UN-CS-RAI-USAA-DB01-2004-00201
DRAFT
United
Nations Participating Agencies
Development
of a Strategic Plan
Digital
Assessment Survey
Part
3: Business Process Units*
November
2004
* Business Process Units include department/units from the
following functional areas: Administration (
Digital Assessment Survey
This
Questionnaire is to be completed by representatives of the Business Units
within each UNPO. Business Process
Units include department/units from the following functional areas:
Administration, Conferences, Central Support and Procurement (
Part 3 – Business Process Units
- General Information
·
Departmental Background and Related
Documentation
- Current Document/Records/Content Management Practices
- Document/Records Management/Content Management Policies and
Procedures
- Systems and Software Tools
- Additional comments
see Support
Documents, Annex 1- 5
PART III : BUSINESS PROCESS
Instructions:
The survey is
designed to collect information from each Department/Unit about its existing or
planned electronic records management and relevant digital archives
initiatives.
For purposes
of the survey "Department/Unit" does not include field offices.
Assumptions:
Where no response is received, we will assume that nothing is being done in
this area
Support Documentation:
Annex 1 – Organizational Units
Annex 2 – General Functions/Sub function Matrix
Annex 3 – Record series (where available)
Annex 4 – ICT systems, applications and software (used with ICT questionnaire Part 1)
Annex 5 – List of Policies and Procedures
1.0 General Information
UN Participating Organizations
Department/Unit Name: OCHA
Location: UN Secretariat 36th
Floor & DC1 13th Floor
Name and Title of Person Completing
Survey: Lambert Hogenhout
Phone #:
E-mail Address: hogenhout@un.org
Contact Person (if different from
above): Phone #:
E-mail Address:
Reference Number (for WGARM/
Identify the functional areas that you are representing (check all that apply), see Annex 2 for more details :
Administration (
Finance (
Human Resources (HRM) ___Ö___
Legal (
Audit (OAE) ____Ö_____
Management (OCM) ___Ö_______
Programme Project (PPM) ___Ö______
External Relations (ROC) ___Ö____
1.1 Departmental Background and Related
Documentation for validation
1.1.1
From Annex 1, identify which organizational
unit 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_Ö_ - OCHA-wide
Additional
List Yes __ No_Ö_
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_Ö_ -
Covers all functions
Additional
List Yes __ No_Ö_
1.1.3
From Annex 3, identify which Record Series
are covered by this survey. If the
Record Series you create or receive are not listed in Annex 3, please provide a
separate list and attach to this questionnaire
Annotated
Annex Yes __ No_Ö_
Additional
List Yes _Ö_ No__
(draft OCHA Subject Classification Scheme)
1.1.4
From Annex 3, identify those records series
for which you are the “Office of Record”. (i.e. you retain the “official
version” on behalf of your organization. N/A
1.1.5
Identify or list any specialized application
or software specially developed for your department/org unit. If applicable, Annex 4, list of IT Systems,
Applications and software is available as a reference.
·
OCHA Registry (Lotus Notes)
q The Registry System involves staff scanning all incoming mail into PDF, which is then attached to metadata in a Lotus Notes application. The item is then sent out to relevant staff by email.
§
The registry system is archived
at the end of each calendar year
·
OCHA On-line (ASP, ASP.
q
This system is OCHA’s Internet and Intranet system
§
Operates
similar to a
·
ReliefWeb (Lotus)
·
Financial Tracking System (ASP, ASP.
q
Used to track financial aspects of emergency
situations – needs, commitments, disbursements, etc.
·
q
Used to create the annual Consolidate Appeal
·
Numerous applications developed in ASP/ASP.
1.1.6
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__
2.0 Current Document/Records/Content Management
Practices
2.1 Are electronic records considered
“official” records in your unit?
ü
Yes (but, please see comments)
q
No
q
Don't Know
ü
Comments: No definition of “official” was
provided. In OCHA, electronic records
are considered “sufficient”. There is no
particular interest to label them as the “official” record.
2.2 Do you have an electronic records management system, electronic document management system or digital archives initiatives either planned or in place?
q
Yes
ü
No
q
Don’t Know
q
Comments: All mentioned are currently being planned
and will begin implementation in the first half of 2005
2.3 Where
do you currently keep your electronic records? (Check
X for all those which
apply)
q In the records management system (e.g. TRIM)
ü
In the business application (e.g. invoices in
PeopleSoft; personnel files in IMIS)
ü
On my “c” drive
ü
In a shared drive on the
ü
Print to paper and keep in my office
q
Print to paper and send to a departmental file room
q
Don’t know
q Comments
2.4 Where do you keep incoming and outgoing e-mails? (Check X for all those which apply)
q
In the records management system (e.g. TRIM)
ü
In a folder in my e-mail system
q
On my “c” drive
q
In a shared drive on the
ü
Print to paper and keep in my office
q
Print to paper and send to a departmental file room
q Comments
2.5 Do you have any file directories or lists for documents/records on your computer?
ü Yes
q No
q Don't Know
q
Comments: During our development of the OCHA
If yes, please provide a copy.
2.6 Do
you receive and retain reports from IT systems or applications (refer to Annex
4)?
|
System / Application |
Paper |
Electronic |
|
Financial
Tracking System |
|
X |
|
|
|
X |
|
IMIS |
X |
X |
|
|
|
|
2.7
Do you provide
“content” to your unit Intranet and or internet (public website)
ü Yes
q No
q Comments: Intranet and Website draw all documents from a shared repository which will be integrated with the planned archiving application.
2.7.1 If yes, do you consider that version the “official” version? We do not currently have one place where we place the “official” versions. Whatever goes on the website(s) will always be a copy of the “official” document.
2.8
Do you have any policies, procedures and standards regarding creation of
content,
updating content, removing content from the site?
ü Yes
q No
q Comments
2.8.1 If yes, please provide copies of the policies and procedures
2.9 With which departments do you work/share
records and document in
UN Secretariat Departments
Response:
2.9.1 Does your department have any need or requirements to increase remote access of your applications or data to traveling staff, external partners or governments, NGOs or related groups?
ü Yes
q No
q
Comments
2.10 How
are electronic records and documents shared and accessed within the department
and between departments? (Check X those that apply)
ü Via e-mails and attachments
ü
Departmental directories/shared
workspace on the
ü Through collaborative tools (Lotus Notes; GroupWise etc)
q Other
q Comments
2.11 Do you store electronic records on (Check X
those which apply)
q Diskettes, (what size?)
q
Tapes
ü
CDs
q Thumbnail drives
ü Other: DVDs
q Comments
2.12
Has your unit identified the main group of records (series) which have
priority to be scanned into a digital format.
q Yes
ü No
q Comments
2.12.1 Do
you use any standards regarding scanning documents into electronic format.
ü Yes
q No
q
Comments – Scan to Adobe PDF
Format (future will be
3.0 Document/Records Management/Content
Management Policies and Procedures
3.1 Are
you aware of any departmental policies and procedures related to electronic
records and e-mail (see annex 5 for reference) ?
ü
Yes
q
No
q
Don't Know
q Comments
3.2 Does your work unit have a policy concerning the use of electronic signatures?
q
Yes
ü
No
q
Don’t Know
q Comments
3.3 Has your work unit developed policies and procedures to: (Check X all that apply)
ü Ensure that e-mails and electronic records are part of your overall records management programme?
ü Ensure training on how to manage electronic records and archives?
ü Apply classification schemes (where available) to electronic records?
q Manage “shared drives” as part of the RM programme?
ü Manage e-mail as corporate records?
q Other, please specify
3.4 Do you apply any naming
conventions or classification schemes when saving electronic documents/records?
q Yes
ü No (but we will begin in early 2005 to use the OCHA Classification scheme)
q Don't Know
q Comments: See attached Archiving Policy (with naming convention), draft Classification Scheme, and draft Metadata Standard
3.5
Are you aware of records retention requirements for electronic records
and e-mail?
q Yes
ü No
q Don't Know
q Comments: We are aware of retention requirements for records in general, but nothing specific for “electronic” records. Assumption is that they should be treated the same.
3.5.1
If
yes, do you apply them to your electronic records and e-mails?
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?
q Comments
3.6 For
what reasons do you dispose of your electronic records? Please rank the
following in terms of the reason for disposition: (1 most often, 6 least often)
ü
3 Lack of server space (For Email – email is
automatically deleted after 6 months unless the user archives the item.)
q
Department and/or business level unit restructuring
q
Annual directory cleanup day
q
Part of annual transfer/culling process
q
Annual maintenance programme
q
Never dispose of them
q Comments
ü 2 Disinterest (When a given emergency is over, staff will move to the next emergency and thus the initial emergency documents lack importance to them)
ü 1 Departure of Employee (Staff may delete their files, take their files with them, or new staff may not understand their filing system so they ignore them all together)
3.7 Are archival records regularly identified and appraised in your department?
q
Yes
ü
No
q
Don't Know
q Comments
3.7.1 if
yes, are any
electronic records you create subject to long-term or archival retention requirements?
q Yes
q No
q Don't Know
q Comments
3.8 Do you regularly transfer those records to the archives?
q Yes
ü No
q Don't Know
q Comments (Registry does send to UN archives, but simply in chronological order after a certain amount of physical space is used)
3.8.1 If yes, do you need to reference them?
q Frequently
ü Sometimes (very infrequently)
q Never
3.9 Are there any particular records or groups of records related to your main substantive function that may require special consideration or handling within a digital environment (either security access or long term preservation).
ü Yes
q No
q Don't Know
q Comments
4.0 Systems and Software Tools
4.1 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
ü Sometimes
q Always
q Comments
4.2 What
software tools are used to create and store electronic documents and records
(e.g. word, excel, PowerPoint, Sharepoint, Lotus Notes etc.)?
q
Comments: Microsoft Office (Word, Excel, Powerpoint, Lotus Notes
for email, Adobe Acrobat-PDF,
4.3 Do
you use a document/records management software package to manage paper and
electronic records?
q Yes
ü No (but, a solution will be implemented in mid 2005 – product not yet selected)
q Don't Know
q Comments
4.2.1 If yes, please provide the product name (e.g. Livelink, TRIM, Red Hat)
§
*** Currently considering all options, but TRIM, Livelink and Lotus
Document Manager appear to be front runners.
4.4 Do you access and retrieve records
from an imaging system?
ü Yes - From the Correspondence Log (Registry) System
q No
q Don't Know
q Comments: The Registry System involves staff scanning all incoming mail into PDF, which is then attached to metadata in a Lotus Notes application. The item is then sent out to relevant staff by email.
§ The registry system is archived at the end of each calendar year
4.5
Do you access and retrieve records from microform (microfilm or fiche)?
q Yes
ü No
q Don't Know
q Comments
4.6 Do you have any substantive electronic records or legacy systems documents stored in older formats (floppy discs etc) that may require conversion?
q Yes
ü No
q Don't Know
q Comments
5. Additional Comments:
Do you have any comments on issues
associated with the organisation/ work unit electronic records management
Thank You for Your
Participation in this Survey.
For clarification or
further information, please contact the UNPO
Dhurjati Mueller: Dmueller@unicef.org
Tel: