Ref: UN/CS/RAI/USAA/DB01/2004-00179

United Nations Participating Organisations

Development of a Strategic Plan for a

Digital Archives Programme, DAP

 

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

 

  1. General Information

 

  1. Overall assessment

 

  1. 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

 

  1. 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  UNDP

Department/Unit Name:     Bureau of Management/BOM

Location:  UNDP HQ, New York

Name and Title of Person Completing Survey:       

Rosie Cross [212]906.5514 and Patrick Gremillet [212]906.6682

E-mail Address: rosie.cross@undp.org and patrick.gremillet@undp.org

Reference Number (for WGARM/DAP use only)

Identify all appropropriate roles within IRAM:

 

XXX_  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


 

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 ___   No ___   CORPORATE-ALL UNDP UNITS

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 ___   No ___

Additional List         Yes___   No ___   CORPORATE – ALL FUNCTIONS/SUB-FUNCTIONS

 

 

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 ___

Additional List         Yes___   No ___   CORPORATE – ALL RECORD SERIES

 

 

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 ___   No ___

Additional List         Yes___   No ___

q       ITC Standards and Guidelines – 7 March 2003 [Update November 2004]

q       ITC Strategy – July 2004 [2004-05]

q       Records Management [Policy] – September 2003 [being updated December 2004]

q       Policy on Prescriptive Content Management – March 2003

q       Policy on Electronic Documents Management – 7 May 2003

q       E-Documentation – UNDP Metadata Standards – 6 June 2003

q       Document Scanning Guidelines – November 2003

q       E-Documentation and Atlas – April 2004

 


 

 

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

 

 

 

 

 

 

 

 

Policy

 

 

 

X

 

 

X

 

Procedures

 

 

 

X

 

 

X

 

Standards

 

 

 

X

 

 

X

 

Classification Schemes

 

 

X

 

 

 

X

 

Security

 

 

X

 

 

 

X

 

Scheduling

 

 

 

 

 

 

 

 

Disposition

 

 

X

 

 

 

X

 

Vital Records

 

 

X

 

 

 

X

 

RM Technology

 

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)

 

 

 

 

 

 

 

Digital Archives Programme

 

 

 

 

 

 

 

 

 

 

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:

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?

 

q       Yes

X  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

 

 

 

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 programmes.

 

Comments:

 

 

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 IT

X          Other, please specify    WGARMS

 

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

 

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

May 2003

-

Bureau of Management

 

 

 

Digital Archives

 

 

 

 

 

 

 

 

3.2.4          Does your department/work unit have a policy concerning the use of electronic signatures?

 

X  Yes

q       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

 

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

 

 

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.    

Guidelines in place only for off-site storage of hard copy files.

 

 

           


 

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)

UNDER DEVELOPMENT BALANCE

 

 

 

 

 

 

 

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?

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:

 

Procedures for email have been partially developed, but are not yet implemented

3.3.3     What procedures are in place for managing e-mail messages?  Users:  (Check X all that apply)

 

X          Print e-mails to paper and file them

X          Keep in an e-mail folder on the desktop

X          Keep on their c-drive in an electronic folder outside the e-mail system

X          Retain on the e-mail server

X          Transfer onto the departmental shared drive

q       Other, please specify:

 

Comments:

Procedures in place but not applied across the board.

 

 

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

q       ISO Records Management Standard (ISO15489)

X          Metadata Standards

q       Functional File Classification Schemes

q       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

 

 

Comments:

 

 

3.4.3          Where imaging or scanning programmes exist, have policies and related technical standards (AIIM/ANSI/NISO) been applied to the programme development? 

 

X          Yes

q       No

q       Don't Know

 

Comments:

These technical standards have been used to develop guidelines on digitization.


 

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?

 

q       Yes

q       No

q       Don't Know

 

3.5.2                                  List any Department/Units applying the classification scheme to paper/electronic/both
(See Annex 1).

Classification scheme used by all units when publishing documents on the UNDP Portal

 

 

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:

Last update was made in September to incorporate new service lines under the core practice areas of UNDP

 

 

3.5.4          Have you developed naming or titling conventions for electronic folders or individual documents?  (Check X all that apply)

 

X          electronic documents

X          e-mail

 

Comments:

Recommendations have been made in this regard in the Records Management Procedures, but need to be followed by actual practice

 

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 

X          Sometimes

q       Always

 

Comments:

            New content management system (RedHat CMS) includes requirements for preservation, classification and access. Disposal issues are not included but are planned to be addressed at a later stage.


 

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:

q       Authorized access to records on computers,

q       Technical:

X          Passwords for network access

q       Different levels of user security

q       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:

 

 

 

 

 

 

 

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:

 

 

 

 

 

 

 

 

3.6.4          How does your organisation address concerns of systems and data security with the increasing need for remote access by users? 

 

Response:

 

 

 

 

 

 

 

 

3.7  Records Retention Schedules

 

3.7.1          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

 

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)                    

x          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

 

3.7.5          Are archival records regularly identified and appraised?

 

q       Yes

x          No

q       Don't Know

 

      Comments:

Hard copy records are regularly reviewed for destruction dates.

 

 

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

q       Department and/or business level unit restructuring

q       Annual directory cleanup day

q       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?

            Yes

q       No

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

 

 

 

 

Inactive paper files

 

 

 

 

Electronic records

 

 

 

 

Both paper and electronic records

 

 

 

 

E-mail

 

 

 

 



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

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

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 Canada.

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)

           

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 DAP programme and any suggestions for improvement?

 

 

Thank You for Your Participation in this Survey

For clarification or further information, please contact the UNPO DAP Coordinator or

Dhurjati Mueller,  303-7978, dmueller@unicef.org

 

 



[1] Electronic = word-processing, spreadsheets, graphics, presentations, databases, etc.