Evaluation of digital archiving and preservation at the ICRC

The description of the assignment is posted below. Please see the full RFP document here, including Annex 2 Response Grid which should be completed and submitted with the technical proposal.

About the ICRC

The work of the ICRC is based on the four Geneva Conventions of 1949, their Additional Protocols of 1977, its Statutes – and those of the International Red Cross and Red Crescent Movement – and the resolutions of the International Conferences of the Red Cross and Red Crescent. The ICRC is an independent, neutral organization ensuring humanitarian protection and assistance for victims of armed conflict and other situations of violence. It takes action in response to emergencies and at the same time promotes respect for International Humanitarian Law and its implementation by States at the national level

For further information, visit the ICRC web site: Mandate and mission – overview

Introduction to topic/intervention

Ever since its inception in 1863 the ICRC has endeavored to preserve and record its humanitarian action as well as the history of the development of IHL, leading to the building of a wealthy and unique legacy of modern humanitarian action and law. Recording our action was not only seen as key to prove our aims, but to ensure their continuity and comply with increasing legal requirements. It also became evident that understanding, learning about, and questioning our past has shaped who we are in the present. Mandated by the Assembly, the Archives contribute to the following:

• Supporting operational efficiency & business continuity
• Ensuring institutional accountability towards donors and the people we serve
• Preserving the memory of the organisation and of individuals and their families affected by armed conflict
• Defining what can/should be discarded

Archiving is the process of deciding what records to keep for permanent institutional memory of the ICRC and what records can be discarded, i.e. what does not need to be archived as per the retention schedule.

The type of archived documentation ranges from general archives and tracing archives (protection individual data and) to audiovisual archives (film/video, photo, sound). The Rules of Access to the Archives adopted by the Assembly in 2017 provide for protection periods of 50 years (general archives) and 70 years (Tracing archives, sensitive information) before the archives are made public.

In 2010, the ICRC introduced electronic records management for Emails (Ref. files), followed by the roll out of SharePoint as the main tool for managing documents between 2015 – 2016. In the life cycle of information, records constitute the first period during which information is being created and actively used. After some 5-15 years, records are either transferred to archives for definite archiving or discarded (as per the retention schedule). Today the ICRC is equipped to manage digital-born information for active records phase but lacks the infrastructure and systems to archive and preserve digital-born records, ensuring their authenticity, reliability, integrity, and long-term usability. Much digital information is ephemeral, but it is essential to identify archival material early in its life cycle to ensure its long-term preservation.

The Strategy for Archives, Records and Library Collections (ARC 23 Strategy) 2019-2023 outlines specifically the vision of becoming digital by design and strengthening the archival and librarian digital skill sets and culture.[1] The Digitisation of paper (public) archives can be considered distinct in the sense that donor support will be sought separately for this project. Digital archiving and preservation are linked to a certain extent to the Digital Transformation Strategy as well. However, ultimately the digital archives will become public so there needs to have continuity and compatibility between these two initiatives. Digital archiving is the process of identification, appraisal, acquisition, ingest, description and ongoing maintenance of digital assets and digital preservation refers to the series of managed activities necessary to ensure continued preservation and access to digital assets for as long as necessary.[2]

The context of implementing the intervention

ICRC Archives and Library (ARCLIB) sit within the Department of International Law, Policy, and Humanitarian Diplomacy (LDP) which contributes to the promotion, clarification, and development of IHL. In addition to ARCLIB, LDP is comprised of Legal Division, Policy and Humanitarian Diplomacy, Center for Operational Research and Experience (CORE), the International Review of the Red Cross (a peer-reviewed academic journal produced by the ICRC and published by Cambridge University Press). The departmental connection of the ARCLIB with other divisions as such is key in contributing to the advancement of knowledge on ICRC’s past actions and on the development of IHL for the institution as a whole.

The ARC 23 Strategy outlines the individual and collective responsibility and action to ensure the proper preservation of information. It also highlights the need to ensure a robust records management system and practice for business continuity as well as for legal and compliance requirements. In addition, the strategy considers the increasingly digitalized environment in which everyone is operating, and the fact that the ICRC needs to embrace the digital transformation in conjunction with the Institutional Strategy and forthcoming Digital Information Strategy [3]

In this regard, the Rules governing Access to the Archives of the ICRC adopted by the Assembly on 2 March 2017[4], the forthcoming Digital Transformation Strategy, the ICRC Information Security Framework (ISF), the ICRC Information Management Framework, the ICRC Information Handling Typology Rules, the ICRC Access to Information Policy, the ICRC Rules on Personal Data Protection are among the frameworks relevant for the specific dimensions of ARCLIB work and for the digital archiving and preservation.

In addition to the ICRC context, it is important to situate this evaluation within the larger legal and policy context of records management to assess the degree of compliance with the current international professional standards of the International Organization for Standardization (ISO). The management of records in line with international standard is fundamental to a successful Management System for Records (MSR). The ISO standard ISO 15489 on Information and Documentation Records Management and ISO 14721 on Open Archival Information System OAIS are among the main Standards in the sector and relevant for this evaluation.

About this evaluation

The timing of the evaluation is pertinent to put a focus on ICRC digital archiving as per the vision in the ARC 23 Strategy 2019-2023. The current financial challenges at the ICRC with implications on closing delegations, downsizing, and reprioritizing will have consequences and challenges for archiving and preservation processes as well. Thus, it’s important to have a better understanding of the current challenges with regards to digital archiving to ensure institutional memory, business continuity and institutional accountability.

The existing challenges with regards to digital archiving and preservation are threefold:

• Absence of relevant policies and systems
• Lack of technical infrastructure and human resources/skills
• Uncontrolled growth of data/information which is not being discarded (financial and ecological impact)

Evaluation purpose

The purpose of this formative evaluation is to assess the ICRC’s ability and capacity to archive and preserve information created in a digital format, including compliance with international professional and ISO standards (ISO 15489, ISO 14721). At the strategic level the evaluation will support the development of a roadmap for digital archiving and preservation based on the assessment of the current practices, policies, strategies, and the international standards in the sector. The results of this evaluation will feed into the ICRC planning for results (PfR) 2025 to operationalize the vision and roadmap for digital archiving. The ARC Strategy 2019-2023 will come to an end in 2023, and the results of this evaluation will also help ARCLIB to define their strategic direction for the coming years.

Objectives

The specific objectives of this evaluation include the following:

• Assessing the current challenges and gaps with regards to archiving and preserving digital information at the ICRC at the policies, systems, resources (technical infrastructure, human resources, skills) levels
• Reviewing the alignment of the ICRC architecture for archiving and preserving digital information with international professional standards on the management of records and current practices specifically in the humanitarian sector
• Identifying the specific needs and priorities for archiving and preserving digital information suitable for the mandate of the ICRC
• Scanning relevant complementary and overarching initiatives within the ICRC (strategies, policies, frameworks) and advising alignment with future roadmap for archiving and preserving digital information
• Recommending a roadmap for ICRC digital archiving, including financial and human resources implications and alignment with other initiatives, i.e., development of Digital Transformation strategy and others

Key evaluation questions

The driving questions for this evaluation are guided by specific criteria. A total of four criteria are considered for the analysis from a retrospective and prospective viewpoint, namely current state, relevance, coherence, system adequacy and implementation capacity. The evaluation team is requested to develop sub-questions based on the suggested evaluation questions below:

Current state:

Retrospective assessment of the challenges and gaps in relation to digital archiving within the ICRC

1. What are the challenges in relation to archiving and preserving digital information within the ICRC at the policy, systems, resources levels?

Coherence:

Prospective assessment of the degree of required alignment for digital archiving with existing international standards and ICRC frameworks, policies, strategies across the legal, security, technical, ethical dimensions

1. How should the future roadmap for archiving and preserving digital information be aligned with current ICRC policies, strategies, frameworks across the legal, security, technical, ethical, environmental dimensions to ensure continuity and compatibility?
2. To what extent and how can archiving and preserving digital information at ICRC be aligned with the international standards in the sector given the specific humanitarian mandate?

Relevance:

Retrospective and prospective assessment of the relevance of digital archiving for the mandate of the ICRC and the current operational needs.

1. What is the significance of archiving and preserving digital information for the humanitarian mandate of the ICRC within the current operational context i.e., financial challenges, environmental concerns, shift to digitalization of systems and processes, downsizing/closing delegations while ensuring accountability and preserving institutional memory?
2. What are the needs at HQ and field levels in terms of skills, financial resources, and infrastructure to archive and preserve digital information while ensuring authenticity, reliability, integrity, and long-term usability of records?

System adequacy and implementation capacity:

Prospective assessment of system adequacy at the ICRC for shift to digital archiving

1. What are the operational implications of the strategic shift to archiving and preserving digital information, the challenges and adaptations needed (HR, skillset, infrastructure, funding)?

Scope

Temporal scope: Given that this evaluation is formative with largely prospective views and that its purpose is to establish a baseline of needs, challenges, strengths, priorities, alignment with sector specific requirements, with the aim of determining a future roadmap for archiving and preserving digital information, the retrospective analysis of the current state in general will be limited to the timeframe covered by the Strategy for Archives, Records and Library Collections (ARC 23 Strategy), that is 2019-2023. However, there are some important milestones achieved earlier in records management, for instance the introduction of electronic management for Emails (Ref. files) in ICRC in 2010, followed in 2015-2016 of SharePoint for managing documents. These specific outcomes are of relevance especially when assessing the current state and will be considered.

Geographical scope: The evaluation will have a global, strategic focus with a selection of delegations to capture the experiences and lessons learned for instance from delegations closing/planning to close and the challenges/implications for archiving, and understanding the needs at the field level

Technical scope: Current state of digital archiving and preservation, degree of compliance with the current international professional and ISO standards, implications of current limitations on supporting operational efficiency, business continuity, accountability & ways forward.

Intended users

The primary users of the evaluation are the senior leadership of ICRC – the Assembly and Executive Office of the Director General (EODG), Department of International Law, Policy, and Humanitarian Diplomacy (LDP), Department of Operations (OPS) and Department of Support and Digital Transformation (SDT). Secondary users of the evaluation are other ICRC staff at HQ and field, International Federation of the Red Cross, and Red Crescent Societies (IFRC). Given the novelty of the digital archiving sector potentially other humanitarian organizations would benefit from the findings of this evaluation.

Key stakeholders

The list of key internal and external stakeholders and their modes of engagement in the evaluation will be developed and finalized by the evaluation manager in discussion with the external evaluation consultants. Key stakeholders and participants will be engaged in the evaluation through different methods including as part of the validation meetings with the Evaluation Reference Group and discussions of the findings when applicable, during inception phase consultations and key informant interviews as part of the data collection phase. Consultations with key external stakeholders among peer organizations with a focus on producing a benchmark of maturity level and resources allocated to digital archiving and preservation activities will be conducted.

Evaluation framework

This evaluation is formative, utilization focused. The OECD DAC criteria of coherence and relevance are combined with additional criteria namely current state, system adequacy and implementation capacity to form the conceptual framework for this evaluation. The external consultants are expected to engage with stakeholders often and early in the evaluation stage to work towards determining the current state, challenges and needs for the purpose of recommending a roadmap for ICRC archiving and preserving digital information. Combining retrospective and prospective assessment, the focus is on the future state of the digital archiving at the ICRC. The formative and utilization focused nature of the evaluation will ensure responsiveness to the current institutional context allowing real time feedback from ICRC staff on needs and priorities for strategic shift to archiving and preserving digital born information. Significant part of the analysis will entail the study of the current policies and standards in digital archiving, ICRC policies on digital transformation, data protection, information security, archiving rules, etc. that are relevant for recommending roadmap for digital archiving. To this will be added a prospective analysis based on the current challenges and needs where and how the ICRC digital archiving needs to evolve.

Evaluation approach

The evaluation methodology will use criteria based mixed methods systematic retrospective and perspective analysis, and evaluators are invited to build on this with appropriate design features that will meet the purpose and objectives of the exercise.

Specific methods

The evaluation will deploy both qualitative and quantitative methods for data collection. At a minimum, qualitative data collection methods will include document review, key informant interviews, group interviews and workshops where appropriate. Analysis methods will require triangulation between multiple data sources and methods. Evaluation teams are encouraged to propose both data collection and analysis methods that are suitable for meeting the needs of the evaluation.

Primary data collection expectations, disaggregation

Primary data collection is expected to generate new evidence on gaps, challenges, needs, required alignments with standards in the sector and how this needs to be reflected in the recommended roadmap for digital archiving at ICRC. Depending on the methods and the sources, data should be collected in a way that it can be disaggregated by individual attributes (e.g., sex, age, disability etc.) and/or contextual attributes.

Secondary data availability

• ICRC Institutional Strategy

• The Strategy for Archives, Records and Library Collections (ARC 23 Strategy) 2019-2023

• ICRC environmental Strategy

• Rules governing Access to the Archives of the International Committee of the Red Cross

• ICRC Information Security Framework (ISF)

• ICRC Information Handling Typology Rules

• ICRC Access to Information Policy

• ICRC Rules on Personal Data Protection

• Consultancy reports on ICRC records management and digital archiving from 2006-07, 2012, 2015, 2016-17.

• Audit reports and reviews of archive related projects, where relevant

• Others

  Risks, limitations

The ICRC’s current re-organization and management of the financial situation necessarily places responsibilities on staff members and managers to respond thereby reducing their availability for processes such as this evaluation. The evaluation will need to be accommodating regarding the availability of staff members, and in the case of non-availability contingency plans for data collection will be needed to ensure the validity of datasets. Evaluation teams are required to expand on risks and include methodological risks, limitations, and mitigations in their proposal and during the inception phase.

Deliverables

1. A 1-page briefing outlining the purpose, timing, and key messages to explain the evaluation process to stakeholders. This acts as a communication tool internal within the evaluation particularly during the data collection phase. It includes the contact details of the evaluators, the evaluation commissioner, and the ICRC’s integrity weblink.
2. An inception report with PPT detailing a proposed methodology, evaluation matrix, list of stakeholders to be consulted, workplan and timeline, and the tools for data collection to be presented to the Evaluation Advisory Group (EAG) and the commissioning unit. The inception report should also include analysis of limitations/risks and mitigation strategies.
3. A draft evaluation report. This should be clear and simply written, free of unnecessary jargon. The main body of the report should not exceed 40 pages. The report outline will be agreed with the supplier as part of the inception report. The report will include the following sections:

• Executive Summary – a short overview of the report
• Context and background
• Methodology
• Main findings of the evaluation, and conclusions
• Concise recommendations for a roadmap, with consideration of the degree of prioritization and any necessary sequencing for actions and the responsible persons

1. A final report, with feedback integrated from the ERG and other internal stakeholders as relevant.
2. A PPT presentation of the key findings, recommendations, lessons learned addressed to the Advisory Group and the commissioning unit. Any relevant complementary materials should be provided as annexes to the final report.
3. A visual communication product such as a poster, infographic or max 4 pages brief that presents the key messages and recommendations of the evaluation in an engaging manner.
4. Ethical considerations and safeguarding

Evaluators are required to adhere to international best practices and standards in evaluation. It explicitly requires evaluators to abide by the Professional Standards for Protection Work; the ICRC’s Code of Conduct; the ICRC’s Code of Ethics for Procurement; and the ICRC Rules on Personal Data Protection. The evaluation design and implementation must apply the ICRC’s guiding principles and approach on Accountability to Affected People. Evaluators will be expected to obtain informed consent from those interviewed and ensure that if an interviewee is quoted, the interviewee can’t be identified unless with consent.

Management of the evaluation

Managing/commissioning unit or team. Responsibilities of the Evaluation Manager

ARCLIB is the managing/commissioning team of this evaluation, with the Head of Archives, Library and Outreach with overall responsibility for managing the external evaluation team and convening the Evaluation Advisory Group.

The Evaluation Commissioner will work directly with the External Evaluation Team to develop a final list of stakeholders for participation, facilitate access to the necessary documentation to be reviewed, inform the relevant stakeholders about the evaluation, and facilitate initial introductions between them and the external evaluation team. The team members of the ARCLIB will contribute to the processes of onboarding the external evaluation team accessing documentation and providing supporting information. The Evaluation Commissioner will facilitate access for the evaluation team to stakeholders (internal and external), and modes of communication for stakeholder types will be agreed in advance of them being contacted.

All evaluation deliverables will be submitted simultaneously directly to the Evaluation Commissioner and the ICRC Evaluation Office in due course for a first review. The Evaluation Commissioner will mobilize and share the inception report and final report with other key ICRC stakeholders for feedback, such as the Evaluation Advisory Group. The Evaluation Commissioner will provide consolidated feedback, including external quality assurance reviews. The key dates for deliverables and milestones will be determined during the inception phase in consultation with the Evaluation Commissioner.

Evaluation Office

The Evaluation Office at HQ will accompany the process providing technical advice and feedback to the Evaluation Commissioner at key stages, including scoping of the exercise, identifying and recruitment of the external evaluation team, providing feedback during the inception phase on the proposed methodology, methods, and data collection instruments, providing feedback on the inception and the final reports directly and through the established Evaluation Quality Assurance process and ensuring impartiality.

Evaluation Advisory Group

An Evaluation Advisory Group (EAG) will accompany the evaluation, providing their expert advice and feedback on key stages. The members of the EAG may be included in the initial onboarding process for the external evaluation team. The EAG will be consulted for the inception phase presentation/discussion on the plan for data collection and analysis, and for the presentation of the final report findings. The membership of the EAG is internal to the ICRC and the composition will be outlined in the relevant protocol internally.

Timeline

The evaluation is anticipated to start in December 2023 with the outcomes anticipated for the end of QR2 of 2024. The ICRC does not mandate that working days must be consecutive. However, the ICRC envisages that the consultancy will mainly be done virtually/remotely. During the inception phase, it is recommended for the team leader to visit ICRC HQ office in Geneva during the inception phase for initial in-person consultations.

Evaluation Quality Assurance

The main evaluation deliverables should meet the established quality standards. The quality criteria (checklists) for evaluation products (inception reports and evaluation reports) will be provided to the external evaluation team in advance. Drafts of these key products will be quality assured through the ICRC’s QA mechanism which will provide feedback to the supplier via the Evaluation Office.

Publication of final report

The final evaluation report’s Executive Summary or the brief visual communication product will be published on the ICRC’s website in line with the ICRC’s Access to Information Policy.[5]

Dissemination of findings

The full evaluation report with findings will be disseminated through different modalities internally to the following stakeholders:

• The Assembly, Department of International Law, Policy and Humanitarian Diplomacy (LDP), Department of Support and Digital Transformation (SDT), Executive Office of the Director General (EODG).

The ICRC might share selected sections of the evaluation report or executive summary with donor(s) and relevant partners.

Follow up of recommendations

In order to strengthen the use of the evaluations at the ICRC, fostering ownership over the process of change and ensuring accountability for results, the intended users of this evaluation will initiate the management response process as a follow-up action facilitated by the Evaluation Office. The Evaluation Office will support the Evaluation Commissioner and responsible teams and stakeholders in developing and tracking the management response actions through dedicated systems and processes.

Budget range or anticipated working days

The budget ceiling for this evaluation is 80,000 CHF, however overall cost will be taken into consideration for the selection decision. The consultants are expected to elaborate in the proposal on the number of anticipated working days for this assignment based on the budget range, proposed timeline and level of efforts required at each stage of the evaluation. The consultancy will mainly be done virtually/remotely, but the ICRC recommends for the team leader to visit the ICRC HQ in Geneva for initial consultations. The travel cost associated with visit to HQ should be included in the budget.

Expertise required

The evaluation team should possess the following combined skills and qualifications:

• Proven experience in conducting mixed-methods, humanitarian evaluations
• Expertise in developing and adapting qualitative and quantitative evaluation tools for different stakeholders, geographic contexts, and thematic areas
• Understanding of the ICRC’s mandate and work, previous experience with ICRC as a staff member or consultant would be a strong asset considering the former ICRC staff member of consultant does not have a conflict of interest and have not worked on the design or implementation of anything falling within the scope of this evaluation
• Expertise and technical knowledge on records management and archiving, incl. digital archiving and preservation and the current developments in this field of work
• Expertise and knowledge on ISO standard 15489 on Information and Documentation Records Management and ISO 14721 on Open Archival Information System OAIS
• Ability to work in English language is essential with additional languages such as French is an added asset

[1] The Strategy for Archives, Records and Library Collections (ARC)1 2019-2023

[2] Digital Preservation Handbook, Digital Preservation Coalition

[3] Ibid

[4] Rules governing Access to the Archives of the International Committee of the Red Cross Adopted by the Assembly of the International Committee of the Red Cross on 2 March 2017

[5] https://www.icrc.org/sites/default/files/document_new/file_list/access-information-policy.pdf

How to apply

Please see the full RFP document here, including Annex 2 Response Grid which should be completed and submitted with the technical proposal.

In order to obtain clarifications regarding this RFP, please direct all questions by email by 17/12/2023 at 23.59pm Geneva time to the attention of:

Name Hélène Richard

Title Evaluation Officer

Email address [email protected]

Firms are requested to submit the following:

• Maximum 4-page proposal highlighting how you would approach this evaluation, plus a proposed timeline/ workplan.
• CVs of consultants including descriptions of relevant assessment/evaluations or projects the consultant was involved in previously, and at least 2 referees (names and email addresses).
• At least 2 examples of previous evaluation reports for which the Team Leader was responsible for similar assignments.
• Financial proposal (including daily rates and any anticipated travel costs) – use Appendix 2 “Response Grid”

To: [email protected] by 07 January 2024 (23:59 hours) Geneva time. Please indicate “Evaluation of Digital Archiving and Preservation at the ICRC” in the subject line.