UN-CS-RAI-USAA-DB01-2005-00061

 

 

 

 

 

 

 

 


 

 

United Nations Participating Agencies

DAP – Phase I

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 (ACP), Finance (FBA), Human Resources (HRM), Legal (LEG), Audit (OAE), Management (OCM), Programme Project (PPM) and External Relations (ROC) (see Annex 2 for details)

 

 

 

 

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 (ACP), Finance Finance, Budget and Accounts (FBA), Human Resource Management (HRM), Legal (LEG), 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

 

  1. Current Document/Records/Content Management Practices

 

  1. Document/Records Management/Content Management Policies and Procedures

 

  1. Systems and Software Tools

 

  1. 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: OLA / EO

Location: S-3420

Name and Title of Person Completing Survey:   Eugen Gheorghe                                          Phone #: 3.7200

E-mail Address: gheorghe2un.org

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

E-mail Address:

Reference Number (for WGARM/DAP use only)

Identify the functional areas that you are representing (check all that apply), see Annex 2 for more details :

Administration (ACP) _______

Finance (FBA) __________

Human Resources (HRM) ______

Legal (LEG)  _x______

Audit (OAE) _______

Management (OCM) ________

Programme Project (PPM) _______

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. OLA

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.             ALL sections in OLA

Annotated Annex          Yes __  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; OLA Legal Archive, DOALOS, COD, UNCITRAL - Publications

Annotated Annex          Yes __  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.

 

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. JRA Publish (Abbyy 5 OCR engine), Adobe 6 Professional, Abbyy 7 Enterprise OCR, dtSearch engine

 

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?

q       Yes X

q       No

q       Don't Know

q       Comments – not all, some

 

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 X

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 On my “c” drive

q  X - In a shared drive on the LAN

q 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

 

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 In a folder in my e-mail system

q On my “c” drive

q In a shared drive on the LAN

q Print to paper and keep in my office

q X - 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?

q Yes – On LAN, many directrories

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

IMIS

x

x

 

 

 

 

 

 

 

 

 

2.7              Do you provide “content” to your unit Intranet and or internet (public website)

q  X - Yes

q No

q       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?

 

q Yes – X – DPI guidelines

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 New York and in country offices (see annex 1 for reference)?

Response:

SG, SC, DAM mostly, DPKO, UNDP

 
 

 

 

 


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 Yes - X

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)

q  X - Via e-mails and attachments

q  X -Departmental directories/shared workspace on the LAN

q 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     X - Tapes        

q     X - CDs

q     Thumbnail drives

q     Other

§      Comments

 

 

2.12          Has your unit identified the main group of records (series) which have priority to be scanned into a digital format.

 

q X Yes

q No

q       Comments

 

            2.12.1 Do you use any standards regarding scanning documents into electronic format.

q X - Yes

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 X - 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

q       X -No

q       Don’t Know

q       Comments

 

 

3.3       Has your work unit developed policies and procedures to:  (Check X all that apply)

q       X -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       X - Manage “shared drives” as part of the RM programme?

q       X -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  X -Yes

q No

q Don't Know

q       Comments

 

3.5      Are you aware of records retention requirements for electronic records and e-mail?

q Yes

q No

q X -Don't Know

q       Comments

 

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       X -Lack of server space

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

 

3.7     Are archival records regularly identified and appraised in your department?

q       X -Yes

q       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       X -Yes

q       No

q       Don't Know

q       Comments

 

3.8  Do you regularly transfer those records to the archives?

q X -Yes

q No

q Don't Know

q       Comments

 

3.8.1    If yes, do you need to reference them?

q       X -Frequently

q       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 X -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 

q       Sometimes

q       X -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.)?

            Comments – Abbyy OCR, Adobe, JRA Publisher – Abby OCR engine

 

 

 

 

4.3       Do you use a document/records management software package to manage paper and electronic records?

q       Yes  - MS Access

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 - ODS

q       No

q       Don't Know

q   Comments

 

4.5      Do you access and retrieve records from microform (microfilm or fiche)?

q       Yes    

q       No

q       X -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

q   Comments

 

 

5. Additional Comments:

 

Do you have any comments on issues associated with the organisation/ work unit electronic records management DAP programme and any suggestions for improvement?

 

 

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