Ref: UN/CS/RAI/USAA/DB01/2004-00155
United
Nations Participating Ogranizations
Development
of a Strategic Plan for a
Digital
Archives Programme,
Digital
Assessment Survey
Part
2: Records Management
* Records, document, archives and other information
assets or content management, including: Libraries, official document
repositories and the registration or upkeep of special collections and reference materials; and
Specialists for content or knowledge sharing and management
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: UNICEF Division of Policy and Planning,
Strategic Information Section, Information Management Unit
Location:
Name and Title of Person Completing
Survey: Howard Dale
Phone
#: 1-212-326-7064
E-mail Address: hdale@unicef.org
Contact Person (if different from
above): Phone #:
E-mail Address:
Reference Number (for WGARM/DAP use
only)
Identify all appropropriate roles
within IRAM:
___ Records, document, archives and other information
assets or content management
__x_
Libraries, official document repositories and the registration or upkeep of
special collections and reference
materials;
__x_
Specialists for content or knowledge sharing and management
1.1
From Annex 1, Identify which
organizational unit(s) are covered by this survey. . If the organisational unit(s) you represent
are not listed in Annex 1, please provide a separate list and attach to this
questionnaire.
Annotated Annex Yes ___
No ___
Additional List Yes___ No ___
This survey covers the Information Management Unit,
Strategic Information Section, Division of Policy and Planning, Programme
Group, UNICEF NYHQ. The Information
Management Unit covers includes both the UNICEF Library and the Records and
Archives Management function. Although I
supervise both of these functions this survey will be limited to the library
portion as Adhiratha Keefe will be providing greater detail on the Records and
Archives Management portion. The library
at the present time has largely focused on management of print materials. It is expected that use of the library
catalogue to catalogue electronic materials will increase dramatically in the
future. In addition there is the issue
of managing records (e.g. records of meetings, budget records, HRM records
etc.) used in conjunction with normal library work. These have been partially defined (see item
1.3 below).
1.2
From Annex 2, identify which functions
and subfunctions are covered by this survey.
. If the organisational unit(s)
you represent are not listed in Annex 1, please provide a separate list and
attach to this questionnaire.
Annotated Annex Yes ___
No ___
Additional List Yes___ No ___
This survey relates to aspects of
Information Assets Management (IAM): Document, Records, Archives and
Information Management; Library, Collections and Reference Material;
Presentations, Content and Knowledge Management.
1.3
From Annex 3, identify, if available, which
Record Series are covered by this survey.
. If the organisational unit(s)
you represent are not listed in Annex 1, please provide a separate list and
attach to this questionnaire.
Annotated Annex Yes ___
No ___
Additional List Yes___ No ___
See Adobe Acrobat file: “IMU
library record series” which reflects EXISTING record series. In addition as the library deals more and more
with records in electronic form additional record series are likely to be
required. For example:
·
Electronic books – by topic according
to UNICEF library classification scheme or by thesaurus terms (ebooks).
·
Electronic Journals –(i.e. journals in
their entirety) – by topic according to UNICEF library classification scheme or
by thesaurus terms.
·
Electronic Journal articles – (– by
topic according to UNICEF library classification scheme or by thesaurus terms
·
Maps in Digital form – classified
according to standard ISO metadata elements.
·
Slides/Slide shows i.e. powerpoint
presentation organized by topic.
1.4
From Annex 5, validate, if available,
current Policies and Procedures as appropriate.
. If the organisational unit(s)
you represent are not listed in Annex 1, please provide a separate list and
attach to this questionnaire.
Annotated Annex Yes ___
No ___
Additional List Yes___ No ___
In general all relevant and current, approved policies and procedures in the
document mentioned (“List of Policies, Procedures and relevant background
documents”) apply. What is difficult to
ascertain is which of these are up to date and still applicable; which
represent approved policies and procedures; which represent merely good
practice etc. In my opinion work needs
to be done to bring these policies and procedures up to date, and then get them
officially approved. Where will the
resources come from to do this, however.
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].
|
Electronic Records and Digital
Archive Program Components |
E-Mail |
Other Electronic Records |
||||||
|
No Progress |
Progress |
Significant Progress |
Mature Development |
No Progress |
Progress |
Significant Progress |
Mature Development |
|
Program Plan |
|
X [1] |
|
|
|
X |
|
|
|
Policy |
|
|
X [2] |
|
|
|
X |
|
|
Procedures |
|
|
X[3] |
|
|
|
X |
|
|
Standards |
X |
|
|
|
X[4] |
|
|
|
|
Classification
Schemes |
X |
|
|
|
|
|
X[5] |
|
|
Security |
Can’t comment [6] |
|
|
|
|
X[7] |
|
|
|
Scheduling |
X[8] |
|
|
|
X[9] |
|
|
|
|
Disposition |
X[10] |
|
|
|
X[11] |
|
|
|
|
Vital
Records |
X[12] |
|
|
|
X[13] |
|
|
|
|
RM
Technology |
|
|
X[14] |
|
|
|
X[15] |
|
Training
|
|
|
X[16] |
|
|
|
X[17] |
|
|
|
|
|
|
|
|
|
|
|
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:
|
Type |
Date of Dev’t |
Last Update |
Doc Ref and Issuing office |
Linked to Dept
planning? |
Linked to IT planning? |
|
Digital/Electronic Records
Management,ERM |
No |
|
|
|
|
|
Digital Archives |
No |
|
|
|
|
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: Yes. Timing will depend on availability of
resources, competing priorities etc.
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 XXXXXXX
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 XXXX
Since the information management unit contains that Records Management
Function.
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
XXXX partially. A list of records series
has been identified (see 1.3 above). It
needs to be updated, however
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 XXXX don’t’ understand what this means.
Give example.
3.1.4.2 If
no, what plans have you to identify key records? See above
3.1.5 Do you
develop annual records management targets and priorities?
q Yes
q No
XXXXX
q Don't
Know
3.1.5.1 If yes, how do you prioritize the activities? (Rate
in order of significance 1= high)
|
Activity |
Least Significant |
Significant |
Most Significant |
|
Budget availability |
|
|
|
|
Staff availability |
|
|
|
|
Department/Unit business needs |
|
|
|
|
Department/Unit RM priorities |
|
|
|
|
Overall UNPO RM priorities |
|
|
|
|
Other: please
specify |
|
|
|
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: UNICEF has extensive policies, procedures and
practices which are available in hardcopy, in electronic form in TRIM, on the
UNICEF Intranet. These can, and probably
have, been shared with other UNPO programmes.
Adhiratha Keefe can comment more on this.
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 XXX (part of
the Information Management Unit)
q IT XXX
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
XXX See 3.1.6 above.
q
No
Don't Know
3.2.2
In your organization/work unit are
electronic records considered official records?
q
Yes
XXX I believe so. Adhiratha Keefe
can comment on this.
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?
|
Type |
Date of Dev’t |
Last Update |
Doc Ref and Issuing office |
Policy Planned |
No Plan |
|
Digital/Electronic Records |
Not Sure [18] |
|
|
|
|
|
Digital Archives |
|
|
|
|
|
3.2.4
Does your department/work unit have
a policy concerning the use of
electronic signatures?
q
Yes
q
No XXX
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 XXX
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
Since I don’t
know if any of the functions are outsourced I am unable to respond to this
question.
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.
Since I don’t know if any of the functions are outsourced I am unable to
respond to this question.
3.3 Procedures
3.3.1 Are
procedures in place for the following: (Check X all that apply)
|
Procedure |
Yes |
No |
||
|
|
E-mail |
Electronic |
E-mail |
Electronic |
|
Classifying Records and develop record classification
scheme |
|
|
X |
X |
|
Conducting File Conversions from Paper To Electronic |
|
X[19] |
X |
|
|
Developing Records Retention Schedules |
|
|
X |
X |
|
Develop procedures for record transfers or destruction |
|
|
X[20] |
X[21] |
|
Identifying and managing Vital Records and Archival
records |
|
|
X |
X |
|
Keeping Records Secure (includes password protected
records on shared drives) |
|
|
X |
X |
|
Ensuring long-term preservation of records that have
archival value? |
|
|
X |
X |
|
Protect the integrity and legal admissibility of records |
|
|
X |
X |
|
Other: please
specify |
|
|
|
|
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? No.
q Ensure
training on how to manage electronic records and archives? Yes. Unit staff participate in TRIM training as
required.
q Apply
classification schemes (where available) to electronic records? No.
q Manage
“shared drives” as part of the RM program No.
q Manage
e-mail as corporate records? No.
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. XXX
q Keep
in an e-mail folder on the desktop. ??? Keep in folder in email system, not on
desktiop.
q Keep
on their c-drive in an electronic folder outside the e-mail system
q Retain
on the e-mail server XXX
q Transfer
onto the departmental shared drive
q Other,
please specify: XXX have conducted
experiments with exporting email to TRIM.
Works very well, but we are unable to use because ITD does not support.
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 XXX
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 XXX
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.
XXX Partially. Established
classification scheme exists for library materials in print form. Has not yet been applied to records in
electronic form.
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
Applied only to paper records.
See above. (3.5.1.1)
q
No
q
Don't Know
3.5.2 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
XXX but not recently. Consequently
classification scheme is somewhat out of date.
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 XXX[22]
q e-mail
XXX
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 XXX [23]
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, XXX
q Technical:
q Passwords
for network access XXX
q Different
levels of user security XXX especially with records in TRIM
q Physical:
q Restricted
access to computer rooms XXX fir central
data centre.
Comments:
3.6.2 Does your organisation have any specific
Policy, Procedure or standards governing remote access of UNPO systems,
applications or data? Identify and reference as appropriate.
Response:
|
Overall
policies and procedures for providing access to UNICEF systems are determined
by ITD who would need to comment on their existence or non-existence |
3.6.3
Does
your organisation have any plans to increase remote access of UNPO systems,
applications or data to traveling staff, external partners or governments, NGOs
or related groups?
Response:
|
We would very
much like to make the UNICEF library system accessible to UNICEF staff
elsewhere in NY and particularly in UNICEF Field Offices. It would also be desirable to make portions
of the cataglogue accessible to other UN Agencies. We actually have the software available to
make this possible. What is lacking is
an organizational agreement that this should be done. |
3.6.4
How
does your organisation address concerns of systems and data security with the
increasing need for remote access by users?
Response:
|
Can’t
comments. Question should be addressed
to ITD. |
3.7
Records Retention Schedules
3.7.1
Does your department/unit have a
retention and disposal schedule? Only
for financial records.
3.7.2 Are they
periodically reviewed to identify new record series and information systems? Don’t’ know.
Adhiratha Keefe can comment.
3.7.3 Does the
schedules apply to paper as well as electronic records?
q
Yes XXX I believe so.
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
XXX print records are from time to time transferred to the UNICEF
records centre or to UN archives. To the
best of my knowledge records in electronic form are not appraised.
q
No
q
Don't Know
Comments:
3.8 Disposition
3.8.1 When
electronic records are due for destruction, who approves destruction lists. [24]
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. 1.
q Department
and/or business level unit restructuring.
2
q Annual
directory cleanup day. 3 not
done as far as I know.
q Part
of annual transfer /culling process. 4. not done as far as I know.
q Annual
maintenance program. 5 not done as far
as I know.
Comments:
Most
records are kept on local hard drives.
When these fill up the documents tend to be copied to CD and then the
records deleted from the hard drive. For those documents stored on shared
drives ITD has strict policies on allocation of disk space. When this is exceed permission has to be
sought to increase the allocated space.
If this is not approved then documents must be archived to CD as is the
case with local hard drives. In the case
of email ITD has strict policies on disk space allocation. Once the users email database has exceeded
this allocation access to email is denied.
The user is then forced to archive the emails to “archives” within the
email system. These archives are stored
on local hard drives. If these archives
grow beyond the size of a CD then they can no longer be backed up. Consequently the user must break the archive
up into a series of smaller archives, such that no single archive can be backed
up to CD.
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
XXX
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? No.
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
|
ERMS |
EDMS |
Imaging
|
Microfilm |
|
Active and
semi-active paper files |
TRIM |
TRIM |
TRIM |
|
|
Inactive paper
files |
TRIM |
TRIM |
TRIM |
|
|
Electronic
records |
TRIM |
TRIM |
TRIM |
|
|
Both paper and
electronic records |
TRIM |
TRIM |
TRIM |
|
|
E-mail |
Could use TRIM
but not allowed |
Could use TRIM
but not allowed |
Could use TRIM
but not allowed |
|
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 XXX Adhiratha Keefe can better comment on this.
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 XXX I
have not, but I believe Adhiratha Keefe has.
q Don't
Know
3.10.4 Does your
Department/unit work with IT to develop: (Check
X all that apply)
|
Activity |
Yes |
No |
|
E-mail policies and procedures |
Yes[25] |
|
|
Electronic records policies and procedures |
Yes[26] |
|
|
Shared drives for electronic records control |
Yes[27] |
|
|
Classification schemes for electronic records |
Yes[28] |
|
|
Methods to apply retention schedules to electronic records |
Yes[29] |
|
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) Not that I am aware.
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? Yes
3.11.3.1 If so describe (Include conferences
and seminars attended, continuing education and distance learning courses,
in-house RM training courses) In house
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,