UN-CS-RAI-USAA-DB01-2005-00035
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:
DPKO
Location: S-3270BB
Name and Title of Person Completing
Survey: Kate McBride Phone #:
E-mail Address:mcbridek@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) ______
Legal (
Audit (OAE) _______
Management (OCM) ________
Programme Project (PPM) ___DPKO____
External Relations (ROC) _____
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. DPKO
Annotated
Annex Yes __ No__
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__
DPKO has endorsed a Subject Classification
that has 23 main categories, where appropriate we used the UNPO category and
acronym. There are 3 categories that the UNPO could benefit from the numerous
discussions throughout DPKO that resulted in a modification of the UNPO main
functions. I've listed these below. I'm also attaching the
OAE Oversight,
Audit & Evaluation
changed to :
IAM
Information Assets Management
changed to :
INM Information Management
ROC
Relations, Outreach, Media & Communicaitons
changed to :
EXT External
Relations \ Public Information
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__
Additional
List Yes X__ No__
DPKO-NOTICAS (notification of casualty) is not listed, but,
should be included. The OUSG/DPKO is the Office of Record. Upon hardcopy/fax
notification from the field, DPKO-SitCen enters into a database (PKDB).
DPKO-Situation Reports. OUSG/DPKO is the Office of Record. These are
managed by the DPKO-SitCen and maintained in a Notes Database (Estars).
DPKO- Situation Centre Daily Report. SitCen is the
Office of Record. These are managed by the DPKO-SitCen and maintained in a
Notes Database (Estars).
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.
DPKO- Situation Centre Daily Report
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.
E-STARS
reports repository **** You may want to consider these for the
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.
Current
policies and procedures as per UN-Secretariat/ARMS.
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?
q
Yes for communications within
DPKO-NY. Between NY and missions, code cable are only “official” communications
between SRSGs, Force Commanders and
q No
q Don't Know
q Comments
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, MARS
q No
q Don’t Know
q Comments
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)
q X In the business application (e.g. invoices in PeopleSoft; personnel files in IMIS)
q X On my “c” drive
q X In a shared drive on the
q X Print to paper and keep in
my office
q X Print to paper and send to
a departmental file room
q Don’t know
q Comments, different areas have different practices.
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)
q X In a folder in my e-mail system
q On my “c” drive
q In a shared drive on the
q Print to paper and keep in my office
q X Print to paper and send to a departmental file room (some officers do this, some do not, it is not consistent, nor stated policy to do so)
q Comments
2.5 Do you have any file directories or lists for documents/records on your computer?
q X Yes
q No
q Don't Know
q Comments
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 |
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2.7
Do you provide
“content” to your unit Intranet and or internet (public website)
q X Yes – MilDiv, OO\SitCen, Mine Action
q No
q Comments
2.7.1 If yes, do you consider that version the “official” version? Yes
2.8
Do you have any policies, procedures and standards regarding creation of
content,
updating content, removing content from the site?
q Yes
q X 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 New York and in country offices (see annex 1 for
reference)?
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?
q XYes
q No
q Comments, member states need access to weekly briefings. Staff needs access to document management system (MARS)
2.10 How
are electronic records and documents shared and accessed within the department
and between departments? (Check X those that apply)
q X Via e-mails and attachments
q Departmental directories/shared workspace on the
q X 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
q
X
CDs
q
X
Thumbnail drives
q
Other
– Shared drives
§ 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, in some areas (FMSS (field finance) PMSS (Field HR), OO/SitCen)
q No
q Comments
2.12.1 Do
you use any standards regarding scanning documents into electronic format.
q Yes, only PDF, I think this is the UN image standard (??)
q No
q Comments
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) ?
q XYes
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
q XNo
q Don’t Know
q Comments
3.3 Has your work unit developed policies and procedures to: (Check X all that apply)
q Ensure that e-mails and electronic records are part of your overall records management programme?
q Ensure training on how to manage electronic records and archives?
q X Apply classification schemes (where available) to electronic records?
q Manage “shared drives” as part of the RM programme?
q 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
q No
q Don't Know
q Comments, DPKO is in the process of implementing a records management programme. This would address procedures, policies for applying.
3.5
Are you aware of records retention requirements for electronic records
and e-mail?
q Yes
q No
q Don't Know
q Comments, DPKO is aware they exist but in practice retains paper copy for transfer to ARMS.
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)
q Lack of server space
q Department and/or business level unit restructuring
q 1 ____PERIODIC shared drivedirectory cleanup day
q Part of annual transfer/culling process
q Annual maintenance programme
q Never dispose of them
q Comments
3.7 Are archival records regularly identified and appraised in your department?
q Yes
q X No, not regularly rather periodically as space limits require.
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 XXYes
q No
q Don't Know
q Comments
3.8 Do you regularly transfer those records to the archives?
q Yes, as printed-paper copy
q No
q Don't Know
q Comments
3.8.1 If yes, do you need to reference them?
q Frequently
q X Sometimes
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).
q Yes
q No
q X 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
q X Sometimes
q Always
q Comments, over the last 3 years DPKO has developed a working relationship with ARMS>
4.2 What
software tools are used to create and store electronic documents and records
(e.g. word, excel, PowerPoint, Sharepoint, Lotus Notes etc.)?
MS-OFFICE products, Notes collaboration tools (email,
domino.doc, NOTES dbs), photoshop and Adobe Illustrator (for maps,
4.3 Do
you use a document/records management software package to manage paper and
electronic records?
q Yes , MARS, in-house Notes based correspondence management tool
q No
q Don't Know
q Comments
4.2.1 If yes, please provide the product name (e.g. Livelink, TRIM, Red Hat)
4.4 Do you access and retrieve records
from an imaging system?
q Yes, KeyHole (satlellite images for mapping purposes)
q No
q Don't Know
q Comments
4.5 Do
you access and retrieve records from microform (microfilm or fiche)?
q Yes
q X 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
q No
q X Don't Know, but assume no.
q Comments
5. Additional Comments:
Do you have any comments on issues
associated with the organisation/ work unit electronic records management
Yes, based on
the recent classification project in DPKO
the function-sub function matrix does not reflect the work of DPKO. It
is recommended that work done by DPKO be leveraged and the functions identified
by DPKO be considered for in the
Thank You for Your
Participation in this Survey.
For clarification or
further information, please contact the UNPO
Dhurjati Mueller: Dmueller@unicef.org
Tel: