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Phases & Impact on other Projects Definition and Scope

WGARM Appraisal Decision Assistance ADA. Phases & Impact on other Projects Definition and Scope Relationship between Appraisal Policy/ Procedure, Technology and Management Overview, Components Status - Appraisal Values to Record Schedules

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Phases & Impact on other Projects Definition and Scope

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  1. WGARM Appraisal Decision AssistanceADA • Phases & Impact on other Projects • Definition and Scope • Relationship between Appraisal Policy/ Procedure, Technology and Management • Overview, Components • Status - Appraisal Values to Record Schedules • Details Phase 1, 2, & 3; Timeline Phase 2 • Task Force & UNPO input & resources required • Other WGARM projects & activities • on hold pending ADA and DAP

  2. WGARM Appraisal Decision Assistance ADA ADA Project • Phase I,Start up& Initial Inventory - 2002/2003 • Phase II, Follow up, Consolidations & Design – 2005? • Phase III, Implementation in UNPOs – 2006-7? Other projects or activities impacted by ADA • Digital Archives Programme • Vital Records Protection and Disaster Recovery Plans, • Plan for Integrated Records, Documents and Archives • Prioritisation of digital scanning initiatives • Common Service Archive Research Centre • Field Advice

  3. WGARM Appraisal Decision AssistanceADA Appraisal Decisions are basis of developing and applying retention schedules - the practical tool which determines long and short term access and use of materials Clear appraisal values & decisions ensure appropriate retention and preservation of all records [including digital] Appraisal Values and Policy should not be dependant on Technologies Tech-nology Appraisal Policy& Procedures Manage-ment Successful implementation of appraisal decisions requires active management of record series throughout lifecycle

  4. 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

  5. WGARMAppraisal Decision AssistanceADA 1. Record Type 2. Importance of Activity 9. Business Model & Systems • 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]

  6. WGARMAppraisal Decision AssistanceADA 1. Type of Record

  7. WGARMAppraisal Decision AssistanceADA 2. Importance of Activity

  8. WGARMAppraisal Decision AssistanceADA Apraisal Grid : 1.Type of Record & 2. Importance of Activity

  9. WGARMAppraisal Decision AssistanceADA 1.Type of Record; 2. Importance of Activity Estimated Percentage - Total Records Volume

  10. WGARMAppraisal Decision AssistanceADAProject Overview • Agree for 5 UNPO • Organizations main • and sub functions • Consolidate external & • UNPO Record Series • Propose Generic • Record Series [GRS] • Linked GRS to UNPOs • Sub Functions • Propose GRS retention • schedules and justify • appraisal decision. • Specify ADA future • data collection and • update software tool, • Prototype ADA tool in • MS access • Describe current: • External and UNPO • Records Series, • Functions or • Business Processes • Appraisal Related • Criteria, Rulesor • Standards Assess Design Plan • Approach that addresses immediate and long term • needs and admin infrastructure; • Practical steps that lead to scaleable and phased • approach for UNPOs implementation • Retention Schedules to address programmes managers • immediate and researchers long term requirements

  11. ADA Current Project Status • Reviewed Main categories of Appraisal Values - from 1993 presentation to ICA-SIO Workshop • Identified A few Initial Rules [based on appraisal Values]e.g. for Financial Records: • Published in policy issuances: Financial Circular • Applied to generic record series [Purchase Orders] • Implemented for specific records [Purchase Orders opened in 1995 - closed/completed 1997]

  12. ADA Current Project Status [cont’d 2] • UN System or External Standards or Rules: • Limited External Standards Identified • Obtained examples of various RS retention schedules: [retention time as applied to specific organisation's record series] • Listed sources where retention schedules were published

  13. ADA Current Project Status [cont’d 3] • Limited submissions from workunits of UNPOs[UNDP, UNFPA, UNICEF, UNOPS, UN-Sec]: • Appraisal Rules - only financial • Listed Some Record Series • Some Examples of Retention Schedules • applied to record Series • Consolidated List of Record Series [From 7 External and 5 UNPOs] • Lists Retention Periods assigned to Record Series

  14. ADA Project Scope & Components : Appraisal Values Identified and retention schedule assigned for records created or received in NY UNPOs Main Functions or Business Processes Appraisal Values & Criteria UNPO Policy rules reflect or imply Appraisal Values 5 UNPOs 7 External orgs Generic Records Series • Appraisal Values from • ICA/SIO • Presentation: • Record Type, • Importance of Activity, • Subjects, • Level of Office, • Practical & Research • Considerations, • Form & Format • (media of Storage), • Business Model and • Systems, • Classical Aprasial • Values UNPO Record Series External Record Series Managers Apply retention schedules to specific, dated, Record Series in work units or storage Areas External Retention Schediules UNPO Retention Schedules Generic Retention Schedules

  15. WGARMAppraisal Decision AssistanceADA UNPOs 10 Main Functions - Sub Functions Link to Record Series

  16. WGARM Appraisal Decision AssistanceADA 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;

  17. WGARM Appraisal Decision AssistanceADA Phase II - Follow up, Consolidate & Design(2005?) • UNPOs certify and CSTF review Phase 1 results • UNPOs validate list of their organization work units. • Provide GAP Analysis, Identify/Collect missing UNPO Record Series • ConsolidateRetention Schedules • Develop, reconcile, justify & apply appraisal values to generic record series - retention schedules • Refine the ADA software tool for updates & presentation

  18. WGARM Appraisal Decision AssistanceADA Phase III Implementation - by UNPO (2006-7?) • 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

  19. WGARM Appraisal Decision AssistanceADA Project Timeline - Phase 2 • Present Plan to CSTF - Jul 2005? • Confirm resources to implement Phase 2; • Draft TOR & Select expert consultant on applying and justifying reasoning for archive appraisal assigned to Generic retention schedules - begin Sep 2005? • Draft TOR & Select consult to update of ADA tool and specify requirements to make Web enabled - begin Sep 2005 • UNPOs Record Series Gap analysis - begin by Aug 2005;

  20. WGARM Appraisal Decision Assistance ADAOther WGARM Projects - Pending • Archive Research Centre [CS-ARC] as Common Depository, Sept 2004-5? • Draft Service Level & Access Agreement Required • Estimate of UNPO Core Records Volume for initial 5 -10 yrs • Harmonization of Archives and Records policies and procedures, Nov 2005 • Other important CS projects which require funding : • Vital Records Protection, • Disaster Recovery Plans, • Plan for Integrated Records, Documents and Archives • Prioritisation of digital scanning initiatives • Field Advice

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