formal policy, practice or approach, cite its source
and authority, describe the extent to which it supports the objectives of the
The report should include:
·
Current
policies, practices, issues and initiatives relating to the creation and
maintenance of corporate digital information of long-term value;
·
Current
record keeping functionality and requirements including metadata standards and
requirements;
·
An analysis
of any initiatives or other activity within the UNPOs, including record keeping
system, which supports the objectives of the
Activity 3:Inventory the current Information Management data bases, applications and technical platforms related to digital records and define their core characteristics;
Review current technical systems
(Annex 8, indicative list of Information Systems) and gather additional data
and information from Information Technology staff in UNPOs on the current methods and approaches for
capturing and maintaining records of long-term valuetechnical and
administrative characteristics of core UNPOs information systems both
transactional and document based.
This data and
information gathering will include capture of informal policy and practice documents that are used
by UNPOs to guide the creation
and maintenance of corporate information of long-term value. This activity will also identify gaps in
policy and practice in this area. (see Annexes 2, 4 & 5)
The vendor will review and comment on the current:
·
Technical standards and architectures employed
throughout the UNPOs and how they would be applied in a
· Application of retention and disposition requirements to digital materials;
· Rule-based destruction, deletion, and migration criteria used in transactional systems;
· Creation and management of electronic mail and electronic documents.
Note concerning Interviews and Record Sampling relating to Activities 2 and 3
The Interviews relating to Activities 2 and 3 will involve a total maximum of 30 interview
sessions. (This is one area subject to
further WGARM discussion – We want to cover major PO generic issues as well as
those unique to a specific organization’s mandate –i.e. those that create
substantive records. For example a representative sampling of UNDP, UNICEF,
UNDP, UNOPS and main departments in UN Secretariat while identifying priorities
for systems/applications listed in Aannex 4) would
be appropriate). WGARM to decide based
on completion of Annex 4 before issuance of RFP.
It is anticipated that data collection will require appropriate follow-up communication to
validate the information that is collected.
Record Sampling would include a representative sampling of digital records of substantive or archival value from the UNPOs functional areas that were interviewed as noted above.
The vendor will include in this
activity analysis and benchmarking current practices at the UNPOs relating to
the preservation and access of digital archival records. The benchmarking will be conducted against
external organisations and standards such as the International Standards
Organisation’s 15489 Records Management
.[10]
Deliverable 3: Report on the technical characteristics of the current core UNPOs information systems and identify current data bases, technical platforms and initiatives related to digital records.
The vendor will prepare a report describing the current core UNPO information system as outlined in Annex 7 and analyse their characteristics in relationship to the identification, preservation and maintenance of digital records of continuing value.
This
report will includeprovide:
·
A description of the methodology used to collect
information specifying what UNPO staff were involved in the data collection
effort, their role in managing information within their organisation and their
role in identifying, making available and preserving digital records of
long-term value;
·
An analysis of the technical and administrative
aspects of current core information
systems, both transactional and document-based, noting any significant
additional specifications or relationships between systems discovered by the
vendor during their review and interview process;
·
The analysis and benchmarking of current
practices at the UNPOs relating to the preservation and access of digital
archival records. The benchmarking will
be conducted against external organisations and standards such as the
International Standards Organisation’s 15489
Records Management .[11]
·
A set of high-level conclusions, targeted at
members of the WG-
Activity 4: Based on Activity 2 and 3, develop
detailed specification, requirements and standards, including both the
technical and administrative (policy) aspects,
for developing a Digital Archives Programme within UNPOs
The vendor will work closely with
appropriate information technology professionals, business unit staff and
archives and records management personnel to identify and describe the
technical and administrative requirements for creating reliable and authentic
records within UNPO systems and for selectively archiving those digital records
that have long-term value to the UNPOs. This
Although the scope of the current project is limited to UNPOs in NY, the report may also address issues related to other locations that generate records kept by UNPOs in NY.
The vendor will identify:
The vendor will work closely with
appropriate information technology professionals, business unit staff and
archives and records management personnel to identify and describe the
technical and administrative requirements for creating reliable and authentic
records within UNPO systems and for selectively archiving those digital records
that have long-term value to the UNPOs.
The vendor will obtain information on:
·Technical
standards and architectures employed throughout the UNPOs
·Application of
retention and disposition requirements to digital materials
·Rule-based
destruction, deletion, and migration criteria used in transactional systems
·Creation and
management of electronic mail and electronic documents
Deliverable 4: Prepare A report
describing the current UNPO information systems and a second
comprehensive report(s) describing Digital
Archives Programme and
proposing appropriate models for which the UNPO may follow including models
with a shared or co-operative repository network and with an in-house
repository network.
T
A. The report on current systems should add to
information already provided in Annex 4, noting significant additional
specifications or relationships between systems discovered by the vendor during
their review and interview process
B. The report on proposed DAP
technical and administrative infrastructure for core UNPO’s information systems
will describe;
A high level approach as an
introduction linking the proposed DAP to what now exists in
UNPOs,
In addition the report(s) will have
detailed specifications and requirements for developing a digital archiving
capacity within the UNPOs’S including the
technical and administrative aspects and appropriate models. The models should include a Reference Model
and at least two functional models which the UNPO may follow; one model with a
shared or co-operative repository network and one model with its own separate
repository network.
The report(s) describing the
Administrative Report
· Drafts of policies, practices and procedures manuals;
· Identification of appropriate standards including but not limited to: record keeping, data accessioning, appraisal and migration; media selection, refreshment, maintenance and storage; developing information systems and implementing email applications;
· Definition of metadata requirements to support digital archiving;
· Best practices that will support access, use and preservation of digital records;
· Disposition methodology for data at the end of its retention period;
· Business changes that are required to enable digital recordkeeping and digital archiving;
· Roles and responsibilities defined for managing and preserving digital information assets in relation to IT and to Archives and Records Management Departments
· Monitoring and maintenance strategies.
Technical Report
· Technical standards and architectures that will enable digital archiving
·
Appropriate electronic records management,
document management and digital preservation strategies to support
·
Functional requirements statement for an
automated system to support the
· Software and applications requirements,
·
Infrastructure requirements,
· Data management standards
· Digital Recordkeeping standards,
·
User training and interface
requirements,
·
tools to identify attributes of digital materials and objects to be
preserved,
·
Tcan be
certified and relevance of the seven key recommendations to UNPOs.echnical
strategies that best provide continuing access
·
Minimal level of metadata required
for long term management
·
Security rights, access standards and procedures
to guarantee the availability, accuracy, reliability and preservation of
Model Report
· Develop a Reference Model (based on OAIS Model) which supplies a common framework, including terminology and concepts for describing and comparing architectures and operations of digital archives.
·
Develop Functional Model(s) which UNPOs may follow including a model with a shared or
co-operative repository network and a model with an in-house repository
network.
Activity 5: Create a Plan for implementing
Based on Deliverable 2,
3 and 4, the research
and analysis above the vendor wthe vendor will
prepare a plan for implementing the
The vendor will develop an implementation plan
based on the concept of life-cycle management of information. The life-cycle management concept is best
exemplified by ISO 15489, however, the
The Implementation Plan should be based on an assumption that records of long-term value will be migrated to new software and hardware environments over time and that the standard for authenticity will vary from record to record. The plan must address both transactional and non-transactions systems including electronic mail and electronic documents.
The plan must also reflect an understanding of the
distinct organisational culture and capacity as well as separate business
process and information systems within each UNPO. 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 and consider both onetime/start up as well as
recurring costs.
Deliverable 5: Prepare an
At minimum, the implementation plan
must include the following elements. Additional
required elements may be added through the formal change process developed by
the vendor in Activity 1:
·
A statement of what achieved through
practices, which
arethose best accomplished achieved through
standards,
and which
are best accomplished through
technology and
which or what ones are best accomplished accomplished by
elements of each;
·
A high level approach linking the proposed
· Cost benefit analysis including specific areas of improved productivity and cost efficiencies realised;
· Implementation plan for policies, practices business and technical standards.
·
Identification of related policies that have
dependencies on the policies for the
· Anticipated staffing, training and hardware/software requirements, budget, funding options and other implementation requirements.
· Integration of this initiative into work of ICTB;
·
Risk analysis for implementing or
not-implementing the
· Scaleable and phased approach;
· Specific and practical steps that lead to implementation in selected alternative models.
Activity 6: Market
the
The vendor will make presentations to appropriate UNPO Management groups and individuals, including the Task Force on Common Services and UNPO governance bodies on the strategic plan, the implementation plan, and the cost benefit and risk analysis components of the plan. The presentations should present high level results and will be based on ongoing feedback and communication throughout the project.
Deliverable 6: Develop presentation
materials and scripts and make presentations to WG-
The presentation will be a minimum of 30 minutes plus a question and answer session in which the vendor will present a management-level overview of the strategic plan, its elements and core issues to be addressed.
Activity 7: Prepare Plan of Work/SOW for Phase 2
Proposals
The vendor will prepare a Plan of
Work that will be used by WG-
Deliverable 7: Plan of Work/SOW for Phase 2
The vendor will prepare a Plan of Work that will detail, schedule, and rank tasks, activities, and deliverable to be undertaken by an external consultant(s) to achieve the objectives set forth in the Strategic Plan as noted in Activity 7 above.
6. Project Management and Administration
6.1 The UNPOs has designated a full-time Project Manager for this project. The UNPO Project Manager [PM] will serve as the sole point of contact for the vendor throughout the contract duration. Communication with UNPO staff will be transmitted through the PM. The PM will hold responsibility for co-ordinating meetings and discussion forums with UNPO staff to ensure co-ordination of project activities with the day-to-day operations of UNPO programs. The PM will be responsible for reviewing and accepting all deliverables prepared in execution of this project. Each deliverable will be submitted to the Project Manager with a deliverable acceptance document. No deliverable will be considered accepted without the signature of the PM on the deliverable acceptance document.
6.3 Vendor
personnel must conduct themselves with professionalism and within UN standards,
rules and regulations governing such conduct.
The UNPOs have a right to dismiss vendor personnel who are perceived to
breach this conduct.
6.4 The vendor will be required to provide status reports at least once every two week period to the PM in a format that is agreed upon by the vendor and the PM. At a minimum, the report should include the updated status of the activity/deliverables any outstanding or pending issues and the next steps needed.
6.5 The UNPOs will provide the vendor with limited office space and telephone service as per UN standard practice in regards to contractors. The UNPOs will not provide computer equipment or network resources to the vendor.
7.1 The vendor may note the similarity between portions of the previous RFI and the RFP Vendor Proposal Response (see Annex 9). The RFI was used to establish a shortlist of qualified vendors in which your company was successful. However, in order to ensure consistency and transparency during this phase of tendering, all relevant documentation should be (re)submitted in order to ensure full consideration. Therefore the vendor has the opportunity to either resubmit the appropriate materials from the RFI submission or change it as deemed suitable.
7.2 As part of the evaluation process, the WGARM anticipates that vendors that meet the technical qualifying criteria level will be requested to make a presentation of their respective proposals, either on site or through teleconferencing.
7.3 The WGARM reserves
the right to alter/reduce activities/deliverables prior to awarding the
contract and negotiate appropriate terms which reflect the alterations or reductions.
7.4 The Company must be registered as a UN vendor to be eligible for awarding of a contract. Please see UN Procurement website www.un.org/depts/ptd for instructions.
7.5 Contents Vendor Proposal Response (Annex 9 and 10):
1. Proposal Cover Sheet
2. Company history and Business Related matters
3. Qualifications
4. Executive Summary of proposal
5. Project Timeline
6. Project Management methodology and approach
7. Specify methodology for Deliverables 1 through 7
9.
Cost Quotation (Annex 10) MUST BE SUBMITTED IN SEPARATE
SEALED ENVELOPE
7.6 For your convenience, please complete Annex 9 and Annex 10 using the electronic version located on a diskette included in the RFP package. Once completed, Annex 9 and Annex 10 should be printed out and returned to the UN Procurement Division as per RFP instructions.
8. Evaluation Criteria
8.1 Basic Requirements
The proposal must meet the following requirements in order to be considered for further evaluation:
1. Proposal must include resumes of all personnel who are expected to play a major role in the project such as Project Manager and senior project personnel;
2. Proposal must include a description of the approach for conducting each of the seven project activities ;
3. Proposal must include an initial project start date relative from time of approved contract and the project timeline i.e. how soon will the vendor begin work after the contract is signed and how long will the project take (calendar and work days) .
8. 2 Qualifications
1. Qualifications
of the vendors’ personnel in the developing strategic plans for the management
of information resources, particularly the long-term preservation and access of
digital information resources;
2.
Exemplified by the narrative description of
company’s experience, greatest strengths, successful projects and personnel;
3. Supported by positive references where the vendor/personnel has performed similar work for other organisations, within last five years;
4. Demonstrated by examples of other strategic plans developed;
5. Demonstrated by archives, records management, information management and information technology skills, knowledge and experience of the personnel assigned to the project;
6. Supported by the qualifications of the personnel assigned to the project and what role they will be assigned during the project implementation .
8.3 Proposed Approach/Work Plan
1. Adequately experienced and trained personnel assigned to each activity;
2. Demonstrated understanding of each activity and its deliverable and appropriate level of analysis of the activity as demonstrated by the proposed approach for accomplishing the activity; approaches and methods for conducting work are clear and specific and not general and vague;
3. Appropriate approach for data collection (Activity 2 and 3);
4. Time and other resources assigned to each activity;
5. Demonstrated awareness of other activities in the archives and records management and information management field against which UNPO practices will be benchmarked;
6. Frequency and nature of reporting and interaction with UNPO personnel;
7. Clear statement of the issues regarding electronic records management and how those issues can be addressed through this project;
8. Appropriate use of terminology within the proposal;
9. Well-developed project management methodology that addresses the scheduling process, status reporting, risk analysis, change management and project communication
8.4 Business-related
1. Brief history and company profile, latest financial statement, size in staffing;
2. Track record: age of the firm(s); full listing of similar client projects in past 36 months with description, cost, contact information;
3. Capability
to operate competitively in
4. Description of company’s process for quality assurance and control;
8.5 Presentations
Based on overall ratings, vendors that meet the technical qualifying criteria level, will be requested to make a presentation of their respective proposals either on site or through teleconferencing. The vendors’ Project Manager should also be present at the presentation.
8.6 Pricing
WGARM Evaluation Group will evaluate the reasonableness of the price of each acceptable proposal in relation to the vendor's relative capability.
9. Summary of Annexes
Annex 1: UNPO Organizational Context
Annex 2: Achievements to Date: UNPO Records
Management historical context
Annex 3: UNPO Organizational Structure/Functional areas
Annex 4: Calendar/duration for Phase I –
Annex 5: Background documents for the Digital Archives Programme
Annex 6: Indicative breakdown of UNPO Record Sampling and Interviews within functional areas
Annex 7: Draft UNPO Functions/Subfunctions and Record Series Matrix
Annex 8:
Annex 9: Vendor Proposal Response
Annex 10: Vendor Cost Quotation Sheet
[1] The United Nations Participating Organisations are those organisations within the United Nations that are members of the UN Common Services Initiative. For more information see Annex 1.
[2] "Born Digital" are those materials that are created digitally, such as electronic mail messages, word processing documents, records in an electronic database. "Born-again digital" are those materials that have been converted from an analogue or other format to a digital format through processes such as digital imaging.
[3]
paragraph 9 of ST/AI/326 dated
[4]
paragraph 2 of ST/
[5] par. 2
of ST/AI/326 dated
[6] Where
additional information or clarification is required on systems related to NY
activities or mandates which are maintained in other locations [e.g.
[7] The term
"Archival" materials are those records and documents that have been
identified as having continuing value to UNPOs because of the evidence they
provide of an activity, decision or action or because of the information they
contain. Archival materials are retained
and preserved for future access and use by the UNPOs and by external
researchers. Archival records represent
a small subset of the total volume of records created and maintained by the
UNPOs.
[8] Advisory
Committee for the Coordination of Information Systems (ACCIS). Management of
Electronic Records: Issues and Guidelines.
[9] Where additional information or
clarification is required on systems related to NY activities or mandates which
are maintained in other locations [e.g.
[11] ISO 15489. Provides a high level framework for recordkeeping and specifically addresses the benefits of records management, regulatory considerations affecting its operation and the importance of assigning of responsibilities for recordkeeping. It also discusses high level records management requirements, the design of recordkeeping systems and actual processes involved in records management, such as record capture, retention, storage, access etc. It concludes with a discussion of records management audit operations and training requirements for all staff of an organisation. The guidelines provide practical and more detailed guidance about how to implement the framework. For example it provides specific detail about the development of records management policy and responsibility statements.
[12]
For example, in the