Completed Form
register #: UN-CS-RAI-USAA-DB01-2005-_00056________
Date Form Completed: __18
February 2005_______________
Blank Form ref: UN-CS-RAI-USAA-DB01-2005-00036
United
Nations Participating Agencies
Development
of a Strategic Plan
Digital
Assessment Survey
Part
3: Business Process Units*
February
2005
* 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 (
·
Finance,
Budget and Accounts (
·
Human
Resource Management (HRM),
·
Legal
(
·
Oversight,
Audit and Evaluation (OAE),
·
Organisation,
Co-ordination and Management (OCM),
·
Programmes,
Projects and Missions (PPM) and
·
Relations,
Outreach, Media and Communications (ROC)
(see Annex 2 for details)
Part 3 – Business Process Units
1.
General Information
·
Departmental Background and Related
Documentation
2.
Current Document/Records/Content
Management Practices
3.
Document/Records Management/Content
Management Policies and Procedures
4.
Systems and Software Tools
5.
Additional comments
see Support Documents,
Annex 1- 5
Note: This is Part 3 of DAP Project Questionnaire & Digital Assessment Survey
.
Other parts are:
Part
1: Completed by Information Technology and Communications professionals including
Information Technology Representatives, E-mail Administrators, Technology
Coordinators, Information Architects, Application Owners
Part
2: Completed 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
4: Digital Record Sampling Form’ is to
be completed by department/org unit which create or receive records of Archival
or potentially Archival [long-term] value.
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:
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/
Identify the functional areas that you are representing (check all that apply), see Annex 2 for more details :
• Administration, Conferences, Central Support and Procurement (ACP) ______
• Finance, Budget and
Accounts (
• 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) ______
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 1858__ 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 _OCM_ No__
Additional
List Yes __ No__
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 UN-SEC 1054
OSG-EOSG-CRU__ No__
Additional
List Yes __ No__
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. (as 1.1.3)
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. CANNOT IDENTIFY THE
ANNEX
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 ___CANNOT
IDENTIFY THE ANNEX
Additional
List Yes __ No__
2.0 Current Document/Records/Content Management
Practices
2.1 Are electronic records considered
“official” records in your unit?
Yes ____
No __X___
Don't Know ____
Comments _____
2.2 Do you have an electronic records management system, electronic document management system or digital archives initiatives either planned or in place?
Yes ____
No _____
Don't Know ____
Comments _____Partial
(we keep code cables on Panasonic Optical Disk____
2.3 Where
do you currently keep your electronic records? (Check
X for all those which
apply)
In the records management system (e.g. TRIM) ___
In the business application (e.g. invoices in PeopleSoft; personnel files in IMIS) ___
On my “c” drive __X__
In a shared drive on the
Print to paper and keep in my office ____
Print to paper and send to a departmental file room __X__
Don’t know ____
Comments ____
2.4 Where do you keep incoming and outgoing e-mails? (Check X for all those which apply)
In the records management system (e.g. TRIM) ____
In a folder in my e-mail system ____
On my “c” drive _X___
In a shared drive on the
Print to paper and keep in my office ____
Print to paper and send to a departmental file room ____
Comments _No procedure exists for keeping e-mails___
2.5 Do you have any file directories or lists for documents/records on your computer?
Yes __X__
No _____
Don't Know ____
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 |
|
NO |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
2.7
Do you provide
“content” to your unit Intranet and or internet (public website)
Yes ____
No _X____
Don't Know ____
Comments _____
2.7.1 If yes, do you consider that version the “official” version?
2.8
Do you have any policies, procedures and standards regarding creation of
content,
updating content, removing content from the site?
Yes ____
No _____
Don't Know ____
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
Response:
Do
not share
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?
Yes _X___
No _____
Don't Know ____
Comments Except that EOSG travelling with the SG would benefit from remote access to data kept in EOSG._____
2.10 How
are electronic records and documents shared and accessed within the department
and between departments? (Check X those that apply)
Via emails and attachments _X___
Departmental directories/shared workspace on the
Through collaborative tools (Lotus Notes; GroupWise etc) _X___
Other ____
Comments ___There is no sharing of LAN directories outside EOSG_
2.11 Do you store electronic records on (Check X
those which apply)
Diskettes, (what size?) _3.5___
Tapes ____
CDs ____
Thumbnail drives ____
Other __optical disks (see
above)__
Comments ____
2.12
Has your unit identified the main group of records (series) which have priority
to be scanned into a digital format.
Yes ___X_
No _____
Don't Know ____
Comments __code cables, as mentioned above___
2.12.1 Do
you use any standards regarding scanning documents into electronic format.
Yes ____
No __X___
Don't Know ____
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) (cannot comprehend
annex 5)?
Yes ____
No ___X__
Don't Know ____
Comments _____
3.2 Does your work unit have a policy concerning the use of electronic signatures*[see note]?
Yes ____
No ___X__
Don't Know ____
Comments _____
*Note: Electronic Signature refers to
use of a recognised independent system to authenticate a signature with a
digital certificate or other means. Electronic signatureThis
does not refer
to simply
placing a paste of an autograph image on a message
or document.
3.3 Has your work unit developed policies and procedures to: (Check X all that apply)
Ensure that e-mails and electronic records are part of your overall
records management programme? _____
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? _____
Manage e-mail as corporate records? _____
Other, please specify _____
3.4 Do you apply any naming
conventions or classification schemes when saving electronic documents/records?
Yes ____
No ____X_
Don't Know ____
Comments _____
3.5
Are you aware of records retention requirements for electronic records
and e-mail?
Yes ____
No _X____
Don't Know ____
Comments _____
3.5.1
If
yes, do you apply them to your electronic records and e-mails?
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? _____
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)
Lack of server space _____
Department and/or business level unit restructuring _____
Annual directory cleanup day _____
Part of annual transfer/culling process _____
Annual maintenance programme _____
Never dispose of them _____
Comments _We do not voluntarily dispose of electronic records____
3.7 Does your department/org
unit create records of Archival or potentially Archival value?
Yes _X___
No _____
Don't Know _____
Comments ____
If yes, please fill out ‘Part IV Digital Record
Sampling Form’ which is attached or available on the wgarm website at http://www.wgarm.net/ccarm/Projects/Proj-digital-archive-S-Plan.htm
3.7.1 Are records that have archival or potentially archival value regularly identified and appraised in your department?
Yes __X__
No _____
Don't Know _____
Comments ____
3.7.2 If yes, are any electronic records you create subject
to long-term or archival retention requirements?
Yes __X__
No _____
Don't Know _____
Comments ______presumably the code
cables we are scanning onto optical disks will be governed by the same
retention policies as the Official Archives of the Secretary-General_
3.8 Do you regularly transfer those records to the archives?
Yes ____
No _X____
Don't Know ____
Comments _____
3.8.1 If yes, do you need to reference them?
Frequently _____
qSometimes ___X__
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).
Yes __X__
No _____
Don't Know ____
Comments _As before, code cables____
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)
Never - Records Issues are Not Addressed _X____
Sometimes _____
Always _____
Comments _There is no ‘records management group’ within our department____
4.2 What
software tools are used to create and store electronic documents and records
(e.g. word, excel, PowerPoint, Sharepoint, Lotus Notes etc.)?
Comments Panasonic Optical Disk
4.3 Do
you use a document/records management software package to manage paper and electronic
records?
Yes ____
No ____X_
Don't Know ____
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?
Yes _X___
No _____
Don't Know ____
Comments ___As above, Panasonic Optical Disk__
4.5
Do you access and retrieve records from microform (microfilm or fiche)?
Yes ____
No ___X__
Don't Know ____
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?
Yes __X__
No _____
Don't Know ____
Comments _Old correspondence logs, some which have a paper backup____
5. Additional Comments:
Do you have any comments on issues
associated with the organisation/ work unit electronic records management
I was eager to
participate in this
REMINDER: Question
3.7 above “ Does your department/org unit create records of
Archival or potentially Archival value?”
If yes, please fill
out ‘Part IV Digital Record Sampling Form’ which is
attached or available on the wgarm website at:
http://www.wgarm.net/ccarm/Projects/Proj-digital-archive-S-Plan.htm
Thank You for Your
Participation in this Survey.
For clarification or
further information, please contact the UNPO
Dhurjati Mueller: Dmueller@unicef.org
Tel:
303-7978