Ref: UN/CS/RAI/USAA/DB01/2004-00178
United Nations Participating Organisations
Development of a Strategic Plan for
a
Digital Archives Programme,
Digital Assessment Survey
Part 2: Information,Records and Archive Management *
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* 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
Programme plan
Policy
Procedures
Standards
Record
classification
Security
Record retention
schedules
Disposition
Vital records
Records management
technology
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
UNFPA
Department/Unit Name: DMS, Procurement & Facilities Management
Branch, Facilities Mgt. Unit
Location:
Name and Title of Person Completing
Survey: Jennifer
Yap, Facilities Mgt.
Specialist
Phone #:
E-mail Address: yap@unfpa.org
Contact Person (if different from
above):
Phone
#:
E-mail Address:
Reference Number (for WGARM/
Identify
all appropropriate roles within IRAM:
__x_ Records, document, archives and
other information assets or content management
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Libraries, official document repositories and the registration or upkeep of
special collections and reference materials;
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Specialists for content or knowledge sharing and management
1.1 Departmental Background And Related Documentation
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
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Additional List Yes___
No ___
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
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Additional List
Yes___ No ___
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
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Additional List
Yes___ No ___
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
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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.
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Electronic Records and Digital Archive
Programme Components |
E-Mail |
Other Electronic Records |
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No Progress |
Progress |
Significant Progress |
Mature Development |
No Progress |
Progress |
Significant Progress |
Mature Development |
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Programme Plan
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x |
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x |
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Policy |
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x |
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x |
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Procedures |
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x |
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x |
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Standards |
x |
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x |
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Classification
Schemes |
x |
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x |
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Security |
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x |
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x |
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Scheduling |
x |
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x |
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Disposition |
x |
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x |
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Vital
Records |
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? |
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RM
Technology |
x |
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Training
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x |
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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
Do you have a current plan for managing: NO
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Type |
Date Developed |
Last Update |
Doc Ref and Issuing office |
Linked to Dept planning? |
Linked to IT planning? |
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Digital/Electronic
Records Management (ERM) |
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Digital
Archives Programme |
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If no, do you anticipate developing a
plan for managing electronic records and a digital archives
in the near future?
Yes Approximate date: UNFPA intend to apply UN harmonized system.
No
Don't Know
How important do you think ERM and
Very important
Important
Not important
Don't Know
Does your Department/Unit have records management
specialists or someone who is designated with the responsibility of carrying
out RM functions?
Yes
No
Don't Know
Have you identified the main groups of records
created in your day-to-day unit/departmental activities?
Yes
No
Don't Know
If yes, have you prioritized the main
groups of records related to their main or substantive areas?
Yes
No
Don't Know
If no, what plans have you to identify key
records?
Do you develop annual records management
targets and priorities?
Yes
No
Don't Know
3.1.5.1 If yes, how do you
prioritize the activities? (Rate in order of significance 1= high)
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Activity |
Least Significant |
Significant |
Most Significant |
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Budget
availability |
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Staff
availability |
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Department/Unit
business needs |
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Department/Unit
RM priorities |
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Overall
UNPO RM priorities |
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Other: please
specify |
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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:
3.1.7 Do you collaborate with
any of the following groups in planning for the management of Electronic
Records and
Records and Information Management
IT
Other, please specify
Comments:
3.2 Policy
Does your office have Records Management Policies
that guide the use and management of official records?
Yes
No
Don't Know
In your organisation/work unit are electronic records
considered official records?
Yes
No
Don't Know
Do you have a policy concerning electronic
records and/or digital archives in your organisation/work unit? NO
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Type |
Date Developed |
Last Update |
Doc Ref and Issuing office |
Policy Planned |
No Plan |
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Digital/Electronic
Records |
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Digital
Archives |
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Does your department/work unit have a policy
concerning the use of electronic signatures?
Yes
No
Don't Know
Are some of your Records Management
functions, such as storage, outsourced?
Yes
No
Don't Know
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)
Never - Records Issues Are
Not Addressed
Sometimes
Always
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.
Archive
records are stored with the UN Archive office and commercial archive
vendor. Records of archived hard copy
files are maintained by Divisions. In
this respect, each Division also provides retention period aside from
determining permanent or temporary records.
Temporary records are stored in with the commercial vendor while
permanent records are stored in the UN Archives.
For security,
archive facilities only provides access to requestors
upon our office’s approval. Our office
main function is to facilitate the storage of these records.
3.3 Procedures
3.3.1
Are procedures in place for the following: (Check X all
that apply)
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Procedure |
Yes |
No |
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E-mail |
Electronic |
E-mail |
Electronic |
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Classifying
Records and develop record classification scheme |
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x |
x |
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Conducting
File Conversions from Paper To Electronic |
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x |
x |
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Developing
Records Retention Schedules |
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x |
x |
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Develop
procedures for record transfers or destruction |
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x |
x |
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Identifying
and managing Vital Records and Archival records |
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x |
x |
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Keeping
Records Secure (includes password protected records on shared drives) |
x |
x |
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Ensuring
long-term preservation of records that have archival value? |
x |
x |
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Protect the
integrity and legal admissibility of records |
x |
x |
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Other: (please
specify) |
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3.3.2
Has your department/unit developed procedures to: (Check X
all that apply)
Ensure training on how to manage
electronic records and archives?
Apply classification schemes (where
available) to electronic records?
Manage “shared drives” as part of the RM
programme YES
Ensure that e-mails and electronic records
are part of your overall records management programme?
Manage e-mail as corporate records? [see 3.3 for more details]
Other, please specify
Comments:
3.3.3
What procedures are in place for managing e-mail messages? Users: (Check
X all that apply)
Print e-mails to paper and file them YES
Keep in an e-mail folder on the desktop YES
Keep on their c-drive in an electronic
folder outside the e-mail system YES
Retain on the e-mail server
Transfer onto the departmental shared drive YES
(L drive)
Other, please specify:
Comments:
3.4 Standards
Does your department/work
unit follow established Records Management Standards?
Yes
No
Don't Know
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.)
ISO 9000 - Quality management
and Quality Assurance Standards
ISO 14000 – Environmental
Management
ISO Records Management
Standard (ISO15489)
Metadata Standards
Functional File
Classification Schemes
AIIM Standards
ARMA Standards (e-mail)
Competency Standards:
ARMA/ALARM/Australian/UK/Canadian Governments
DOD 5015.2 Records
Management Software Standards
ODMA – Document Management
Interoperability Standard
WflMC – Workflow
Interoperability Standard
Other, please specify
Comments:
Where imaging or scanning programmes exist,
have policies and related technical standards (AIIM/
Yes
No
Don't Know
Comments:
3.5 Records Classification Scheme Implementation
Have you developed and implemented a
records classification scheme for Departmental/Unit records.
Yes
No
Don't Know
If yes, is it applied to
paper, email and other electronic records?
Yes
No
Don't Know
3.5.2 List any
Department/Units applying the classification scheme to paper/electronic/both
(See Annex 1).
Is the classification scheme updated as new
programmes or business processes are introduced? (Check X
which one applies)
Never
Sometimes
Always
Comments:
Have you developed naming or titling conventions for
electronic folders or individual documents? (Check X all
that apply)
electronic documents
e-mail
Comments:
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)
Never - Records Issues are Not
Addressed
Sometimes
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)
Administrative:
Authorized access to records on computers,
yes
Technical:
Passwords for network access yes
Different levels of user security YES
Physical:
Restricted access to computer rooms yes
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:
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MIS to respond. |
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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MIS to
respond. |
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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MIS to
respond. |
3.7 Records
Retention Schedules
Does your department/unit have a retention and
disposal schedule? YES
3.7.2
Are they periodically reviewed to identify new record series and information
systems? NO
Does the records retention schedule apply to both
paper and electronic records?
Yes
No
Don't Know
3.7.4 Are you applying records schedules to electronic records and to e-mails? (Check X all that apply)
by date created
to folders in directories on networks
(shared or personal workspace) or hard drives?
in e-mail folders
to records in imaging or document management
systems?
in databases
Are archival records regularly identified and
appraised?
Yes
No
Don't Know
Comments:
3.8 Disposition
When electronic records are due for destruction, who approves destruction lists?
Provide reference
if available>
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)
Lack of server space 3
Department and/or business level unit
restructuring
Annual directory cleanup day
1
Part of annual transfer /culling process 1
Annual maintenance programme
Comments:
3.9 Vital Records
Does your department/unit have a vital records
management programme that identifies vital records?
Yes
No
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? NO
3.9.2.1 Briefly
describe the plan and procedure.
3.10 Records Management Technology
List which RM/EDMS software product(s) your
department is using to capture and manage: NONE
Please review
Annex 4 and validate/verify RM technology systems.
Programme Activity
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EDMS |
Imaging
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Microfilm |
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Active and
semi-active paper files |
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Inactive
paper files |
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Electronic
records |
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Both paper
and electronic records |
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E-mail |
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3.10.2
Does RM get involved in technology initiatives and if so at what level? [check as appropriate]
Integral part of the team
Depends on the project
Not included on the teams
Never participate
Do not have the skills necessary
Not our responsibility, we are only look
after paper files
Have you been involved with the IT group to apply
retention requirements to the databases and any paper outputs (reports/records,
etc)
Yes
No
Don't Know
3.10.4
Does your Department/unit work with IT to develop: (Check X
all that apply)
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Activity |
Yes |
No |
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E-mail
policies and procedures |
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Electronic
records policies and procedures |
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Shared
drives for electronic records control |
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Classification
schemes for electronic records |
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Methods to
apply retention schedules to electronic records |
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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) NONE
ARMA International
ALARM
Australian RM community
Federal Government of
Other, please specify
Does your Department/Unit develop records management
skills through training? NO
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:
4. Additional Comments:
Do you have any
comments on issues associated with the Department/Unit electronic records
management
Thank You for Your Participation in
this Survey
For clarification or further
information, please contact the UNPO
Dhurjati Mueller,
Electronic = word-processing, spreadsheets, graphics,
presentations, databases, etc.