Completed Form register #: UN-CS-RAI-USAA-DB01-2005-00057______   

 

Date form completed:_18 February 2005

 

 

Blank Form ref:     UN-CS-RAI-USAA-DB01-2005-00023

 

 

DRAFT

 

 


 

 

United Nations Participating Organizations

DAP – Phase I

Development of a Strategic Plan

Digital Assessment Survey

Part 4: Digital Record Sampling

of Potential Archive Records

 

 


 

 

February 2005

 

 

 

 

 

 

 

 

 

 

* 

 

 

 

 

 

Part  4:  Digital Record Sampling

of Potential Archive Records

 

1. General Information

1.1 Departmental Background and Related Documentation for validation

 

2. Introduction

 

3. Purpose

 

4. Instructions

 

5. Questions

 

6. Additional comments

 

see Support Documents, Annexes:

 

Annex A   Digital Record Sampling: Application -Generic Function Matrix for potential archival records - UN-CS-RAI-USAA-DB01-2005-00037

 

Support Documentation of interview questionnaires: Previously collected information to be validated / updated.

 

Annex 1 – Organizational Units

Annex 2 - Generic Functions/Subfunction Matrix

Annex 3 - Record Series

Annex 4 – List of IT systems, applications and software  

Annex 5 – List of Policies and Procedures

 

Background Documentation for DAP

Annex 6 - DAP Project Narrative Overview - UN-CS-RAI-USAA-DB01-2005-00002

Annex 7 - Function-Subfunction-Series Matrix - UN-CS-RAI-USAA-DB01-2005-00038

Annex 8 - Glossary of Terms

Annex 9 – DAP Intro Overview slides used with part 1 -4

PART IV: Digital Record Sampling

 

1.0 General Information


UN Participating Organizations

Department/Unit Name: Executive Office of the Secretary-General (EOSG)

Location: S-3853

Name and Title of Person Completing Survey:   Jenny Thomas, OIC, Central Records Unit, EOSG (Records and Archives Assistant )                                     Phone #: 963-5039

E-mail Address: thomas7@un.org

Contact Person (if different from above):                                                   Phone #:

E-mail Address:

Reference Number (for WGARM/DAP use only)

Record Sampling – Potential Digital Archival Records:  Part 4  is for use after  Part 1, 2 or  3  is completed. This  concerns digital records of potential long term or archival value. Identify the functional areas that you are representing (check all that apply):

 

Part 1: ITC : Completed by Information Technology and Communications including:

Information Technology or Communications Representatives,_________

E-mail Administrators, _________

Technology Coordinators __________

Information Architects________

Application Owners _________

 

Part 2:  IRAM:  Information, Records and Archive Management includes those responsible for:

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______

 

Part 3  BU : Business Units include department/units from the following functional areas. 

•           Administration, Conferences, Central Support and  Procurement (ACP) ______

•           Finance, Budget and Accounts (FBA) ______

•           Human Resource Management (HRM) ______

•           Legal (LEG) ______

•           Oversight, Audit and Evaluation (OAE) ______

•           Organisation, Co-ordination and Management (OCM) ____X__

•           Programmes, Projects and Missions (PPM) ______

•           Relations, Outreach, Media  and Communications (ROC) ______

If Section 1.1 has already completed within the Business Unit (BU) Survey, please skip to Section 2.  The Annexes  are available on WGARM website

http://www.wgarm.net/ccarm/Projects/Proj-digital-archive-S-Plan.htm

id = wgarm2, pw  = ccarm.

 

1.1 Departmental Background and Related Documentation for validation

 

1.1.1          From BU Survey 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__

Additional List  Yes __  No__

 

1.1.2          From the BU Survey 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__

 

1.1.3          From the BU Survey 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 __  No__

 

1.1.4          From the BU Survey 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.

 

1.1.5          Identify or list any specialized application or software specially developed for your department/org unit.  If applicable, the BU Survey Annex 4, list of IT Systems, Applications and software is available as a reference.

 

1.1.6          From the BU Survey 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. Record Sampling Introduction

 

As part of the DAP Project (See DAP Overview, Annex 6 for more info) and in accordance with the SOW Deliverable 2 and 3…. “in order to establish the current recordkeeping functionality and requirements, identify their business context and as well as to develop an understanding of the current practices of electronic recordkeeping and digital archiving within the UNPOs, the vendor will systematically review current policies, practices and procedures, gather data and information through interviews of Records and Archives Staff, Information Technology staff and various Business Unit staff as well as conduct a representative sampling of their digital records.   Record Sampling would include a representative sampling of digital records of substantive or archival value from the UNPOs functional areas that were interviewed as noted above. (DAP SOW Activity 2) ”

 

3. Objectives

 

The sampling will therefore include digital records of potential long term or archival value and compliment, either affirming or contradicting, the information gathered through Interviews and Surveys and provide further analysis of the practices currently undertaken by the UNPOs.

Therefore, the objective of the sampling exercise is to determine:

·        what records of archival value have been identified,

·        which functional areas they fall under,

·        which systems they reside in,

·        under what context they are created, maintained and preserved

·        what special formats or related standards (metadata) have been applied

·        how they are accessed and retrieved (indexes/classification scheme)

4.  Instructions

 

Please answer the questions below in Section 5.  You may refer to the attached Generic Function, Annex 7,  in order to identify those records of archival value that your department creates and retains electronically.

 

In addition, please complete the Digital Record Sampling: Application -Generic Function Matrix - UN-CS-RAI-USAA-DB01-2005-00037.  In cases where digital records are created in one application and moved to another as part of a business process, please identify the links between the applications.  E.g. e-mails are received at the desktop and captured into TRIM.  Records are created in MS Word and captured in the departmental intranet/internet site or into Lotus Notes database.

 

 

5. Questions  related to Potential Archival records with long term value.

 

1.      Are digital records/documents in your department identified as having long-term archival value:

Yes _X__

No ___

Don’t Know ___

Comments ____code cables

 

Please review Annex 2 and identify, from the generic function list, which digital records your department/unit creates, receives and maintains. 

 

  1. a. Do the digital records follow an established naming convention or classification scheme?

Yes ___

No ___

Don’t Know ___

Comments ____

 

2. Do retention schedules apply to these records or have they been appraised as part of an archival assessment process?

 

Yes _X__

No ____

Don’t Know  ____

Comments _____

 

3. Does the unit/department have a migration/preservation strategy in place to ensure that the digital records are accessible and retrievable to users?

 

q       Yes  _____

q       No __X___

q       Don’t Know _____

q       Comments

 

4. Has the department/unit established standards (including metadata), policies and procedures and business rules to ensure the capture and maintenance of the digital archives?

 

Yes _____

No ___X__

Don’t Know _____

Comments - If yes, please provide copies

 

5. Has the department/unit created indexes/finding aids for end users?

 

Yes _____

No ___X__

Don’t Know _____

Comments _____

 

 

6. Comments

 

 

 

 

 

 

7. Annexes

 

see attached

 

Annex A   Digital Record Sampling: Application -Generic Function Matrix - UN-CS-RAI-USAA-DB01-2005-00037

 

Support Documentation of interview questionnaire: Previously collected information to be validated / updated.

 

Background Documentation for DAP

Annex 6 - DAP Project Narrative Overview - UN-CS-RAI-USAA-DB01-2005-00002

Annex 7 - Function-Subfunction-Series Matrix - UN-CS-RAI-USAA-DB01-2005-00038

Annex 8 - Glossary of Terms

Annex 9 – DAP Intro Overview slides used with part 1 -4

 

Thank You for Your Participation in this Survey.

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

 

Dhurjati Mueller: Dmueller@unicef.org

Tel:                   303-7978