Ref: UN/CS/RAI/USAA/DB01/2004-00101
United
Nations Participating Ogranizations
Development
of a Strategic Plan for a
Digital
Archives Programme,
Digital
Assessment Survey
Part
2: Records Management
October 2004
Digital Assessment Survey
Part 2 Records Management Programme
- General Information
- Overall assessment
- Detailed programme assessment
3.1
Programme plan
3.2
Policy
3.3
Procedures
3.4
Standards
3.5
Record classification
3.6
Security
3.7
Record retention schedules
3.8
Disposition
3.9
Vital records
3.10
Records management
technology
3.11
Training
- Additional comments
PART 2:
RECORDS MANAGEMENT PROGRAM
This survey is
designed to collect information from each Department/Unit concerning the status and development of electronic
records programmes and related areas. Where
a response is not received, we will assume that no efforts are being initiated
in that area.
Support Documentation:
Annex 1 – Organizational Units
Annex 2 - Generic
Functions/Subfunction Matrix
Annex 3 - Record Series (where
available)
Annex 4 – IT systems,
applications and software (used with IT questionaire Part 1)
Annex 5 – List of Policies and Procedures
1.0 General Information
UN Participating Organizations
Department/Unit Name:
Location:
Name and Title of Person Completing Survey: Phone #:
E-mail Address:
Contact Person (if different from
above): Phone #:
E-mail Address:
Reference Number (for WGARM/DAP use
only)
1.1 From
Annex 1, Identify which organizational unit(s) are covered by this survey
1.2 From
Annex 2, identify which functions and subfunctions are covered by this survey
1.3 From
Annex 3, identify, if available, which Record Series are covered by this survey
1.4 From
Annex 5, validate, if available, current Policies and Procedures as
appropriate.
2.0 Overall Assessment
How well
developed is your department/unit program for each of the components listed
below? Use X to indicate the level of program maturity for records in
electronic format[1].
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Electronic Records and Digital
Archive Program Components |
E-Mail |
Other Electronic Records |
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No Progress |
Progress |
Significant Progress |
Mature Development |
No Progress |
Progress |
Significant Progress |
Mature Development |
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Program Plan |
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Policy |
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Procedures |
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Standards |
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Classification
Schemes |
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Security |
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Scheduling |
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Disposition |
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Vital
Records |
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RM
Technology |
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Training
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No Progress;
No concrete plans to tackle; not yet addressed; low priority.
Progress; Research underway; issues/problems defined;
some discussions with staff and customers; initial drafts of documents, medium
priority.
Significant Progress; Solutions
identified; deployed in a number of program areas; discussion drafts circulating;
high priority.
Mature development: Implemented in most of the organization; drafts sent for
approval or approved, high priority.
3.0 Detailed Program Assessment
3.1 Program
Plan
3.1.1
Do you have a current plan for
managing:
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Type |
Date of Dev’t |
Last Update |
Doc Ref and Issuing office |
Linked to Dept
planning? |
Linked to IT planning? |
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Digital/Electronic Records
Management,ERM |
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Digital Archives |
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Electronic/
Digital Records
Digital
Archives
qYes
qNo
qDon't
Know
3.1.1.1 If yes, please provide the following:
qDate
of development or last update:
qDocument
reference and issuing office
qIs
it linked to other planning processes such as IT annual planning or specific
department planning?
qYes
qNo
qDon't
Know
Comments:
3.1.1.1 If no, do you anticipate developing a plan for managing electronic
records and a digital archives in the near future?
q Yes Approximate
date:
q No
q Don't
Know
3.1.2
How important do you think an
ERM and DAP is to your business process?
q Very
important
q Important
q Not
important
q Don't
Know
3.1.3 Does your
Department/Unit have records management specialists or someone who is
designated with the responsibility of carrying out RM functions?
q Yes
q No
q Don't
Know
3.1.4
HHave you identified the main groups of
records created in your day-to-day unit/departmental activities?
q Yes
q No
q Don't
Know
3.1.4.1 If
yes, have you prioritized the main groups of records related to their main or
substantive areas
q Yes
q No
q Don't
Know
3.1.4.2 If
no, what plans have you to identify key records?
3.1.5 Do you
develop annual records management targets and priorities?
q Yes
q No
q Don't
Know
3.1.5.1 If yes, how do you prioritize the activities? (Rate
in order of significance 1= high)
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Activity |
Least Significant |
Significant |
Most Significant |
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Budget availability |
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Staff availability |
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Department/Unit business needs |
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Department/Unit RM priorities |
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Overall UNPO RM priorities |
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Other: please
specify |
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3.1.6 Describe any model RM practices that have
been developed or implemented by your Department/Unit which could be used
throughout UNPO RM programs.
Comments:
3.1.7 Do you collaborate with any of the
following groups in planning for the management of Electronic Records and
DAP? (Check
X all that apply)
q Records
and Information Management
q IT
q Other,
please specify
Comments:
3.2 Policy
3.2.1 Does your office have Recods Management
Policies which guide the use and management of official records?
q
Yes
q
No
Don't Know
3.2.2
In your organization/work unit are
electronic records considered official records?
q
Yes
q
No
q
Don't Know
3.2.13.2.3
Do you have a policy concerning electronic
records and/or digital archives in your organization/work unit?
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Type |
Date of Dev’t |
Last Update |
Doc Ref and Issuing office |
Policy Planned |
No Plan |
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Digital/Electronic Records |
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Digital Archives |
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3.2.4
Does your department/work unit have
a policy concerning the use of
electronic signatures?
q
Yes
q
No
q
Don't Know
3.2.5 Are some of your Records Management
functions, such as storage, outsourced?
q
Yes
q
No
q
Don't Know
3.2.6 How involved is your records management
staff in ensuring that RM program requirements continue to be met when services
are outsourced? (Check X which one applies)
q
Never - Records Issues Are Not
Addressed
q
Sometimes
q
Always
3.2.7 If functions are outsourced, describe how
records management issues, such as records retention or storage media are
addressed in contractual arrangements to ensure that RM program and regulatory
requirements (e.g. access/security retention/preservation) are met.
3.3 Procedures
3.3.1 Are
procedures in place for the following: (Check X all that apply)
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Procedure |
Yes |
No |
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E-mail |
Electronic |
E-mail |
Electronic |
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Classifying Records and develop record classification
scheme |
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Conducting File Conversions from Paper To Electronic |
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Developing Records Retention Schedules |
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Develop procedures for record transfers or destruction |
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Identifying and managing Vital Records and Archival
records |
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Keeping Records Secure (includes password protected
records on shared drives) |
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Ensuring long-term preservation of records that have
archival value? |
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Protect the integrity and legal admissibility of records |
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Other: please
specify |
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3.3.2 Has your
department/unit developed procedures to :
(Check X all that apply)
q Ensure
that e-mails and electronic records are part of your overall records management
program?
q Ensure
training on how to manage electronic records and archives?
q Apply
classification schemes (where available) to electronic records?
q Manage
“shared drives” as part of the RM program
q Manage
e-mail as corporate records?
q Other,
please specify
Comments:
3.3.3 What
procedures are in place for managing e-mail messages? Users:
(Check X all that apply)
q Print
e-mails to paper and file them
q Keep
in an e-mail folder on the desktop
q Keep
on their c-drive in an electronic folder outside the e-mail system
q Retain
on the e-mail server
q Transfer
onto the departmental shared drive
q Other,
please specify:
Comments:
3.4 Standards
3.4.1 Does
your department/work unit follow established Records Management Standards?
q
Yes
q
No
q
Don't Know
3.4.2 If so, which of the following national and
international standards, have you used to develop and support effective records
management programs,. (Check X
all those that you are aware of.)
q
ISO 9000 - Quality management and
Quality Assurance Standards
q
ISO 14000 – Environmental Management
q
ISO Records Management Standard
(ISO15489)
q
Metadata Standards
q
Functional File Classification Schemes
q
AIIM Standards
q
ARMA Standards (e-mail)
q
Competency Standards:
ARMA/ALARM/Australian/UK/Canadian Governments
q
DOD 5015.2 Records Management Software
Standards
q
ODMA – Document Management
Interoperability Standard
q
WflMC – Workflow Interoperability
Standard
q
Other, please specify
Comments:
3.4.4
Where imaging or scanning programs
exist, have policies and related technical standards (AIIM/ANSI/NISO) been
applied to the program development?
q
Yes
q
No
q
Don't Know
3.5 Records
Classification Scheme Implementation
3.5.1 Records Classification Scheme
3.5.1.1
Have you developed and implemented a
records classification scheme for Departmental/Unit records
q
Yes
q
No
q
Don't Know
3.5.1.1.2
If yes, is it applied to paper, email
and other electronic records?
q
Yes
q
No
q
Don't Know
3.5.1.2 List any Department/Units applying the
classification scheme to paper/electronic/both. (annex)
3.5.2.1 Is the classification scheme updated as new
programs or business processes are introduced?
(Check X which one applies)
(Verification of annex xx)
q Never
q Sometimes
q Always
3.5.2.2 Have you developed naming or titling
conventions for electronic folders or individual documents? (Check X all
that apply)
q electronic
documents
q e-mail
3.5.2.3 As new document management, imaging, workflow
and other systems are introduced, is the records management group involved to
ensure that preservation, classification, access and retrieval requirements and
disposition requirements are addressed in the design of the systems? (Check Xwhich
one applies)
q Never
- Records Issues are Not Addressed
q Sometimes
q Always
Comments:
3.6 Security
3.6.1 What measures
are in place to ensure that records are secure:
(Check X all that apply)
q Administrative:
q Authorized
access to records on computers,
q Technical:
q Passwords
for network access
q Different
levels of user security
q Physical:
q Restricted
access to computer rooms
Comments:
3.7
Records Retention Schedules
3.7.1
Does your department/unit have a
retention and disposal schedule?
3.7.2 Are they
periodically reviewed to identify new record series and information systems?
3.7.3 Does the
schedules apply to paper as well as electronic records?
q
Yes
q
No
q
Don't Know
3.7.4 Are you applying
records schedules to electronic records? To emails? (Check X all that apply)
by date created
q in
e-mail folders
q to
folders in directories on networks (shared or personal workspace) or hard
drives?
q to
records in imaging or document management systems?
q in
databases
3.7.5
Are archival records regularly
identified and appraised
q
Yes
q
No
q
Don't Know
Comments:
3.8 Disposition
3.8.1 When
electronic records are due for destruction, who approves destruction lists
3.8.2 On what basis are paper and/or electronic
records disposed of from business units ? Please rank the following in terms of
the reason for disposition: (1 most often, 5 least often)
q Lack
of server space
q Department
and/or business level unit restructuring
q Annual
directory cleanup day
q Part
of annual transfer /culling process
q Annual
maintenance program
Comments:
3.9 Vital Records
3.9.1
Does your department/unit have a vital
records management program that identifies vital records?
q Yes
q No
q Don't
Know
3.9.1.1 Briefly describe the program:
3.9.2 Does your
department/unit have a disaster avoidance planning and recovery procedure?
3.9.2.1 Briefly describe
3.10 Records Management Technology
3.10.1 Please list which RM/EDMS software
product(s) your department is using to capture and manage:
Program Activity
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ERMS |
EDMS |
Imaging
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Microfilm |
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Active and
semi-active paper files |
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Inactive paper
files |
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Electronic
records |
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Both paper and
electronic records |
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E-mail |
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3.10.2 Does RM get
involved in technology initiatives and if so at what level
q Integral
part of the team
q Depends
on the project
q Not
included on the teams
q Never
participate
q Do
not have the skills necessary
q Not
our responsibility, we are only look after paper files
3.10.3 Have
you been involved with the IT group to apply retention requirements to the
databases and any paper outputs (reports/records, etc)
q Yes
q No
q Don't
Know
3.10.4 Does your
Department/unit work with IT to develop: (Check
X all that apply)
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Activity |
Yes |
No |
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E-mail policies and procedures |
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Electronic records policies and procedures |
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Shared drives for electronic records control |
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Classification schemes for electronic records |
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Methods to apply retention schedules to electronic records |
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3.11 Training
3.11.1 Does your Department/Unit review or apply any
of the Records Management competency standards developed by: (Check X
all that apply)
q ARMA
International
q ALARM
q Australian
RM community
q Federal
Government of
q Other, please specify
3.11.2 Does
your Department/Unit develop records management skills through training?
3.11.3.1 If so describe (Include conferences
and seminars attended, continuing education and distance learning courses,
in-house RM training courses)
3.11.3 Describe what training and development is
provided to business unit level staff (secretaries/admin/support staff)
Comments:
4. Additional Comments:
Do you have any comments on issues associated with the
Department/Unit electronic records management DAP program and any suggestions
for improvement?
Thank You for Your Participation in this Survey
For clarification or further information, please contact the
UNPO
Dhurjati Mueller,