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Appraisal Workshops

Appraisal Workshops. British Virgin Islands August 2008. ISO 15489. What is it? Benefits Aims Structure. Origin: Australian Records Management standard Covers full life-cycle of a record What to create Capture – formats, technologies Documentation Appraisal Retention or destruction.

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Appraisal Workshops

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  1. Appraisal Workshops British Virgin Islands August 2008

  2. ISO 15489 • What is it? • Benefits • Aims • Structure

  3. Origin: Australian Records Management standard • Covers full life-cycle of a record • What to create • Capture – formats, technologies • Documentation • Appraisal • Retention or destruction

  4. Creation or revision Genesis or conception USE Dormant Redundant The information lifecycle Return flows

  5. Aim • Provide a best practice framework to follow • Records are: • Properly managed • Easily accessible • Correctly documented • Transparent disposal

  6. Benefits • More effective processes • Efficiency savings • Reduced costs • Confidence

  7. Structure • Part 1 – General. • High level framework, providing • Benefits • Regulatory considerations • Responsibilities • Part 2 – Guidelines • Practical guidance on implementation

  8. ISO 15489 Supporting Documentation • PD 0025 Part 1 - Management guide • PD 0025 Part 2 - Practical implementation • PD 0025 Part 3 - Performance measurement • PD 0025 Part 4 - How to comply

  9. BVI Developments • Legislation • National Archives and Records Centre buildings • File Classification scheme • Appraisal • Electronic Records Management

  10. Eight Steps • The Records Management Function • Records Manager • Policy Statement • Training and Awareness • Record Creation and Keeping • Record Maintenance • Record Disposal • Performance Management

  11. 1: The Records Management Function • specific corporate programme • organisational support • records in all formats • clearly defined responsibilities • connection with other information management issues

  12. 2: Roles and Responsibilities • records manager • appropriate skills and knowledge • appropriate resources • analysis of training needs

  13. 3: RM Policy • mandate for all records management functions • commitment to create, keep and manage records • role of records management • relationship to overall strategy • roles and responsibilities • framework for supporting standards, procedures and guidelines • monitor compliance • reviewed at regular intervals (at least once every three years)

  14. 4: Training and Awareness • records management awareness • professional development programme

  15. 5: Record Creation and Record Keeping • information survey/record audit • metadata • rules of description • adequate system for documenting activities • complete and accurate • quick and easy retrieval

  16. File Plan Operational Function Activity Task

  17. 6: Record Maintenance • tracking system • adequate storage • suitable equipment • handling procedures • business recovery plan

  18. Preservation Issues: Packing • To halt any existing deterioration • To prepare them to a condition which will aid their continuing survival • To avoid taking any action which will start or accelerate any decline in the physical condition of the record

  19. Threats and Risks • Physical handling • Sub-standard and unstable materials • Storage conditions • Water • Fire • Heat • Light • Insects and mould • Pollution

  20. Storage conditions • Damp rooms • On the floor • Over the boiler house • Above the munitions store • On window ledges • Next to radiators • Near electrical equipment

  21. Temperature andRelative Humidity • paper: 13 C to 18 C 45% to 65% • microform: 16 C to 20 C 30% to 40% • electronic 18 C to 22 C 35% to 45%

  22. 7: Record Disposal • closure procedures • standards for the storage of closed records • volume and nature of records due for disposal • time taken to appraise • risk management • documentation system • acquisition and disposition policies • operational selection policy • disposal schedules • destruction

  23. 8: • Performance measurement

  24. Appraisal

  25. Types of Value • Primary - to the creating organisation • Secondary - to others • Not mutually exclusive - combination value T R Schellenberg

  26. Primary Value • Operational manuals, handbooks, plans • Financial control, assets/liabilities, obligations • Legal rights/obligations, ownership, commitments

  27. Secondary Value • Evidential • Informational

  28. Evidential • establishment of the institution • organisation • operations and activities • formulation of policy • execution of policy • effects of policies and activities

  29. Informational • persons • bodies • places • objects • happenings any subject - other than the creating body itself

  30. Appraisal Policies and Procedures • Acquisition Policy • Operational Selection Policies

  31. Acquisition Policy Statement • Principal policies and actions of the government • Government’s interaction with its citizens

  32. economic social demographic individuals communities organisations Interaction of the state with citizens

  33. Operational Selection Policies Apply the collection themes described in the Acquisition Policy statement to the records of individual departments and agencies

  34. Dual Review Procedure ACTIONTIMEPERIOD ARecord opened 0 0 BRecord closed 5 5 CFirst Review B + 5 10 DSecond Review A + 25 25 EOpened to the public B + 30 35

  35. Role of disposal schedules • A vital element of any record or document management system • Every record should have an owner and that owner should assign a retention category to it • Are contracts/agreements between records managers and their clients

  36. Appraisal: practical Stage One - establish what you are dealing with • Owners • Creators • Core/facilitative • Duplication • Nature, content, tone, substance

  37. Appraisal: practical Stage Two - appraise the records • Recommendation • Documentation

  38. Our world is changing…

  39. Electronic Records Management: Statement of Requirements • Core • Additional • Supporting

  40. Core Requirements

  41. Additional Requirements

  42. Supporting Requirements

  43. Why can we not use traditional methods? • Time • Changing system • Maintenance costs • Inadvertent destruction • Context • Separation from content • Application • Many more records and information

  44. Information & Communications Technology Projects SF Management & Security Seamless Flow Programme Projects Strategic Management Selection & Disposal Selection Projects SF Appraisal & Selection SF Transfer

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