1 WGARM Projects Digital Archives Programme, DAP Start up, SOW, RFI, RFP, Contract Award Phase I, Strategic Plan - 2003/2004 Phase II, Implementation (pilot)

1

WGARM Projects

Digital Archives Programme, DAP

• Start up, SOW, RFI, RFP, Contract Award• Phase I, Strategic Plan - 2003/2004• Phase II, Implementation (pilot) - 2005/06

Appraisal Decision Assistance, ADA• Phase I, Start up & initial Inventory - 2002/2003

• Phase II, Follow up, Consolidations & design - 2004• Phase III, Implementation in UNPOs - 2005

2

Strategic Plan for a Common ServicesUNPOs* Digital Archives Programme

DAP

• Problem Statement

• Project Phases

• Project Benefits• Project Overview • Status/Next Steps

• Annexes

* [UNDP, UNFPA, UNICEF, UNOPS, UN Secretariat]

3

DAP Problem Statement

• Digital Records are not captured, managed or appropriately preserved in a consistent and business-like manner. This creates significant risk since critical organizational knowledge assets may be lost, not accessible or only recovered at a high cost.

4

DAP Project Phases• Start up - SOW, RFI, RFP, Contract Award

• Phase I - DAP Strategic Plan will identify requirements and specifications, define standards and establish an Implementation Plan;

• Phase II - DAP Implementation will implement the framework and begin the necessary technical and operational activities to develop digital archiving.

5

DAP Project Benefits• Address business problem concerning the

management and preservation of digital records;

• Minimize UNPO duplication of efforts, cost avoidance;

• Leverage experiences and knowledge, community of practice;

• Promote good business and record keeping practices.

6

Strategic PlanProject Overview

Assessment Design

Plan

Collect and analysecurrent policies,

systems, platforms and

initiatives

Road map for implementation

• Develop Standards andRequirements,

• Identify Architectures, Preservation Strategiesand Functional Models

7

DAP Status/Next Steps Status• Start up, SOW, RFI, RFP, Contract negotiations

Immediate Next Steps• Contract award;• UNPO to designate DAP Coordinators as well as support

commitment required (see Annex for more info);• WGARM to brief Coordinators;• Circulate ‘introductory letter’ to UNPO staff announcing

project and reinforcing cooperation/participation required.

8

Next Steps (cont.)2003 (Deliverable 1)• Project Deliverable Work Plan and Time Table agreed by

UNPO DAP Coordinators;

2004 (Deliverables 2-7)• Policy and Information System survey completed by

contractor and validated by UNPO ;• Digital Archive Standards and IT Specifications identified

and DAP framework designed;• Implementation Plan;• Presentations;• Work plan/TOR for Implementation (DAP Phase II)

9

Annexes• DAP Definition• DAP Scope• DAP UNPO Focal Point/Co-ordinator Functions

and Skills/Expertise• Project Management• Project Milestones• Project Deliverables• Appraisal Decision Assistance, ADA, Phases I, II

and III• Other WGARM projects on hold

10

Digital Archives Programme, DAP Definition

• The Digital Archives Programme is a combination of policies, procedures and technologies that will facilitate the proper management, appraisal/retention and preservation of digital records and provides for the long

term access and use of materials with archival value. • Preservation requires active management that begins with

record creation.

11

Digital Archive ProgrammeDefinition

Policy &Procedures Technologies

Management

Provides for the long term access and use of materials

Combination of Policies,

Procedures and Technologies

Facilitate the appraisal retention and preservation of

digital records

Requires active management throughout record lifecycle

12

Project Scope

• Digital records created or received in UNPO NY offices and identify issues related to digital records created away from NY that may impact on DAP effectiveness.

• Digital records of archival value but contains elements that interact with all records; identify Electronic Document Management System, (EDMS), and Electronic Record Management System, (ERMS), issues that effect DAP performance.

13

Scope

EDMSNY

DAPNY

ERMSNY

Dig. Rec.Other Loc.

14

UNPO DAP Co-ordinatorFunctions

• Serve as a UNPO central DAP focal point to co-ordinate between UNPO staff, WGARM members, DAP Project Manager and vendor;

• Attend and comment on key presentations;• Ensure UNPO DAP requirements and work units

are represented;• Validate all UNPO information collected and

representative; • Verify Vendor Deliverables ;

15

UNPO DAP Co-ordinatorSkills/Expertise

• Knowledge of corporate and business practices;• Familiarity with UNPO organizational structure; • Awareness of information systems as well as

record keeping issues;• Willingness to commit;• Authority to solicit and validate information;• Networking and people skills.

16

Project Management

• Finalise SOW;

• Develop EOI, RFI and RFP documents;

• Develop RFI and RFP evaluation criteria/weights;

• Assist and support UN Procurement on issuing RFP, prepare documentation materials related to HCC presentation, assist in drafting contract;

• follow up on RFP issues including vendor questions, vendor references and related issues;

• Conduct and co-ordinate RFI and RFP Evaluation meetings ;

• Complete SOW annexes, follow up missing information;

• Compile and make accessible project documents and related materials, digitise where appropriate;

• prepare indicative budget documents for 2005/06

17

Project Management (cont.)

• Develop presentation materials, overviews and introductory materials concerning project;

• Develop and maintain project filing scheme; maintain all paper and electronic records related to project;

• Register electronic copy of all project materials in Trim, digitise documents whenever necessary;

• Maintain regular communication with UNPO representatives/IT focal point; attend meetings and make presentations to representative groups

• Make presentations and update UNPO related groups such as UNSec Knowledge-Sharing,, ICTB

• Provide progress updates to WGARM and co Chairs;

• Develop DAP Deliverable Certification documents;

• support related activities, such as WGARM Appraisal Decision Assistance project and RAMP IRDAM.

18

DAP Project Milestones

• EOI/RFI - Sept.-November 2002 .

• RFI evaluated, shortlist created, SOW finalised - mid Dec.

2002

• RFP issued by UN Procurement - 15 March - 9 May 2003

• Technical Evaluations - May/June 2003 (WGARM)

• Financial Evaluation/HCC Recommendation- July 2003

(UNPD)

• Contract negotiations - September 2003

19

DAP Project Deliverables

• Project Start up - October 2003 (anticipated);

• Deliverables - 10-12 Month projected timeline;

– Work Plan Phase I (20 days),

– Administrative Survey (32 days),

– Technical Inventory/Assessment (35 days),

– DAP Design/Specs (57 days),

– Implementation Plan (32 days),

– DAP Presentations (23 days),

– Work Plan Phase II (39 days).

20

Appraisal Decision Assistance ADAADA Phase I - Start up & Initial Inventory (2002/03)

• External Organisations [7]:

– Record Series & Retention Schedules

• UNPO’s [5 in NY]

– Some Record Series [from 110? Work-units] and

– Some Retention/destruction schedules & Rules

• Initial Result as of Sep 2003– UNPO Main Functions [10] and Generic Series Matrix;

– Generic Series linked to various & multiple retention periods

– Preliminary ADA Database Tool in MS Access;

21

WGARM Appraisal Decision Assistance ADA

Phase II - Follow up, Consolidate & Design (2004)• UNPOs certify and CSTF review next steps

• UNPOs validate list of their organization work units.

• Provide GAP Analysis, Identify/Collect missing UNPO Record Series

• Consolidate Generic Record Series • Standardise, justify & apply appraisal values to generic

record series - retention schedules

• Refine the ADA software tool for updates & presentation

22


Phase III Implementation - by UNPO (2005)

• Confirm UNPO Record Series in all workunits & storage

• Match UNPO Records Series to GRS Schedules

• Seek approvals and carry out retention recommendations for each UNPO

• Prioritise Record series for follow up actions. E.g vital records protection, digitisation, disposal.

• Make GRS updates available via the ADA software tool with internet access

23


•Classical Appraisal

Values:•Primary - Reason created or received•Secondary - Evidence of Action or decision•Tertiary - Ongoing informa- tional use

Appraisal Values

Components

8.

Classical Appraisal Values

9.

Business Model & Systems

1.

Record Type

2.

Importance of Activity

3.

Subjects

4.

Level ofOffice

5.

Practical consider-

ations

6.

Research Consider-

ations [discovery]

7.

Form and Format

[Media of Storage]

24

ADA Project Scope & Components : Appraisal Values Identified and retention schedule assigned for records created or received in NY UNPOs

UNPOPolicy rules

reflect or imply Appraisal

Values

Managers Apply retention schedules to specific, dated, Record Series

in work units or storage Areas

Generic RetentionSchedules

Appraisal Values

&Criteria

Main Functions

or Business Processes

Generic Records

Series

UNPO Record Series

5 UNPOs = UNDP, UNFPA, UNICEF,

UNOPS & UN Secretariat

UNPO Retention Schedules

25


UNPOs 10 Main Functions - Sub Functions Link to Record Series Abbre-viation

Generic FunctionGrouping Title

Description or examples of Sub Function orSeries enclosed

Notes &Cross References

ACPAdministration, Conferences, CentralSupport and Procurement

Administrative Management, Conferences and Meeting Arrangements,Equipment & Inventories, Facilities and Property Assets, Procurement,Security Services and Risk Assessment, Travel and Transportation

See IAM for Archives,Records, Library, Mailetc

FBA Finance, Budget and AccountsAccounts Payable or Receivable, Budget, Cash Management, Claims,Contributions & Donations, Financial and Fund Management &Reporting, Payroll

HRM Human Resource ManagementAppointments & Promotions, Attendance &, Leave; Entitlements,Benefits, Claims; Compensation; Health & Safety, Recruitment, StaffRelations, Training.

IAM Information Assets Management

Document, Records, Archives, Publications and InformationManagement, Mail Operations, Register and tracking, Distribution,Library, Collections, and Reference Materials, Storage MediaManagement, Presentations, Content and Knowledge Management

See also ICT forSystems TechnicalCommunications

ICTInformation and CommunicationTechnology

Applications, Hardware, Information and Communications Technology ,Internet, Intranet, Extranet, Networks, Software, System Integration andSecurity, Telecommunications

LEG Legal Agreements, Authorities, Contracts, Intellectual Property, Judgements,Leasing, Legal Issues, Real Estate

OAE Oversight, Audit and Evaluation Audits, Evaluations, Investigations, Inspections, Monitoring, and LessonsLearned

For Policy &Procedure see OCM

OCMOrganisation, Co-ordination andManagement

Co-ordination and Intra-function Meetings, Governing or ExecutiveBoard, , Executive Decisions and Management, Internal Relations,Planning Workgroups and Task Forces, Committees, Policy, Procedures

PPM Programmes, Projects and Missions

Including Geographical [Field, Region, Area, Country] and Themes orSubject; Special Project and Programme Planning and Management,e.g. Disarmament, Electoral Assistance, Emergency, Environment,Peacekeeping, UN System, Regional Commissions

covers manymandated functions oforganizations

ROCRelations, Outreach, Media andCommunications

External Relations, Presentations or Statements, Media , Press andGeneral Public Relations; Related Agencies, Foundations, Funds,Intergovernmental Relations, Non-Governmental Organisations, Partnersand Academic Institutions, UN Common System Reform , MemberStates and Private Sector

See ICT for TechnicalCommunications –

26

Other WGARM Projects(on hold pending DAP and ADA)

• Archive Research Centre [CS-ARC] as Common Depository;

• Harmonization of Archives and Records policies and procedures;

• Other important projects which would require funding to expedite:– Vital Records Protection;– Disaster Recovery Plans; – Prioritisation of digital scanning initiatives;– Plan for Integrated Records, Documents and Archives – Field Advice