Completed Form
register #: UN-CS-RAI-USAA-DB01-2005-____00059_____
Date Form Completed: ___25 February 2005______________
Blank Form ref: UN-CS-RAI-USAA-DB01-2005-00053*36*
United
Nations Participating Agencies
Development
of a Strategic Plan
Digital
Assessment Survey
Part
3: Business Process Units*
**This revision incorporates relevant
questions from Part 04]
* 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’ [NOTE as of 16 Feb 2005 , based on initial feedback, the relevant
questions from Part 4 are incorporated
in Part 3. para 3.7. This was agreed by the DAP WGARM
co-chairs, DAP project manager and Consultants in order to
simplify data collection and streamline the process. Part 4 will only be
completed in the event additional detail is
required form a work unit which has not
completed Part 3] 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 UNICEF
Department/Unit Name: Office of UN Affairs and External
Relations
Location: UNICEF House H-1310
Name and Title of Person Completing
Survey: Angela
Carlone Phone #: 212-326-7036
E-mail Address: acarlone@unicef.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 :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 _X_ No__
UNICEF, CF-USAA-UNA, Office of UN Affairs, OUNA NY-HQ=3002, O-3002,
Operations=12
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 __ X No__
Organization,
Coordination, Management; Agencies; Committees;
Departments; Governing or Executive Board; Meetings; Member States;
Policy and Procedures; Policy Issues; UN system;
Intergovernmental relations
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 X__ No__
Additional
List Yes __ No__
Intergovernmental Series;
Inter-agency Series; Chronological File Series; Funds/Programmes/Other Bodies
Series; Specialized Agencies Series; Regional Commissions Series; Subject File
Series; Administrative and Budgetary File Series; Country File Series; Global
Conferences Series; Executive Board Series;
Executive Directives Series; Signed Memoranda of Understanding (MOU) Binder; Quick Reference G-8, G-77 and
Others Binder; Director’s Reference Library; UNICEF Intranet (Web site
database); Working Papers/Files.
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.
Intergovernmental and
inter-agency series. We would also consider ourselves the “Office
of Record” for any material which we author, originate, sign, clear, contribute to,
etc. and this would be a part of most
of the
aforementioned series (with the exception of the
reference material). We do not consider
ourselves the “Office of Record” for the Executive
Board Series (OSEB),
Executive Directives Series (DFAM), but
we would retain those documents for which we had primary responsibility.
We are also the “Office
of Record” for the Intranet site
dedicated to the dissemination of United
Nations information, data and documentation of
particular relevance to UNICEF.
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.
Nothing developed
specifically for UN Affairs.
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 X__ No__
Records and Archives
Management; Financial Circular 25, Rev.1
Additional
List Yes __ No__
2.0 Current Document/Records/Content Management
Practices
2.1 Are electronic records considered
“official” records in your unit?
Yes X ____
No _____
Don't Know ____
Comments _____
2.1.1
2.2 Do you have an electronic
records management system, electronic document management ssystem
or digital archives initiatives either planned or in place?
Yes Yes On an
individual basis, each UN
Affairs’ staff
member manages his/her own electronic records. As an office, we
manage electronic documents by uploading them to the UNICEF Intranet,
Document Repository, UN Affairs’ view. While
this electronic database has vastly facilitated our work, it needs to be
further developed and refined. ____
No _____ Aside
from the Archives facility in Lotus Notes, our office has no digital archives
initiatives planned or in place.
Don't Know ____
Comments _____
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) X ___Overtime,
CompTime, Attendance records
stored
in IMIS (supported by hard copies)
On my “c” drive ____X
In a shared drive on the ____
Print to paper and keep in my office X____
Print to paper and send to a departmental file room ____
Don’t know ____
Comments Electronic
records are also stored in Lotus Notes____.
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 X. In addition to using “folders”, the
Lotus Notes “Inbox” and “Archives” are also used. ____
On my “c” drive X (Lotus
Notes Archives)
____
In a shared drive on the ____
Print to paper and keep in my office X____
Print to paper and send to a departmental file room ____
Comments ____
2.5 Do you have any file directories or lists for documents/records on your computer?
Yes X, many ____
No _____
Don't Know ____
Comments _________
If yes, please provide a copy. Samples attached.
2.6 Do
you receive and retain reports from IT systems or applications (refer to Annex
4)?
|
System / Application |
Paper |
Electronic |
|
FLS
(retain reports printed from FLS) |
X |
|
|
IMIS
(retain records printed from IMIS) |
X |
|
|
RAMP/TRIM (retain reports
printed from the system) |
X |
|
|
Standard
Office Desktop Applications |
X |
X |
|
Lotus
Notes mail |
X |
X |
|
Telecommunications
System |
X |
X |
|
Internet, Intranet, Extranet (send, receive,
retain) |
X |
X |
|
Budget
System (send, receive, retain from
the Integrated Budget Costing System (IBCS)) |
X |
X |
2.7
Do you provide
“content” to your unit Intranet and or internet (public website)
Yes X, Intranet. In the future, we may be providing content
for the Internet as well.____
No _____
Don't Know ____
Comments _____
2.7.
2.7.1 If yes, do you consider that version the
“official” version? I consider what I post “official”.
2.8
2.8
Do you have any policies, procedures and standards regarding creation of
content,
updating content, removing
content from the site?
YYes X____
No _____
Don't Know ____
Comments _____
2.8.1 If yes, please provide copies of the policies and procedures DPP and ITD, the source. Will be discussing some of the policies, procedures and standards regarding content management with colleagues from these divisions.
2.9 With which departments do you
work/share records and documents in
Response:
1. All UNICEF offices
globally via the Intranet. 2. If
records/documents are not confidential in nature, they are shared with any
department upon request via e-Mail. 3. We
also share information with other UN entities.
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 ____
No _____
Don't Know X____
Comments _____
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____ (Lotus Notes)
Departmental directories/shared workspace on the ____
Through collaborative tools (Lotus Notes; GroupWise etc) ____
Other ____Intranet,
Document Repository, UN Affairs’ view
Comments ____
2.11
Do you store electronic records on
(Check X those which apply)
Diskettes, (what size?) X (3.5” 1.44MB) to take work home or
when one is mobile.
____
Tapes ____
CDs ____
Thumbnail drives ____
Other ____
Comments ____ Some colleagues may be using tapes, CDs and thumbnail drives.
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 For example, UN
intergovernmental and inter-agency documents of
particular relevance to UNICEF that may not exist
in electronic
form. We have already approached the UN
to digitize several
documents for us. There
are other documents which we will scan ourselves (e.g., signed memoranda
of understanding). _____
2.12.1
Do you use any standards regarding
scanning documents into electronic format.
Yes X For the most part, we scan into PDF.____
No _____
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) ?
Yes X____
No _____
Don't Know ____
Comments _____
Aware
that these policies and
procedures are a work in progress.
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 [digital] 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 _____
UN Affairs, as a
work unit, has not developed its own
policies and
procedures for the above and
would welcome guidance in this
area. In general, the
Office follows general
guidelines. On an
individual basis, staff
members have availed
themselves of trainings/demonstrations offered by ITD with
respect to the management and archiving of electronic
mail, and
have developed methods for managing their own electronic
records.
3.4 Do you apply any naming
conventions or classification schemes when saving electronic documents/records?
Yes ____X
No _____
Don't Know ____
Comments _____
3.5
Are you aware of records retention requirements for electronic records
and e-mail?
Yes X
____
No _____
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? X_____
In e-mail folders
X
_____
To records in
imaging or document management systems? X_____
In databases? X
_____
Comments BUT, w_____e
usually do this when it becomes a question of no more space! And the extent to which the records retention
requirements are applied varies from one staff member
to another.
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 ______1_ Quota Warning Report received
D
Department and/or business level unit
restructuring __3___
Annual directory cleanup
day __6___
Part of annual transfer/culling process __6________
Annual maintenance programme __6________
Never dispose of them __6___
Comments _____
3.7
Does your department/org unit
create or
receive records of Archival or potentially aArchival
or
long term value?
YYes X
____
No _____
Don't Know _____
Comments ____
If yes,
answer questions 3.7.1- 3.7.5
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
3.7.1 Are records that have archival or potentially
archival or long term value regularly
identified and appraised in your department/division for
retention or destruction?
Yes
X for “paper” records____
No _____
Don't Know _____
Comments ____
3.7.2 If yes, are any electronic /digital records
you create or receive subject to long-term or
archival retention requirements?
Yes ____
No _____
Don't Know _____
Comments ____
3.7.3. Do the digital records follow an established
naming convention or classification scheme?
Yes ___
No ___
Don’t Know ___
Comments ____
3.7.24. Do any special retention
schedules apply to these digital records [beyond what applies to same
information in paper format records?]
Yes ___
No ____
Don’t Know
____
Comments _____At
present, we are not archiving electronic records to which a retention
schedule would apply.
3.7.35 Does the unit/department have
a migration/preservation strategy in place to ensure that the digital records
are accessible and retrievable to users?
Yes _____
No _____
Don’t Know
_____
Comments UN
Affairs is
counting on ITD to have a backup migration/
preservation
strategy for all
the
documents posted to the Intranet, Document Repository, UN Affairs’ view. Since other
electronic records are being kept in the Office,
the question of accessibility/retrievability has not been an issue. However, should anything unforeseen
happen to our
“c” drives, most of us would be at a
complete loss.
3.7.4 5. Has
the department/unit established standards (including metadata), policies and
procedures or business rules to ensure the
capture and maintenance of the digital records with potential
archival or long term value?
Yes _____
No X_____
Don’t Know _____
Comments - If yes, please provide copies
3.7.5 Has the
department/unit created specific finding aids/indexes for
digital records with potential archival or long term value to digital
records, for end users?
Yes _____
No _____
Don’t Know _____
Comments Again,
we have
created finding aids/indexes for “paper” records which we have archived. But, apart from the naming conventions/classification
schemes assigned to our electronic records when
saving them or uploading them to the Intranet, no finding aids/indexes have
been developed in the event these
records were
to be archived._____
3.83.8 DDo you regularly transfer archival those records
or
those potentially having long-term value to
the archives?
Yes X (again, this is a transfer of “paper”)____
No _____
Don't Know ____
CComments UN
Affairs frequently refers to its files and tries
to keep them as long as possible on the
premises. A good
example of the need to do this is the 5/10-year
reviews of follow-up
to Global
Conferences. General Assembly resolution 58/282 adopted
in 2004 calls for a commemorative plenary meeting in 2007 devoted to the follow-up
to the outcome of the 2002 special session on
children. When, due to space
constraints, it becomes necessary to archive files, we identify records of lesser
importance to transfer to the
archives (e.g., subject files or country files). _____
3
3.8.1 If yes, do you need
to refer
to them or retrieve themence them?
Frequently _____
qSometimes _____
Never _____
Comments Because
we have retained our most important records in the Office, we have not had
to retrieve anything from the archives
warehouse to date.
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 (e.g., sensitive
Security Council sanctions files for
No _____
Don't Know ____
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)
Never - Records Issues are Not Addressed _____
Sometimes _____
Always X_____
Have
had good cooperation with UNICEF’s records management group.
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.)?
Comments Word,
Excel, PowerPoint, Lotus Notes
4.3 Do
you use a document/records management software package to manage paper and electronic
records?
Yes X Once again, to date, we have used TRIM to manage “paper” records only. We have not archived
any electronic records. ____
No _____
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 _____
4.5
Do you access and retrieve records from microform (microfilm or fiche)?
Yes
____
No X, not
to date, but this
could be a possibility.
_____
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 ____
No _____
Don't Know ____
Comments We
still have some old diskettes on hand and would have to be able to review
contents to reply._____
5. Additional Comments:
Do you have any comments on issues
associated with the organisation/ work unit electronic records
management
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