Ref: UN/CS/RAI/USAA/DB01/2004-00160
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
Department/Unit Name:
DM/OCSS/FCAS/Archives and Records Management Section
Location:
Name and Title of Person Completing
Survey: Tony Newton Phone #: 212-963-6331
E-mail Address: newtont@un.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
__Libraries,
official document repositories and the registration or upkeep of special collections and reference materials;
_
_ Specialists for content or knowledge sharing and management
This questionnaire is
filled by the DHL for its Digitization Programme: conversion of official UN
documents (1945-1992) to be loaded into the ODS.
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 _0098__
No ___
Additional List Yes___ No __X_
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 IAM___
No ___
Additional List Yes___ No _X__
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 ___
No _X__
Additional List Yes___ No __X_
The Archives holds records from all
sections of the Secretariat as well as its own records. Therefore all series
are represented.
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_x__ 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 |
|
|
|
x |
|
Scheduling |
|
|
|
X |
|
|
|
x |
|
Disposition |
|
|
|
X |
|
|
|
X |
|
Vital Records |
|
|
X |
|
|
|
X |
|
|
RM Technology |
|
|
|
X |
|
|
x |
X |
Training
|
|
X |
|
|
|
|
X |
|
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) |
Currently
being developed with a target date of 2005 |
|
|
|
|
|
Digital Archives Programme |
No ARMS is
participating in the DAP project |
2004 |
|
|
|
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: late 2005
q No
q Don't
Know
3.1.2
How important do you think ERM and DAP
is to your business process?
X 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?
X Yes
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?
X 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?
X Yes
q No
q Don't
Know
3.1.4.2 If
no, what plans have you to identify key records?
3.1.5.1 Do
you develop annual records management targets and priorities?
X 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)
|
Activity |
Least Significant |
Significant |
Most Significant |
|
Budget availability |
|
|
X |
|
Staff availability |
|
|
X |
|
Department/Unit business needs |
|
X |
|
|
Department/Unit RM priorities |
|
X |
|
|
Overall UNPO RM priorities |
|
|
X |
|
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:
ARMS uses a fully configured and compliant records management system (TRIM)
which meets international best practice
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)
X Records
and Information Management
X IT
q Other,
please specify
Comments:
3.2 Policy
3.2.1
Does your office have Records Management
Policies that guide the use and management of official records?
X Yes
q
No
q
Don't Know
ARMS is the repository for UN archives. It also has an RM policy,
standards and guidance role for the UN
3.2.2
In your organisation/work unit are
electronic records considered official records?
X Yes
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?
|
Type |
Date
Developed |
Last Update |
Doc Ref and
Issuing office |
Policy
Planned |
No Plan |
|
Digital/Electronic Records |
To be
finalised in 2005 |
|
|
|
|
|
Digital Archives |
Part of the
DAP project |
|
|
|
|
3.2.4
Does your department/work unit have a
policy concerning the use of electronic signatures?
q
Yes
X No
q
Don't Know
3.2.5
Are some of your Records Management
functions, such as storage, outsourced?
X Yes
q
No
q
Don't Know
A significant part of the archival arrangement and description function is outsourced.
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 Always
ARMS always builds quality control into outsourcing contracts.
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.
All quality
control, records access and security, and other records issues are built into
the outsourcing contract and monitored.
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 |
X |
|
Developing Records Retention Schedules |
X |
X |
|
|
|
Develop procedures for record transfers or destruction |
X |
X |
|
|
|
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)
X Ensure
training on how to manage electronic records and archives?
X Apply
classification schemes (where available) to electronic records?
X Manage
“shared drives” as part of the RM programme
X Ensure that e-mails and electronic records
are part of your overall records management programme?
X Manage
e-mail as corporate records? [see 3.3 for more details]
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
XOther, please specify:
Comments:
Emails are electronically captured into our TRIM
records management system
3.4 Standards
3.4.1
Does your department/work unit follow
established Records Management Standards?
X 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 programmes. (Check X
all those that you are aware of.)
q
ISO 9000 - Quality management and
Quality Assurance Standards
q
ISO 14000 – Environmental Management
X ISO Records Management Standard
(ISO15489)
X Metadata Standards
X Functional File Classification Schemes
X AIIM Standards
q
ARMA Standards (e-mail)
q
Competency Standards:
ARMA/ALARM/Australian/UK/Canadian Governments
X DOD 5015.2 Records Management Software
Standards
q
ODMA – Document Management
Interoperability Standard
q
WflMC – Workflow Interoperability
Standard
q
Other, please specify
3.4.3
Where imaging or scanning programmes
exist, have policies and related technical standards (AIIM/ANSI/NISO) been
applied to the programme development?
Yes
X No
q
Don't Know
Comments:
ARMS
does not do much scanning at this stage
3.5 Records
Classification Scheme Implementation
3.5.1
Have you developed and implemented a
records classification scheme for Departmental/Unit records.
X Yes
q
No
q
Don't Know
3.5.1.1
If yes, is it applied to paper, email
and other electronic records?
X Yes (applies to paper and 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). ARMS
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 Always
Comments:
3.5.4
Have you developed naming or titling
conventions for electronic folders or individual documents? (Check X all
that apply)
X electronic documents
q e-mail
Comments:
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 X which one applies)
q Never
- Records Issues are Not Addressed
q Sometimes
X 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)
x Administrative:
x Authorized
access to records on computers,
x Technical:
x Passwords
for network access
x Different
levels of user security
x Physical:
x 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:
|
No |
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, a copy of
the part of ARMS TRIM archival description database is soon to be accessible
on our Internet site.. |
3.6.4
How
does your organisation address concerns of systems and data security with the
increasing need for remote access by users?
Response:
|
IN the case of
the above, only a copy of our database will be accessible from the Internet.
There will be no external access tour production database. |
3.7
Records Retention Schedules
3.7.1
Does your department/unit have a
retention and disposal schedule? Yes, for ARMS own records. The archival holdings
are retained permanently.
3.7.2 Are they
periodically reviewed to identify new record series and information systems?
Yes.
3.7.2
Does the records retention schedule
apply to both paper and electronic records?
X Yes
q
No
q
Don't Know
3.7.4 Are you applying records schedules to electronic records and to e-mails? (Check X all that apply)
qX 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?
qX in databases
.
3.7.5
Are archival records regularly
identified and appraised?
X Yes
q
No
q
Don't Know
Comments: This is a core function of our
Section
3.8 Disposition
3.8.1
When electronic records are due for
destruction, who approves destruction lists?
Provide reference if available>
Section
Chief
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
q Department
and/or business level unit restructuring
q Annual
directory cleanup day
X Part
of annual transfer /culling process
q Annual
maintenance programme
Comments:
3.9 Vital Records
3.9.1
Does your department/unit have a vital
records management programme that identifies vital records?
XYes
q No
q Don't
Know
3.9.1.1 Briefly describe the programme: Programme has identified vital
records help by ARMS and these records are being progressively microfilmed and
digitized with copies being stored off site.
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.
See the above for Vital Records. In
addition, ARMS is creating a disaster preparedness plan for the Section. This
will be complete in 2005.
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 |
TRIM |
|
|
|
|
Inactive
paper files |
TRIM |
|
|
For some archival records |
|
Electronic
records |
TRIM |
|
|
|
|
Both paper
and electronic records |
TRIM |
|
|
|
|
E-mail |
TRIM |
|
|
|
3.10.2 Does RM get
involved in technology initiatives and if so at what level? [check as
appropriate]
X 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)
X Yes
q No
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 |
X |
|
|
Electronic records policies and procedures |
X |
|
|
Shared drives for electronic records control |
|
X |
|
Classification schemes for electronic records |
X |
|
|
Methods to apply retention schedules to electronic records |
X |
|
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?
3.11.2.1 If so describe (Include conferences
and seminars attended, continuing education and distance learning courses,
in-house RM training courses)
An ongoing program of various rm traning is organsied for staff.
3.11.3 Describe what RM training and development is
provided to business unit level staff (secretaries/admin/support staff)
Comments:
ARMS organizes TRIM, electronic recordkeeping, records appraisal,
and archival arrangement and description training for its staff.
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,