Ref: UN/CS/RAI/USAA/DB01/2004-00176
United
Nations Participating Ogranisations
Development
of a Strategic Plan for a
Digital
Archives Programme,
Digital
Assessment Survey
Part
1: Information Technology *
* Information Technology Representatives, E-mail Administrators, Technology Coordinators, Information Architects, Application Owners
Digital Assessment Survey
This
Questionnaire is to be completed by Information Technology and Communications
professionals within each UNPO.
Part 1 - Information Technology
- General Information
- Technology and Information Systems
2.1 Technology Infrastructure
2.2 Technology Applications
2.3 Storage and Media
2.4 Data Integrity
2.5 Security and Access
2.6 Electronic Mail and Messaging Systems
- Additional comments
PART I: INFORMATION
TECHNOLOGY QUESTIONNAIRE
This survey is
designed to collect information concerning the status and development of electronic records
programmes and related areas from IT Departments/Units. 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/Subfunction Matrix
Annex 3 -
Record Series (to be used in RM questionaire Part II)
Annex 4 – List
of IT systems, applications and software
Annex 5 – List
of Policies and Procedures
1.0 General Information
UN Participating Organisations: UNICEF
Organisation/Work
Unit Name: ITD
Location: 3, UN Plaza
Name and Title of Person Completing
Survey: Siva Thiagarajan
Phone #: 212-824-6169
E-mail Address: sthiagarajan@unicef.org
Contact Person (if different from above: Phone #:
Contact Person’s (E-mail Address): ___________________________________
Reference Number (for WGARM/DAP use
only)
Identify your role (check all appropriate boxes) within the IT environment:
_*_ Information Technology Representatives: Information Technology representatives form each of the UNPOs and/or other major subgroups within the UNPOs.
__ E-mail Administrators: Those individuals responsible for the development and implementation of the e-mail policies and procedures.
__ Technology Coordinators: Individuals within the UNPOs that are responsible for coordinating technology initiatives, usage, and standards across multiple business processes, groups, and/or technology applications.
___ Information Architects: Individuals within each of the UNPOs that are responsible for the functional composition of the business processes and their relationship to the high level function and information assets of the organization.
___ Application Owners: Personnel owning or responsible for the major Records, Document, and Transactional systems and applications within each of the UNPOs and/or other major subgroups within the UNPOs.
1.1 Departmental Background And Related Documentation
1.1.1 From
Annex 1, Identify which organisational 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 ___ (All ITD)
Additional List Yes___ No ___
1.1.2 From
Annex 2, identify which functions and subfunctions 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 questinnaire.
Annotated Annex Yes _*_
No ___ (All ITD)
Additional List Yes___ No ___
1.1.3
From Annex 4, validate list of IT
systems, applications and software (see 2.2.1).
If the systems, applications and software are not listed in Annex 4,
please provide a separate list and attach to this questinnaire.
Annotated Annex Yes _*__
No ___
Additional List Yes_*__ No ___
1.1.4
From Annex 5 validate list of Policies
and Procedures (see 2.1.1). If the
Policies and Procedures are not listed in Annex 5, please provide a separate
list and attach to this questinnaire.
Annotated Annex Yes _*__
No ___
Additional List Yes___ No ___
2.0 Technology and Information Systems
2.1 Technology Infrastructure
2.1.1
Does your organisation maintain any Information Technology
Standards, Policies, Procedures or Practices?
Validate Annex 5 and indicate below and attach any relevant documents
that are not listed in the annex. Please
note if it is an undocumented practice and indicate if it is within the
specific organisational unit or across multiple organisational units.
Systems, Application data bases and
Software:
SAP FLS (Financial and Logistics
system) as well as
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Document
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Description |
Reference |
Date
of issuance |
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Policy |
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Procedures |
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Standards |
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Security |
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Scheduling |
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Disposition |
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Training
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Electronic Records (structured or
unstructured): From FLS, it is same as above
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Document
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Description |
Reference |
Date
of issuance |
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Policy |
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Procedures |
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Standards |
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Security |
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Scheduling |
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Disposition |
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Training
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Email (if separate from above):
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Document
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Description |
Reference |
Date
of issuance |
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Policy |
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Procedures |
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Standards |
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Security |
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Scheduling |
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Disposition |
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Training
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2.1.2
Which of the following database technology applications is
your organisation using or considering? Please check all that apply.
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Applications
Programmed in a Commercial Database |
Currently Using |
Considering Use |
Used in the Past |
Have Defined Need |
Current Project |
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Microsoft SQL |
Yes |
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Oracle |
Yes |
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Sybase/SQL Anywhere |
Yes |
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dbase, FoxBASE, etc. |
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Yes |
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Microsoft Access/Excel |
Yes |
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Other (Please specify): |
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Additional Details:
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2.1.3
Which of the following application development tools is your
organisation using or considering? Please check all that apply.
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Custom
Developed Applications |
Currently Using |
Considering Use |
Used in the Past |
Have Defined Need |
Current Project |
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Java |
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Yes |
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HTML |
Yes |
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.NET |
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Yes |
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Visual Basic |
Yes |
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Pascal |
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C++ |
Yes |
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Other (Please specify): SAP Netweaver IBM websphere |
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Yes |
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Additional Details:
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2.2 Technology Applications
2.2.1
Does your organisation maintain an inventory or list of automated
applications (i.e., word processing, office automation, custom applications,
document repositories, databases, spreadsheets, etc.) used or supported within
your organization? Validate Annex 4 and
indicate below and attach any relevant documents that are not listed in the
annex.
Response/Details:
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Yes.
See Annexure 4 for more details |
2.2.2
Which of the following technologies and software
applications is your Department/Group currently using or considering? Please
identify all that apply and also provide appropriate details below. Please enter the appropriate system names
from question 2.2.1 above.
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Technology Application |
Use Currently |
Considering Use |
Used in the Past |
Have
Defined Need |
Current Project |
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Records Management |
Yes? |
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Document Management
Systems |
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Content Management |
Yes |
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Artificial
Intelligence, Searching, Indexing |
* |
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Data Mining |
Yes |
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Taxonomy,
Intelligent Classification (e.g., Verity) |
* |
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COLD Storage |
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Optical Character
Recognition |
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Collaboration
Systems (e.g., Lotus Notes, etc.) |
Yes |
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Digital Imaging
(Kofax, etc.) |
Yes * |
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Enterprise
Resource & Planning (e.g., SAP, PeopleSoft) |
Yes |
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Artificial
Intelligence (AI) |
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Workflow, Business
Process Automation |
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Yes |
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Electronic Mail
(Email) |
Yes |
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Geographic
Information Systems (GIS) |
Yes |
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Intranet/Internal
Web Postings |
Yes |
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Internet |
Yes |
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Other (
Describe): _____________ Cognos Power play Imprompto |
Yes |
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2.3 Storage and Media
2.3.1
Describe what media/storage devices are used by your Department/Group
to retain records and documents in electronic format. Please identify all that
apply and also provide appropriate details.
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Storage Technology |
Use Currently |
Considering Use |
Used in the Past |
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Computer Tapes |
Yes |
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Storage Area Network |
Yes |
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EMC Centera |
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Yes |
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CD-ROM/DVD |
Yes |
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Worm Disks |
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Magneto Optical Disks |
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Other |
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Additional Details:
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2.3.2
Does your organization have agreements for off-site data
hosting? If so, are these reflected in
your standards, policies, and procedures?
Do these agreeements cover storage and information security issues?
Please provide appropriate detail.
q
Yes.
þ No.
q
Don’t Know
Additional Details:
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2.3.3
Does your organisation have a Digital Archives? If so, when did you organisation begin its
digital archive? Please briefly
describe the associated record types and identify the file format (eg., .doc,
.pdf, .xml, etc.). Use separate sheet as
necessary.
q
Created in the
1960’s.
q
Created in the
1970’s.
q
Created between
1980 and 1985.
q
Created between
1985 and 1995.
q
Created after 1995.
q
Do not have a
digital archive.
Additional Details:
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Data
from non Y2K compliant applications was loaded and archived with documentation PROMS
archiving Ongoing
application archiving project using iXOS as the tool to archive information
from FLS (SAP) |
2.3.4
Does your organisation have one or more defined document
archival file format standards. Please
explain and identify the file format (eg., .tiff, .pdf, .xml, etc.). Use separate sheet as necessary.
Additional Details:
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iXOS
uses pdf as the standard repository format for all stored images (for
documents). The images are stored either in tiff or jpeg format. |
2.3.5
Does your organisation have one or more defined data
archival standards. Please identify if
listed in question 2.1.1 above. Use
separate sheet as necessary.
Additional Details:
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Ongoing
application archiving project uses the FC 25 as the basic working document.
In addition, using the industries benchmarked practices as defined by iXOS |
2.3.6
Do you use any retention and/or destruction methods for
electronic records? Please explain.
Response:
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Ongoing
application archiving project using FC 25 as reference |
2.4 Data Integrity and Access
2.4.1
Has your Organization ever converted data from one hardware
environment to a new hardware environment?
þ Yes
q
No
q
Do Not Know
Additional Detail on the most recent (3-4 years):
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FLS:
Moved to HP RP 8400 + HP SAN Overall
file to SAN 2002-2003 |
2.4.1.1 If yes, Please describe
the project, your level of success and the hardware and data you used, provide
appropriate details below or on a separate sheet:
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Project Name/Description |
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Very Successful |
Yes |
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Average |
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Not Successful |
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Additional Detail:
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2.4.2
Has your Organisation ever converted data from one software
environment to a new software environment?
þ Yes
q
No
q
Do Not Know
Additional Detail:
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1.
From Econintel treasury to SAP treasury (2002) 2.
Red Dot 3.
cc: Mail to Notes/Domino 4.
From Legacy to SAP R/3 (1999) 5.
GFSS to Proms (1998-1999) 6.
From UNICEF HR Legacy to IMIS (1997-1998) 7.
From IMIS to SAP HR (in process) |
2.4.2.1 If yes, Please describe
the project, your level of success and the software and data you used, provide
appropriate details below or on a separate sheet:
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Project Name/Description |
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Very Successful |
Yes |
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Average |
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Not Successful |
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Additional Detail:
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2.4.2.2
Was there a loss of data associated with one or more of the
projects identified above, if so explain:
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Project Name/Description |
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More than Expected |
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Less than expected |
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No Data Loss |
No data loss. |
Additional Detail:
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2.4.3
How often does your agency perform regular backups and in
what medium and location are the backups stored?
2.4.3.1
Frequency: Please
check all that apply.
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Back-up/Recovery |
Daily |
Weekly |
Monthly |
Never |
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Mainframes |
Yes |
Yes |
Yes |
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Minicomputers |
Yes |
Yes |
Yes |
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LAN Servers |
Yes |
Yes |
Yes |
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Personal Computers |
User Controlled |
User Controlled |
User Controlled |
User Controlled |
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Laptops |
User Controlled |
User Controlled |
User Controlled |
User Controlled |
Additional Detail:
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2.4.3.2
Storage Medium: Please
check all that apply.
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Back-up/Recovery |
Disk |
Magnetic Tape |
Optical Disk |
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Mainframes |
Yes |
Yes |
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Minicomputers |
Yes |
Yes |
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LAN Servers |
Yes |
Yes |
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Personal Computers |
Varies: CD, DVD’s,
Flash Memories |
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Laptops |
Varies: CD, DVD’s,
Flash Memories |
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Additional Detail:
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2.4.3.3
Location: Please
check all that apply.
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Back-up/Recovery |
On-Site |
Off-Site |
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Mainframes |
Yes |
Yes |
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Minicomputers |
Yes |
Yes |
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LAN Servers |
Yes |
Yes |
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Personal Computers |
User Controlled |
User Controlled |
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Laptops |
User Controlled |
User Controlled |
Additional Detail:
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2.4.4
Does your organisation utilize any digital signature
technologies? If so, does the organisation have standards, policies, and
procedures for digital signatures?
Response:
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No |
2.4.5
Please describe the verification and authentication process
for digital records within your organisation.
Response:
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User
Id and Password Controlled |
2.4.6
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:
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2.4.7
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:
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Yes.
It is a project in 2005 |
2.4.8
How does your organisation address concerns of systems and
data security with the increasing need for remote access by users?
Response:
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2.5 Electronic Mail and Messaging
Systems
2.5.1
Do you have an email policy, how do you capture and maintain
emails as business records?
Response:
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Scheduled
training sessions for users on how to archive your email so that you do not
lose messages. |
2.5.2
What system is used for e-mail and how do you manage your
e-mail?
Response:
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Lotus Domino is used for e-mail.
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2.5.3
Do you use any retention and/or destruction methods for
e-mail records? If so, please explain.
Response:
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In |
3. Additional Comments:
Thank You for Your
Participation in this Survey
For clarification or further
information, please contact the
UNPO
Dhurjati Mueller,