Ref:
UN/CS/RAI/USAA/DB01/2004-00156
United
Nations Participating Organisations
Development
of a Strategic Plan for a
Digital
Archives Programme,
Digital
Assessment Survey
Part 2: Information, Records
and Archive 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
This
Questionnaire is to be completed by Records Management, Librarian, and
Archivists within each UNPO.
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 PROGRAMME
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 – Organisational Units
Annex 2 - Generic Functions/Sub
function Matrix
Annex 3 - Record Series (where
available)
Annex 4 – IT systems,
applications and software (used with IT questionnaire Part 1)
Annex 5 – List of Policies and Procedures
1.0 General Information
UN Participating Organisations: UNICEF
Department/Unit Name: Division of
Policy and Planning, Strategic Information
Location:
Name and Title of Person Completing
Survey: Adhiratha Keefe & Howard Dale Phone
#: 212-326-7667, 2-2-326-70640
E-mail Address: akeefe@unicef.org, 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:
_X__ 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 Departmental Background And Related Documentation
1.1.1
From Annex 1, identify which organisational
unit(s) is 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 _X_ No ___
Additional List Yes___ No ___
1.1.2
From Annex 2, identify which functions
and sub functions are covered by this survey.
If the functions and sub-functions you represent are not listed in Annex
2, please provide a separate list and attach to this questionnaire.
Annotated Annex Yes _X_ No ___
Additional List Yes___ No ___
1.1.3
From Annex 3, identify which Record Series
are covered by this survey. If the
Record Series you represent are not listed in Annex 3, please provide a
separate list and attach to this questionnaire.
Annotated Annex Yes _X_ No ___
Additional List Yes___
No ___
1.1.4
From Annex 5, identify the current
Policies and Procedures as appropriate.
If the Policies and Procedures you represent are not listed in Annex 5,
please provide a separate list and attach to this questionnaire.
Annotated Annex Yes _X_ No ___
Additional List Yes___ No ___
2.0 Overall Assessment
How well
developed is your department/unit programme for each of the components listed
below? Use X to indicate the level of programme maturity for records in
electronic format[1].
|
Electronic Records and Digital
Archive Programme* Components |
E-Mail |
Other Electronic Records |
||||||
|
No Progress |
Progress |
Significant Progress |
Mature Development |
No Progress |
Progress |
Significant Progress |
Mature Development |
|
Programme Plan
|
|
X |
|
|
|
X |
|
|
|
Policy |
|
X |
|
|
|
|
X |
|
|
Procedures |
|
X |
|
|
|
X |
|
|
|
Standards |
|
X |
|
|
|
X |
|
|
|
Classification Schemes |
X |
|
|
|
|
X |
|
|
|
Security |
|
? |
|
|
|
X |
|
|
|
Scheduling |
X |
|
|
|
X |
|
|
|
|
Disposition |
X |
|
|
|
X |
|
|
|
|
Vital Records |
X |
|
|
|
|
X |
|
|
|
RM Technology |
X |
|
|
|
|
X |
|
|
Training
|
|
X |
|
|
|
X |
|
|
* Needs Explanation
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 programme
areas; discussion drafts circulating; high priority.
Mature development: Implemented in most of the organisation; drafts sent for
approval or approved, high priority.
3.0 Detailed Programme Assessment
3.1 Programme
Plan
3.1.1
Do you have a current plan for
managing:
|
Type |
Date
Developed |
Last Update |
Doc Ref and
Issuing office |
Linked to
Dept planning? |
Linked to IT
planning? |
|
Digital/Electronic Records Management (ERM) |
No |
|
|
|
|
|
Digital Archives Programme |
No |
|
|
|
|
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 __X__ Approximate date: After DAP
Strategic Plan Submitted
q No
q Don't
Know
3.1.2
How important do you think ERM and DAP
is to your business process?
q Very
important __X__
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 __X__
q No
q Don't
Know
3.1.4
Have you identified the main groups of
records created in your day-to-day unit/departmental activities?
q Yes __X__ 30% for NYHQ
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 __X__
q Don't
Know
3.1.4.2 If
no, what plans have you to identify key records? With Resumption of
3.1.5.1 Do
you develop annual records management targets and priorities?
q Yes __X__
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)
|
Activity |
Least Significant |
Significant |
Most Significant |
|
Budget availability |
|
|
2 |
|
Staff availability |
|
3 |
|
|
Department/Unit business needs |
4 |
|
|
|
Department/Unit RM priorities |
5 |
|
|
|
Overall UNPO RM priorities |
|
|
1 |
|
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 programmes.
Comments: All
Need Review After DAP &
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 __X__
q IT __X__
q Other,
please specify __X__
Comments: When
organization work unit has resources and commitment, e.g. OED, Evaluation Office, Strategic Information.
3.2 Policy
3.2.1
Does your office have Records
Management Policies that guide the use and management of official records?
q
Yes __X__
q
No
q
Don't Know
3.2.2
In your organisation/work unit are
electronic records considered official records?
q
Yes __X__ By Default, Best Available
Copy.
q
No
q
Don't Know
3.2.3
Do you have a policy concerning electronic
records and/or digital archives in your organisation/work unit? Not Specifically.
|
Type |
Date
Developed |
Last Update |
Doc Ref and
Issuing office |
Policy
Planned |
No Plan |
|
Digital/Electronic Records |
|
|
|
|
|
|
Digital Archives |
|
|
|
|
|
3.2.4
Does your department/work unit have a
policy concerning the use of electronic signatures?
q
Yes
q
No __X__
q
Don't Know
3.2.5
Are some of your Records Management
functions, such as storage, outsourced?
q
Yes __X__ - For Back Up Tapes. Master Film for Microfiche with
“Preservation
Resources”
q
No
q
Don't Know
3.2.6
How involved is your records management
staff in ensuring that RM programme requirements continue to be met when services
are outsourced? (Check X which one applies)
q
Never - Records Issues Are Not
Addressed
q
Sometimes __X__
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 programme and
regulatory requirements (e.g. access/security retention/preservation) are met.
-
Back Up Arrangements for Tape with ITD.
-
Not Sure How Often Procedure Checked & Tested.
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 |
|
|
Conducting File Conversions from Paper To Electronic |
|
PDF
AutoStore Default |
|
|
|
Developing Records Retention Schedules |
|
|
|
|
|
Develop procedures for record transfers or destruction |
|
|
|
|
|
Identifying and managing Vital Records and Archival
records |
|
|
|
|
|
Keeping Records Secure (includes password protected records
on shared drives) |
|
TRIM |
|
|
|
Ensuring long-term preservation of records that have
archival value? |
|
TRIM |
|
|
|
Protect the integrity and legal admissibility of records |
|
TRIM? |
|
|
|
Other: (please
specify) |
|
|
|
|
3.3.2 Has your
department/unit developed procedures to:
(Check X all that apply)
q Ensure
training on how to manage electronic records and archives?RAMP-TRIM
q Apply
classification schemes (where available) to electronic records? By org unit
owner and locations, Record Type and in some situations by Record Series &
folders
q Manage
“shared drives” as part of the RM programme - No
q Ensure
that e-mails and electronic records are part of your overall records management
programme? No in ongoing discussion
q Manage
e-mail as corporate records? [see 3.3 for more details] not in practical sense
q Other,
please specify
Comments: See
Recent Issuance of ITD; EX DIR Without Input of DPP/SI.
ADA –
Appraisal Decision Assistance Project and efforts with DAP project to involve
work units etc..
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 __X__
q Keep
in an e-mail folder on the desktop __X__
q Keep
on their c-drive in an electronic folder outside the e-mail system __X__
q Retain
on the e-mail server __X__
q Transfer
onto the departmental shared drive __X__
q Other,
please specify:
Comments:
3.4 Standards
3.4.1
Does your department / UNPO work unit follow established
Records Management Standards?
q
Yes __X__ Attempts
to follow established Records Management Standards.
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 programmes. (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) __X__
q
Metadata Standards __X__
q
Functional File Classification Schemes __X__
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 __X__
q
ODMA – Document Management
Interoperability Standard __X__
q
WflMC – Workflow Interoperability
Standard
q
Other, please specify
Comments: In 1993
– 97 was last major external effort since the WGARM and implementation of TRIM.
3.4.3
Where imaging or scanning programmes
exist, have policies and related technical standards (AIIM/ANSI/NISO) been
applied to the programme development?
q
Yes
q
No
q
Don't Know
Comments: Vaguely, at first kept TIF
& PDF paper copies maintenance sometimes
offsite.
3.5 Records
Classification Scheme Implementation
3.5.1
Have you developed and implemented a
records classification scheme for Departmental/Unit records.
q
Yes
__X__ By Organizational Unit, By Record Series, By
Record Type
q
No
q
Don't Know
3.5.1.1
If yes, is it applied to paper, email
and other electronic records?
q
Yes __X__ Some
for Paper & for Electronic
q
No
q
Don't Know
3.5.2
List any Department/Units applying the
classification scheme to paper/electronic/both
(See Annex 1).
CF-USAA-EVL Evaluation
Office
CF-USAA-PFO Programme funding office some efforts to
standardize on Series and File folder titles
CF-USAA-SI-Imm
Immunizations team efforts to
fully integrate their paper and elect records with combination of elec capturing
and scanning into elec format.
3.5.3
Is the classification scheme updated as
new programmes or business processes are introduced? (Check X
which one applies)
q Never
q Sometimes __X__
q Always
Comments: Sometimes
DAP – ADA Effort.
3.5.4
Have you developed naming or titling
conventions for electronic folders or individual documents? (Check X all
that apply)
q electronic
documents
q e-mail
Comments: No,
possibly after ADA for series and folders.
3.5.5
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 __X__
q Always
Comments:
3.6 Security and Access
3.6.1 What measures
are in place to ensure that records are secure:
(Check X all that apply)
q Administrative:
__X__
q Authorized
access to records on computers, __X__
q Technical: __X__
q Passwords
for network access __X__
q Different
levels of user security __X__
q Physical: __X__
q Restricted
access to computer rooms
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:
|
Yes
– Check – IT - Very Difficult |
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:
|
Yes,
Depending on ITD Agreement. |
3.6.4
How
does your organisation address concerns of systems and data security with the
increasing need for remote access by users?
Response:
|
Work
In Progress. |
3.7
Records Retention Schedules
3.7.1
Does your department/unit have a
retention and disposal schedule? Financial
Records Only.
3.7.2 Are they periodically reviewed to identify
new record series and information systems?
3.7.2
Does the records retention schedule
apply to both paper and electronic records?
q
Yes
q
No
q
Don't Know
Comments: In
Theory
.
3.7.4 Are you applying records schedules to electronic records and to e-mails? (Check X all that apply)
q by
date created
q to
folders in directories on networks (shared or personal workspace) or hard
drives?
q in
e-mail folders
q to
records in imaging or document management systems?
q in
databases
Comments: Under
Discussion Based on ADA & DAP Results
3.7.5
Are archival records regularly
identified and appraised?
q
Yes __X__
q
No
q
Don't Know
Comments:
3.8 Disposition
3.8.1
When electronic records are due for
destruction, who approves destruction lists?
Provide reference if available>
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 frequent reason, 5 least frequent reason)
q Lack
of server space 1
q Department
and/or business level unit restructuring
2
q Annual
directory cleanup day - ad hoc
q Part
of annual transfer /culling process -
ad hoc
q Annual
maintenance programme - Ad hoc
Comments:
Se
comments in CF-USAA-DPP-SI-I-L Library response
3.9 Vital Records
3.9.1
Does your department/unit have a vital
records management programme that identifies vital records?
q Yes
q No X
Initial efforts made with beginning of Appraisal Decision Assistance [
q Don't
Know
3.9.1.1 Briefly describe the programme:
3.9.2 Does your
department/unit have a disaster avoidance planning and recovery procedure?
3.9.2.1 Briefly describe the plan and procedure.
3.10 Records Management Technology
3.10.1 List which RM/EDMS software product(s)
your department is using to capture and manage:
Please review
Annex 4 and validate/verify RM technology systems.
Programme Activity
|
ERMS |
EDMS |
Imaging
|
Microfilm |
|
Active and
semi-active paper files |
RAMP-TRIM |
RAMP-TRIM |
RAMP-TRIM |
pre 1993 |
|
Inactive
paper files |
RAMP-TRIM |
RAMP-TRIM |
RAMP-TRIM |
pre 1993 |
|
Electronic
records |
RAMP-TRIM |
RAMP-TRIM |
RAMP-TRIM |
|
|
Both paper
and electronic records |
RAMP-TRIM |
RAMP-TRIM |
RAMP-TRIM |
|
|
E-mail |
Potential RAMP-TRIM |
Potential RAMP-TRIM |
Potential RAMP-TRIM |
|
3.10.2 Does RM get
involved in technology initiatives and if so at what level? [check as
appropriate]
q Integral
part of the team
q Depends
on the project ___XXX depends on 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
– Some – At time of legacy system project offered advice. Cooperated on
specifications for DAP and ADA Projects
q Don't
Know
3.10.4
Does your Department/unit work with IT
to develop: (Check X
all that apply)
Some see more
detailed response in CF-USAA-DPP-SI-I – Library input
Supposed to
follow guidelines for records irrespective of the method of creation,
transmittal or storage. is
|
Activity |
Yes |
No |
|
E-mail policies and procedures |
SOME |
|
|
Electronic records policies and procedures |
SOME |
|
|
Shared drives for electronic records control |
SOME |
|
|
Classification schemes for electronic records |
SOME |
|
|
Methods to apply retention schedules to electronic records |
SOME |
|
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
Have adopted
best practices form professional, international orgs and UNICEF on the ground
experience. Manuals and Guidelines need to be updated but lack resources. Diminished
capacity during the previous 7 years. RAM related staff in effect significantly
reduced. Some short term money obtained fro some update projects
3.11.2 Does
your Department/Unit develop records management skills through training?
3.11.2.1 If so describe (Include conferences
and seminars attended, continuing education and distance learning courses,
in-house RM training courses)
3.11.3 Describe what RM training and development is
provided to business unit level staff (secretaries/admin/support staff)
Comments:
RAMP-TRIM
Training – contain
-
s a
half day overview of best practices, policies, responsibilities, integrated
with introduction to using a tool for managers etc.
-
2.
5 days for users on Record Series, Folders, boxes, items register, electronic
capture and Scanning ec.
-
Special training designed for projects or work
teams based on needs.
.d
4. Additional Comments:
Do you have any comments on issues associated with the
Department/Unit electronic records management DAP programme and any suggestions
for improvement?
Thank You for Your Participation in this Survey
For clarification or further information, please contact the
UNPO
Dhurjati Mueller,