DAP Problem Statement

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

• Develop Standards and
• Requirements,
• Identify Architectures,
• Preservation Strategies
• and Functional Models

Collect and analyse current policies, systems,
platforms and initiatives
Assessment
Design
Plan

• Road map for implementation

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/commitment required.

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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)

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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

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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.

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Digital Archive ProgrammeDefinition
Provides for the long term access and use of
materials
Facilitate the appraisal retention and
preservation of digital records
Combination of Policies, Procedures and
Technologies
Policy Procedures
Technologies
Management
Requires active management throughout record
lifecycle

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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.

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Scope
DAP NY
Dig. Rec. Other Loc.
EDMS NY
ERMS NY
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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

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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.

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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

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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).

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Appraisal Decision Assistance
ADA

• ADA Phase I - Start up Initial Inventory
  (2002/03)
• External Organisations 7
• Record Series Retention Schedules
• UNPOs 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

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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

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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

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WGARM Appraisal Decision Assistance
ADA
1. Record Type
9. Business Model Systems
2. Importance of Activity

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

Appraisal Values Components
3. Subjects

8. Classical Appraisal Values
4. Level of Office
7. Form and Format Media of Storage
5. Practical consider- ations
6. Research Consider- ations discovery

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ADA Project Scope Components Appraisal
Values Identified and retention schedule
assigned for records created or received in NY
UNPOs
5 UNPOs UNDP, UNFPA, UNICEF, UNOPS UN
Secretariat
Main Functions or Business Processes
UNPO Record Series
Appraisal Values Criteria
UNPO Policy rules reflect or imply Appraisal
Values
Generic Records Series
UNPO Retention Schedules
Generic Retention Schedules
Managers Apply retention schedules to specific,
dated, Record Series in work units or storage
Areas
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WGARM Appraisal Decision Assistance
ADA
UNPOs 10 Main Functions - Sub Functions Link to
Record Series
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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