1 WGARM Projects Digital Archives Programme, DAP Start up, SOW, RFI, RFP, Contract Award Phase I, Strategic Plan /2004 Phase II, Implementation (pilot) /06 Appraisal Decision Assistance, ADA Phase I, Start up & initial Inventory /2003 Phase II, Follow up, Consolidations & design Phase III, Implementation in UNPOs

2 Strategic Plan for a Common Services UNPOs* 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 Plan Project Overview Assessment Design Plan Collect and analyse current policies, systems, platforms and initiatives Road map for implementation Develop Standards and Requirements, Identify Architectures, Preservation Strategies and 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 Programme Definition 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 EDMS NY DAP NY ERMS NY Dig. Rec. Other Loc.

14 UNPO DAP Co-ordinator Functions 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-ordinator Skills/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 RFI evaluated, shortlist created, SOW finalised - mid Dec 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 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 ADA ADA 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 WGARM Appraisal Decision Assistance ADA 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 WGARM Appraisal Decision Assistance ADA 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 of Office 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 UNPO Policy rules reflect or imply Appraisal Values Managers Apply retention schedules to specific, dated, Record Series in work units or storage Areas Generic Retention Schedules 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 WGARM Appraisal Decision Assistance ADA UNPOs 10 Main Functions - Sub Functions Link to Record Series

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