Ref: UN/CS/RAI/USAA/DB01/2003-00008

Annex A

Statement of Work

Strategic Plan for a Digital Archives Programme [DAP]

 

 

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 DAP specifications, requirements and standards

Activity 5  Prepare san Implementation Plan for DAP

Activity 6  Communicate and market the DAP and Implementation Plan

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 New York.   These records are those that are "born-digital" and "born-again digital" materials[2].  At this stage the strategic plan’s primary focus is records created or received in New York UNPOs’ offices but, in the future, such a programme may also be applied to other locations.  Therefore, tWhere 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 DAP within UNPOs.   Phase Two, which will be the subject of a separate project, will implement the framework and begin the necessary technical and operational activities to develop digital archiving.

 

1.3 It is expected that the DAP will have components that interact with records throughout their life cycle including guiding the creation of digital records, registering and indexing, applying appraisal and retention requirements and ultimately ensuring that the records are appropriately preserved and made accessible.  Thus the DAP will include strategies promoting trusted record keeping systems.

 

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 New York;

·        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 DAP, Phase II, that will be defined in this project (Activity 7).

 

 

 

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 DAP within each of the UNPOs.

 

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 DAP are:

·        the need to make all managers and staff aware of the risks connected with inadequate recordkeeping practices and the role of ARM staff in working with business units in establishing risk avoidance measures.

·        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 DAP framework which includes a comprehensive set of DAP standards, specifications and requirements as well as identify appropriate electronic record management, document management and digital preservation strategies and make proposal(s) of model(s).  The Digital Archives Programme is further described in item 4 below.

 

·        An Implementation Plan that describes a high level approach linking the current technical and administrative infrastructure to the proposed DAP.  The plan must be scaleable and include maintenance strategies.

 

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 New York[6]  if they are integrally related to business processes or operational performance.   The 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 .

 

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 DAP enables business units to identify archival records in digital formats at the beginning of their life cycle.  The DAP ensures that those records are able to be registered within a trusted recordkeeping system and appropriately indexed for retrieval and use.  The DAP ensures that all elements of a record of long-term value are able to be captured and maintained and ensures the continued authenticity and completeness of the record.   The DAP will provide guidance to personnel for appropriately disposing of digital information such as email or electronic documents either through depositing those assets in the custody of an archives facility or by disposing of the information when it is no longer needed by the organisation.   The most important function of the Archive Programme will be to ensure that digital information of long term value to the UNPOs are appropriately captured, maintained, preserved and made available as a corporate resource.

 

4.3 The objectives of the DAP are to:

·        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.  Project Activities and Deliverables

 

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 DAP and 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

·        SAP R/3 ERP system and the ‘Applications Archiving’ project at UNICEF

 

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 DAP, and provide a summary of the degree to which it is employed within UNPOs.

 

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 DAP.  For each initiative the report will describe the DAP objective that the practice supports and benchmark the activity against at least one external organisation or standard; 

·        An analysis of policy, practice and initiative within the UNPO which supports the objectives of the DAP.  For each initiative, policy, practice or other activity the report will describe the DAP objective that the practice supports and benchmark the activity against at least one external organisation or standard. This activity will also identify gaps in policy and practice in this area ;

·        Identify any issues concerning the preservation and management of records that are digitally created or received in UNPO offices outside New York[9] if they are  integrally related to NY business processes or operational performance.

 

 

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 DAP environment;

·        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-ARM regarding the existing state of practice, or lack thereof, within the UNPOs for managing and preserving digital information assets of long-term value.

 

 

 

 

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 DAP framework should include business processes and take into consideration the current ‘cultural’ and work environments within the UNPO.  In this context, the design must be practical and implementable in nature.

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:

·        How are digital records, especially ones of archival value, identified when they are created?  What is the strategy to store digital records of short term value, such as financial records? 

·        How to reconcile different metadata requirements and classifications within the  UNPOs?

·        What are the best approaches for storing, preserving and retrieving digital materials of long-term value? 

·        What are the appropriate formats and data structures to support long-term preservation and access to archival materials? 

 

·                         

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 DAP will minimally include:

 

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 DAP

·        Functional requirements statement for an automated system to support the DAP; identification of tools that automatically generate or extract metadata

 

·        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 DAP records

 

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 DAP within the UNPOs

 

Based on Deliverable 2, 3 and 4, the research and analysis above the vendor wthe vendor will prepare a plan for implementing the DAP.  This plan will be developed with the full consultation of WG-ARM and other appropriate personnel in participating agencies.

 

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 DAP plan will focus only on identifying and preserving those records of long-term or archival value to UNPOs. The vendor may suggest other exemplars of life-cycle management provided such exemplars are approved by the UNPO Project Manager.  Recommendations for automated systems support of the life-cycle management of records should be standards based.[12]

 

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 DAP Implementation Plan

 

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 DAP objectives are best accomplished through policies, which are best accomplished 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 DAP to the current technical and administrative infrastructure for core UNPO’s information systems;

·        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 DAP, such as a UNPO-wide electronic mail policy, lack of access between UNPO intranet sites, security concerns, etc.

·        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 DAP;

·        Scaleable and phased approach;

·        Specific and practical steps that lead to implementation in selected alternative models.

 

Activity 6:  Market the DAP and Implementation Plan within appropriate UNPO groups

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-ARM and the Task Force on Common Services.

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-ARM to develop RFP(s) to secure the services of an external consultant(s) to implement the policies, practices, business and technical standards identified in the Strategic Plan (Deliverable 5). The Plan of Work is a detailed definition of the activities and deliverables that will be conducted by the external consultant(s).  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.  Therefore, 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.

 

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. 

 

6.2              The vendor may not substitute other personnel beyond those identified in the vendor's original proposal, without prior written consent of the PM.  The vendor must immediately notify the PM concerning a proposed personnel change due to unforeseen circumstances.  The UNPOs reserve the right to refuse to accept any personnel beyond those originally identified in the original response to this RFP.

 

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. Proposal Format, Content and Vendor Requirements

 

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

8.         References

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 New York ;

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 – DAP Activities

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:   Mission Critical and other Information Systems in UNPOs

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 28 December 1984

[4] paragraph 2 of ST/SGB/242 dated 26 June 1991

[5] par. 2 of ST/AI/326 dated 28 December 1984

[6] 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.

[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. New York: United Nations, 1990.  See also Annex 5 for information on relevant documents, issuances, etc. in UNPOs.

[9] 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.

 

[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 US, the Department of Defence’s DoD 5015.2-STD which defines basic requirements based on operational, legislative and legal needs that must be met by records management application (RMA) products, is emerging as a de facto standard.