Contents

  Introduction  3

What is appraisal?  3

What are the results of a ‘one-off‘ appraisal?  3

Why do appraisal?  3

When to do a ‘one-off’ appraisal 3

Steps to carying out a ‘one-off’ appraisal 3

1. Deciding roles and responsibilities  3

2. Researching the organisation and its functions  3

3. Surveying the records  3

4. Deciding which records to appraise  3

5. Listing the records  3

6. Assesing the value of the records using the disposal criteria  3

7. Marking up the list with appraisal decisions  3

8. Consulting with the creators and users  3

9. Writing the appraisal report 3

10. Gaining approval for the appraisal report and lists  3

11. Implementing the disposal actions approved in the appraisal report 3

Appendix 1: Survey form template and instructions  3

Appendix 2: Listing template and instructions  3

Appendix 3: File/record content analysis sheet 3

Appendix 4: Appraisal report and agreement templates  3

 

INTRODUCTION

 

The Pacific Regional Branch of the International Council on Archives (PARBICA) has developed this guideline to Starting an Appraisal Programme as part of the Recordkeeping for Good Governance Toolkit. It was drafted in consultation with a working group which was made up of representatives from the following countries:

• Australia ;

• Cook Islands ;

• Fiji ;

• Nauru ;

• New Zealand ;

• Palau ;

• Papua New Guinea ;

• Samoa ; and

• Vanuatu

 

The PARBICA Recordkeeping for Good Governance Toolkit includes a model Disposal Schedule for Common Administrative Functions (Guideline 7) that identifies which common administrative records should be kept as archives and which can be destroyed after a period of time. http://www.parbica.org/Toolkit%20pages/ToolkitIntropage.htm

 

Guideline 7 cannot be used for the core business records of government agencies. The core business of a government body is the work it is responsible for which no other part of the government does. For example, only the Ministry of Health manages hospitals, and only the Ministry of Education runs schools.

 

This guide is intended to assist archival institutions and government Ministries to appraise the closed records of core functions. This guide is called Starting an Appraisal Programme because once all old records of core functions have been appraised in a “one-off appraisal”, then those decisions can be used to determine the retention requirements of records of core functions as they are being created. A regular programme of appraisal and disposal of records of core functions will ensure that a backlog of old records do not build up within a government Ministry.

 

Each Ministry will need to produce an appraisal report and list that gives instructions on how to dispose of records about specific types of core business. This guide is designed to assist in deciding which closed core business records should be kept as archives and which may be destroyed.

 

WHAT IS APPRAISAL?

Appraisal for recordkeeping purposes is a process for deciding what records to create and capture, and how long records need to be kept, prior to being sent to the archives or destroyed. Appraisal decisions are based on reviewing the value of the records and of the functions and activities that resulted in the creation of records. Appraisal decisions also take into account the needs of the organisation that created them, any legal requirements for keeping the records, and the value they may have to the community as a whole.

 

There are different methods of appraisal. This guide discusses the kind of appraisal known as ‘one-off’ appraisal. ‘One-off’ appraisal is used for a specific set of records, that are closed and no longer used by an organisation and where a disposal schedule does not exist that applies to them.

 

Another kind of appraisal is the appraisal of the functions and activities that create the records. This kind of appraisal usually results in the development of a disposal schedule that can be applied to existing records and to records that will be created in the future. This is the type of appraisal that was carried out to develop Guideline 7: Disposal Schedule for Common Administrative Functions that is part of the PARBICA Recordkeeping for Good Governance Toolkit.

http://www.parbica.org/Toolkit%20pages/ToolkitIntropage.htm

 

Many recordkeeping programmes incorporate both methods of appraisal so as to manage the disposal of records over time in an effective way. However, this guide does not discuss the appraisal of functions and activities that lead to the development of a disposal schedules for core business records.

 

Appraisal decisions are made with the help of disposal criteria, which assist in deciding the value of the records. The disposal criteria used in this guide were developed by the PARBICA Recordkeeping for Good Governance Toolkit working group. See page 15 for the disposal criteria.

 

The appraisal decisions that are made are called disposal actions. Disposal of records does not necessarily mean destruction - it means what happens to a record at the end of its active life, which could be either destruction or retention as an archive (a record of permanent value). The usual disposal actions for records are Archive or Destroy.

 

WHAT ARE THE RESULTS OF A ‘ONE-OFF’ APRPAISAL?

An appraisal results in:

·         An appraisal list, that lists each record or each type of records and the disposal action to be applied to the record (archive or destroy)

·         An appraisal report that sets out the reasons for the appraisal, describes the records, and documents and provides justification for the disposal actions that have been recommended

·         A final approval of the appraisal by the National Archivist that signifies that the disposal actions have been agreed.

 

The ultimate result of an appraisal is the transfer to National Archives or to archival storage of records of permanent value and the destruction of records of low or short-term value.

WHY DO APPRAISAL?

As part of a well managed recordkeeping programme, appraisal supports good governance and contributes to societal memory by allowing:

·         the identification of the records that need to be created and managed in an organisation

·         the identification of records that need to be retained as an archive

·         efficient use of resources by not storing records for longer than necessary

·         improved ability to retrieve records of continuing value to the organisation

·         compliance with legal requirements for the retention and destruction of records (by the Archives Act and any other legislation)

 

Appraisal is also a systematic way of deciding value, and the decisions used to appraise one set of records can be used in the future to appraise similar records, or to develop a disposal schedule.

 

WHEN TO DO A ‘ONE-OFF’ APPRAISAL

A “one-off” appraisal should only be carried out on records that are inactive. This means that they are no longer in current use. Although they may be used for reference, no further information is being added to them.

 

‘One-off’ appraisal should be carried out if storage areas are full of inactive records. Once the storage areas have been cleared, it is useful then to develop a disposal schedule so that in the future there are regular transfers of archival records to the National Archives and regular destruction of records of low or short-term value.

 

STEPS TO CARRYING OUT A ‘ONE-OFF’ APRPAISAL

Records are always appraised at ‘accumulation’ level, not at document level. For most records, accumulation level will be the file; for others it might be a set of volumes, or a box of loose papers.

 

The steps to doing an appraisal are listed below. The rest of this guideline discusses each step in detail.

 

1.      Determine roles and responsibilities

Who will perform the appraisal and write the report?

Who has internal authority to agree to the appraisal report and list once it is completed?

What is the legislated process for the National Archives or similar body to give final approval to an appraisal?

2.      Research the organisation and its records

Develop an understanding of the organisation so that you know the context in which records were created and used, including researching the records created and maintained by the organisation

Review relevant legislation to identify any statutory retention periods

3.      Survey the inactive records of the organisation so that you know what kinds of records are being stored, where they are and how many there are

4.      Determine which records will be appraised

5.      List the records that will be appraised if they are not already listed

6.      Using the list, the background knowledge you have collected and the disposal criteria provided in this guide, assess the value of the records

7.      Mark up the list with the recommended disposal action and the disposal criteria used to make the decision

8.      Consult with the creators and users of the records about your appraisal decisions and make any necessary amendments

9.      Write a report describing the reason for the appraisal, describing the records and providing justification for the disposal actions recommended

10.  Gaining approval for the appraisal report and lists

11.  Implementing the disposal actions approved in the appraisal report.

1. DECIDING ROLES AND RESPONSIBILITIES

Who performs the appraisal?

Agreement should be reached between the National Archives and the Ministry as to who will do the appraisal. Appraisal could be done by either a designated staff member from the National Archives, the person responsible for managing the records in the Ministry, a person from another Ministry who has experience in doing appraisals, or any combination of these people. This should be agreed upon by all parties prior to the appraisal starting.

Who agrees to the appriasal report and list

The completed appraisal recommendations (in the report and list) must be agreed to at an appropriate, senior level before final approval by the National Archivist. This agreement means that the appraisal recommendations have been appropriately authorised for use in the organisation. A decision on who will agree to the appraisal recommendations is a key issue and should be the first issue you decide on before you undertaking an appraisal.

 

It is suggested that the most senior manager in the Ministry approves the appraisal.

Final approval of the appraisal

If your country, state or territory has a National Archives, or similar, and archives legislation, then there will be provision for the National Archivist to give final approval to appraisal recommendations.

 

This approval is in addition to that given by the Ministry, so the National Archives should be contacted before starting any appraisal to find out there process and requirements.

 

2. RESEARCHING THE ORGANISATION AND ITS FUNCTIONS

In order to evaluate the records created by the organisation, it is important to have an understanding of what the organisation does (its functions). You also need to know about the history of the organisation and how it fits into your country’s history.

 

This helps provide the context for the records, which is part of what is considered when deciding the value of records.

 

Sources for research about the organisation include:

·         Annual reports and other publications that talk about what the organisation does

·         Any legislation that is relevant to the organisation

·         Histories of your country or of the organisation

·         The older records of the organisation

o        Note: These may already be at the National Archives and could provide good precedent.

·         Reports by parliamentary committees, the auditor-general, the ombudsman or other review bodies;

·         Reviews and reports by bodies outside government, such as the World Bank;

·         Talking to the people who create and use the records.

o        It is always useful to consult with the people who use the records or have been in the organisation for a long time.

3. SURVEYING THE RECORDS

The better listed and controlled the records are, the easier it will be to undertake an appraisal. The Recordkeeping for Good Governance Toolkit has a guide to developing and implementing record plans for core business functions that will make appraising these records easier in the future. http://www.parbica.org/Toolkit%20pages/ToolkitIntropage.htm

 

Carrying out a survey of records before you begin the appraisal process helps you to understand what records are held by the organisation, and where they are held, and therefore which records require appraisal and which do not.

 

A survey is not an inventory or a list of each record that exists, but rather a high-level overview of ‘what’ is ‘where’. When you survey you are simply trying to identify ‘groups’ of information. If you already have good lists of all the records, then the survey will simply be a matter of reviewing the lists, so you can identify which records are inactive and could be appraised.

 

Otherwise undertaking a survey will involve physically examining information located in the many and varied storage areas that are common to most organisations. It can include official and unofficial records systems in storage areas and in offices.

 

The result of the survey should be that you know:

·         How many rooms, cupboards, shelves and boxes hold records

·         What records are held in which storage area

·         Broadly how many records there are in each group, and

·         Which records have to be listed in more detail.

 

The survey will also help you identify the records that do not have to be appraised, because they are common administrative records that are covered by the Disposal Schedule for Common Administrative Functions. http://www.parbica.org/Toolkit%20pages/ToolkitIntropage.htm

 

You should use a standard form for the survey so that the information you collect about each group of records is in a standard format. There are examples of filled out survey forms on pages 10 - 11. Appendix 1 has a blank survey form and instructions, but it can be modified to suit your requirements. For each ‘group’ of information you must fill out a survey form. This will involve some detailed examination of the group, recording date ranges and details of quantity. It can often be messy and quite physical work.

 

Deciding what makes up an information group/series can depend just as much on the physical proximity and appearance of the records as on the possible intellectual similarity. For example: all of the inactive files from series 2 of the formal file classification system, or the one box holding papers from a staff member who has left the organisation.

 

It is usually impossible to determine in advance what the most logical groupings of information are going to be until you are out there examining. Be wary of trying to make the groups too big or else the results of your survey will be difficult to use.

 

Once you have filled out the survey form, you need to talk to the users of the records to find out about the use of the records. The users might also be able to answer some of the questions on the survey form.Example of filled out survey forms

 

NAME OF ORGANISATION:  Department of Customs and Immigration
FORM CREATED BY:  Mrs Mere Wale, Records Management Officer					ON (DATE): 29/3/09
1. NAME OF STORAGE AREA:   Import licensing office cupboard
2. LOCATION WITHIN STORAGE AREA:  Top shelf
3. INFORMATION GROUP TITLE/ DESCRIPTION: Loose papers about import licensing controls (from former head of section’s office)
4. CONTAINER TYPE			5. FORMAT OF RECORDS
£ Box – file £ Box - archive þ Box – non-standard (describe below and measure) £ Card index drawer £ Other (describe below) Photocopy paper box			£ Diary £ Envelope - legal £ Envelope – f/cap £ File þ Loose papers £ Manila folder £ Ringbinder				£ Microfiche/film £ Photograph £ Map/Plan £ Spiral bound £ Split pin file £ Suspension folder £ Volume
			£ Other (describe)
6. DIMENSIONS  NON-STANDARD BOX H__20.5 cm___W_20.1 cm___D__30.1 cm___   £ Multiple
7a. CONTAINER QUANTITY   2				7b. ITEM QUANTITY:
8. DATE RANGE	FROM:   1975					TO:  1989
9a. LISTED/INDEXED? £ Y þ N		9b. IF YES, WHERE LISTED/INDEXED
10a. SUMMARISED ELSEWHERE? £ Y þ N		10b. IF YES, WHERE SUMMARISED
11a. DUPLICATED ELSEWHERE? £ Y £ N  ? possibly		11b. IF YES, WHERE DUPLICATED Possibly these are copies of papers on 29/6 files
12a. PRIMARY USERS Import licensing section				12b. OTHER USERS None
13. PRIMARY CONTACT NAME:    Head of Import Licensing Section (Mr Joseph Jones)
14. HOW OFTEN USED BY PRIMARY USERS? £ Daily  £ Weekly  £ Monthly  £ Quarterly  ý Six-monthly  £ Annually  £ Never (as far as we know)
COMMENTS (OTHER INFORMATION ABOUT THE INFORMATION GROUP) Need to check 29/6 files to see if these papers are duplicates. Continue over page if required

 

 

NAME OF ORGANISATION:  Department of Customs and Immigration
FORM CREATED BY:  Mrs Mere Wale, Records Management Officer						ON (DATE): 29/3/09
1. NAME OF STORAGE AREA:   Inactive storage room 1
2. LOCATION WITHIN STORAGE AREA:  Bay 1, shelf 3
3. INFORMATION GROUP TITLE/ DESCRIPTION:  13/ series files
4. CONTAINER TYPE		5. FORMAT OF RECORDS
£ Box – file £ Box - archive £ Box – non-standard (describe below and measure) £ Card index drawer £ Other (describe below)		£ Diary £ Envelope - legal £ Envelope – f/cap þ File £ Loose papers £ Manila folder £ Ringbinder						£ Microfiche/film £ Photograph £ Map/Plan £ Spiral bound £ Split pin file £ Suspension folder £ Volume
		£ Other (describe)
6. DIMENSIONS  NON-STANDARD BOX H__________ W_________ D__________   £ Multiple
7a. CONTAINER QUANTITY   N/A				7b. ITEM QUANTITY:   5
8. DATE RANGE	FROM:   1993						TO:  1999
9a. LISTED/INDEXED? þ Y £ N			9b. IF YES, WHERE LISTED/INDEXED    Main file index
10a. SUMMARISED ELSEWHERE? £ Y þ N			10b. IF YES, WHERE SUMMARISED
11a. DUPLICATED ELSEWHERE? £ Y þ N			11b. IF YES, WHERE DUPLICATED
12a. PRIMARY USERS Customs border controls team					12b. OTHER USERS Customs policy group
13. PRIMARY CONTACT NAME:  Manager, Customs Border Control Group, Mrs Ani Lang
14. HOW OFTEN USED BY PRIMARY USERS? £ Daily  £ Weekly  £ Monthly  £ Quarterly  £ Six-monthly  £ Annually þ Never (as far as we know)
COMMENTS (OTHER INFORMATION ABOUT THE INFORMATION GROUP) Procedures have been superseded so records are no longer consulted Continue over page if required

4. DECIDING WHICH RECORDS TO APPRAISE

You should only appraise inactive records, so if your survey has included active (or current) records you should exclude them from the appraisal.

 

If there are a lot of inactive records you might decide to appraise only some of them now and to leave the others until later. This will depend upon how much time and how many resources you have available for the listing and appraisal.

 

Alternatively you might decide that all of the inactive records should be appraised in one big project. Again this will depend upon how much time and how many resources you have available for the listing and appraisal.

5. LISTING THE RECORDS

If you already have good lists of the records you do not have to list them again.

 

The information you gathered during the survey will help you to know if the records should be listed in any more detail. That is why the example survey form asks if the records are listed or indexed anywhere. However, a records index that identifies which files have been created might not be sufficient for an appraisal list, depending on the information that is contained in the index.

 

The minimum requirements for an appraisal list are:

·         File reference or number, or other numbering system (for example box number if the records are loose papers in boxes)

·         Title or name of the record or group of records

·         Part/volume number of a file part/volume

·         Date opened (date of the first paper in the record)

·         Date closed (date of the last paper in the record)

·         Location of the record

 

If the files are stored in boxes, then it is useful to also have the box number included on the list. If none of the records are in boxes and are just on shelves, and there is a large quantity, then you may find it useful to number the shelves so as to ensure that the records can be located easily.

 

Appendix 2 has a listing template and some standard listing instructions that you can use as a guide to develop your own list format and listing instructions.

 

You will appraise the records at the level of detail to which you have listed them. This is why you do not list document by document, and also why you must be sure you know what level the records should be listed to before you start the listing work.

 

Different records require listing at different levels of detail. For example:

·         Files must be listed file by file (‘item level’ listing)

·         Register volumes or other bound volumes must be listed volume by volume

·         Batches of application forms could be listed by batch or even by box, provided that all the boxes held the same kind of application forms and that a first date and a last date can be applied. 

·         Loose papers should be listed according to how they are stored (by box or pile), and titled according to the activity that they provide evidence of. For example, ‘papers about import licensing controls’ or ‘loose papers from Secretary’s office’.

Example records appraisal list

Box no.	Reference no.	Part/ Vol. no.	Title	Date opened	Date closed	Location	Disposal action	Disposal criteria reference
25	29/7/1	1	Import licensing management - policy	Mar 1978	Nov 1978	Inactive records store room 1
25	29/7/1	2	Import licensing management - policy	Nov 1978	Jun 1979	Inactive records store room 1
25	29/7/1	3	Import licensing management - policy	Jun 1979	Feb 1980	Inactive records store room 1
25	29/7/1	4	Import licensing management - policy	Feb 1980	Apr 1981	Inactive records store room 1
25	13/1/3	1	Border controls - Customs border procedures - development	Feb 1993	Jul 1993	Inactive records store room 1
25	13/1/3	2	Border controls - Customs border procedures - development	Jul 1993	Nov 1993	Inactive records store room 1
25	13/1/3	3	Border controls - Customs border procedures - development	Nov 1993	Jan 1994	Inactive records store room 1
25	13/1/9	1	Border controls - Customs border procedures - 1995 review interviews and investigation	May 1999	Sep 1999	Inactive records store room 1
25	13/1/10	1	Border controls - Customs border procedures  - 1995 review report	Aug 1999	Nov 1999	Inactive records store room 1
1a	2756 - 3197		Import licensing applications	Jan 1987	Jan 1988	Import licensing office cupboard
1b	3198 - 4559		Import licensing applications	Jan 1988	Mar 1989	Import licensing office cupboard
	4/1		Import licensing register	Jan 1987	Sep 1988	Import licensing office cupboard
	4/2		Import licensing register	Sep 1988	Aug 1989	Import licensing office cupboard
HOS/1			Loose papers from former head of section’s office about import licensing controls	Sep 1975	Jan 1989	Import licensing office cupboard

6. ASSESSING THE VALUE OF THE RECORDS USING THE DISPOSAL CRITERIA

The PARBICA Recordkeeping for Good Governance Toolkit working group has developed the disposal criteria on the next page. These criteria should be used to assess the value of the records that are being appraised.

 

There are criteria for records that will be permanently retained as archives and criteria for the destruction of records of short-term value.

Further information about the criteria

 

Grandparent date

A ‘grandparent’ date is a date before which most, if not all, records should be kept, because records before this date are scarce. For example, if the department had a fire in 1985 which destroyed most of its records, you might consider keeping all records of core functions that pre-date 1985, because they are the only remaining evidence of how the department preformed its core functions.

 

Summary records

Records that are summarised elsewhere are often recommended for destruction because the non-summarised records are high in quantity and low in evidential or informational value. The summary records may contain all the information that is necessary to be retained permanently. For example, a register of applications may be recommended for retention while the applications themselves are not, because the applications comprise many boxes, and the information that is most of value in them is summarised in the register.

 

Indexes and registers

Indexes and registers to records that are being retained as archives should be kept to provide continuing access to the records once they become archives. Even if the records themselves no longer exist, or belong to a set of records recommended for destruction, the indexes and registers should still be retained. They provide a summary list of the types of records that have been created and used. All formats of indexes and registers should be retained – index and register volumes, cards, or files.

Criteria for the permanent retention of records as archives (ARCHIVE)

Disposal Criteria Reference	Description
A1	Records that provide evidence of key events that are of significant national interest (supporting national identity) •       history of country •       history of community •       records relating to historical national security issues
A2	Records that provide evidence of key events that are significant to a particular government department •       history of department •       administrative history of department (e.g. recordkeeping systems)
A3	Records that provide evidence of major decisions of government departments
A4	Records that are of cultural/historical significance to the country and/or department
A5	Records that provide evidence of precedent setting cases
A6	Records that are required for long term accountability or legal reasons
A7	Records that provide evidence of, and assist in understanding, the country’s relationship with the environment and its natural resources
A8	Records of the proceedings of a government Inquiry
A9	Evidence of high level inter-governmental relations
A10	Records that are indexes and registers to other records
A11	Any records that relate to the governing of other countries in the Pacific
A12	All records created before Grandparent date (date before which few records have survived)
A13	All records created before independence/self-government was gained

Criteria for the destruction of records (DESTROY)

D1	Duplicates •       within a government department or across government departments
D2	Records that do not have historic significance because they are summarised in a better record elsewhere •       within a government department or across government departments
D3	Records that are no longer of evidential value because the accountability or legal requirement for retention has been met
D4	Drafts that do not contain significant changes to the content of the record
D5	Records that are no longer required for current business and that do not fit any of the ARCHIVE criteria
D6	Records received for information only (such as newsletters, circulars from other organisations, copies of journal articles, downloads from web-sites).

Applying the criteria to the records

The research you have done on the context of the records (the history of the country and the organisation, the legislation about functions and activities of the organisation) will help you to apply these criteria to the record lists.

 

You must review the record lists with the criteria in mind. You are using the criteria to decide the value of each record. Sometimes more than one criterion will apply to a record. For example a record about the establishment of a government department will provide evidence of a key event in the department’s history (criterion A2) and it might also provide evidence of key decisions of the department (criterion A3).

 

In order to apply the criteria well, the records must have been listed so that the title tells you something about the contents of the records. Even then, you will sometimes have to look at the record itself so as to understand what its contents are. You should not have to look at every record, especially if there are files with many parts/volumes. Looking at one instance of a record should help you to decide on the value of all instances. For example, one import licensing application is much like another, so you do not have to look at all of them to decide the disposal action.

 

If you have decided that there are some records that you must look at, it is useful to note down what you think about the contents of the record. A form created for this purpose is sometimes called a ‘file content analysis sheet’, although it can be used for non-file records as well. There is a template for a file content analysis sheet in Appendix 3. There is an example of a filled out file content analysis sheet on page 17.

Records to which more than one disposal action applies

It sometimes happens that records may contain a mixture of some information that is of low or short-term value and other information that is of long-term value. An example of this is records of working groups or advisory committees which contain both the documents of long-term value (minutes, agendas, etc) and the low-value administrative information (e.g. arranging venues and catering).

 

In this case, the ‘highest’ disposal action applies – that is, the disposal action should be ‘archive’.

 

You should not ‘cull’ or ‘weed’ records to remove the low value information. This is very time-consuming work and it also affects the integrity of the record. It is better to retain the whole record even though some of the information it is of lower value.

 

In other words, a disposal action of Archive always supersedes one of Destroy.