Ref: UN/CS/RAI/USAA/DB01/2004-00103

Strategic Plan to Develop a Digital Archives Programme

DAP Activity 2 and 3 – Digital Assessment

Introduction to Survey, Interviews and Record Sampling

Summary

The Task Force on Common Services has approved and funded a consultancy to Develop a Strategic Plan for a Digital Archives Programme, DAP within United Nations Participating Organizations, UNPOs. This project uses a common service approach that includes the UN Secretariat, UNDP, UNICEF, UNFPA and UNOPS. The goal of the DAP is to assure the long term preservation, access and use of electronic and digital records.

As a first step, this project will identify and assess the current administrative and technical digital infrastructures within the UNPOs. This includes identifying the practices of creating, processing, maintaining and archiving electronic records as well as identifying the relevant systems, platforms and technical standards which supports them.

Digital Assessment

The following exercises will be conducted in order to assess the current digital environment, establish recordkeeping functionality/requirements and identify their business context:

• Conduct a systematic review and analysis of current policies, practices and procedures that will assist in assessing the status and development of electronic records programmes within each UNPO.
• Conduct interviews and surveys from information technology professionals, records and information managers as well as business unit personnel on the way digital information is created, processed, maintained and archived as well as determine digital business and operational requirements.
• Conduct a representative sampling of digital and electronic records to provide an indication of the type and nature of current electronic records.

Survey/Interviews

A survey/questionaire is attached that will serve as a guide during the interviews. The survey was designed to address various general digital and record keeping issues which may or may not be present in a particular organization. The survey should be filled out as much as possible prior to the interview.

‘Group’ interviews conducted around functional or business process will optimize the interview process. Group interviews are to be constructed around either inter- or intra- organizational sessions, depending on the functions or business proces. The following structure is envisioned for these group interviews (see Digital Assessment Interview Overview for more details)

• Inter-organizational interview aimed at collecting information about administrative functions across all or a portion of the UNPOs. An example would be Human Resources representatives from the five targeted organizations assembled into one interview session.
• Intra-organizational interviews aimed at collecting information about Operations or the cores business of one organization. An example is multiple representatives representing one or more regional areas within one UNPO.

After the initial interviews taken place, follow-up may be needed to clarify information or to appraise record samplings which were identified during the interview process.

Interview Schedule

In order to ensure an effective interview approach that will build a sound knowledge base, the following scheduling sequence and arrangements are suggested:

• IT should be interviewed first;
• Records, Archives, Information, Library Managers would be interviewed second;
• Representatives of the various noted Business Units would then be interviewed;
• IT and RM specialists working within Business Units should be interviewed with IT or RM as appropriate;
• Other areas - if unique subfunction areas have been identified within the scheduled Functional areas interviews noted above, additional interviews may be required;
• Representatives of special or unique subfunctions, noted above, should also attend the main functional interviews.

Interview Package (IP)

The attached Interview Package for each participant will aid participants in completing the survey and address any concerns. The package includes:

• (IP-1) Interview exercise Overview and Methodology
• (IP-2) Instructions to fill out Interview Survey;
• (IP-3) Glossary of Terms;
• (IP-4) Sample form filled out (to be completed after pilot);
• (IP- 5) FAQ sheet (to be completed after pilot);
• Blank Questionaire Form (Part 1 (IT), Part 2 (IRAM) or Part 3 (BU)) ;
• Annex 1-5 - Background materials relevant to a particular organization that has previously been collected concerning record survey, record policies and relevant information.

Conclusion

Everyone participating in this questionaire and interview process will contribute to the development of a document that will represent a comprehensive view of current operations within UNPO. Thank you for your time and effort.