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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
Appraisal Workshops

British Virgin Islands

August 2008

iso 15489
ISO 15489
  • What is it?
  • Benefits
  • Aims
  • Structure
slide3
Origin: Australian Records Management standard
  • Covers full life-cycle of a record
    • What to create
    • Capture – formats, technologies
    • Documentation
    • Appraisal
    • Retention or destruction
the information lifecycle

Creation or

revision

Genesis or conception

USE

Dormant

Redundant

The information lifecycle

Return flows

slide5
Aim
  • Provide a best practice framework to follow
  • Records are:
        • Properly managed
        • Easily accessible
        • Correctly documented
        • Transparent disposal
benefits
Benefits
  • More effective processes
  • Efficiency savings
  • Reduced costs
  • Confidence
structure
Structure
  • Part 1 – General.
        • High level framework, providing
          • Benefits
          • Regulatory considerations
          • Responsibilities
      • Part 2 – Guidelines
        • Practical guidance on implementation
iso 15489 supporting documentation
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
bvi developments
BVI Developments
  • Legislation
  • National Archives and Records Centre buildings
  • File Classification scheme
  • Appraisal
  • Electronic Records Management
eight steps
Eight Steps
  • The Records Management Function
  • Records Manager
  • Policy Statement
  • Training and Awareness
  • Record Creation and Keeping
  • Record Maintenance
  • Record Disposal
  • Performance Management
1 the records management function
1: The Records Management Function
  • specific corporate programme
  • organisational support
  • records in all formats
  • clearly defined responsibilities
  • connection with other information management issues
2 roles and responsibilities
2: Roles and Responsibilities
  • records manager
  • appropriate skills and knowledge
  • appropriate resources
  • analysis of training needs
3 rm policy
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)
4 training and awareness
4: Training and Awareness
  • records management awareness
  • professional development programme
5 record creation and record keeping
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
file plan
File Plan

Operational

Function

Activity

Task

6 record maintenance
6: Record Maintenance
  • tracking system
  • adequate storage
  • suitable equipment
  • handling procedures
  • business recovery plan
preservation issues packing
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
threats and risks
Threats and Risks
  • Physical handling
  • Sub-standard and unstable materials
  • Storage conditions
  • Water
  • Fire
  • Heat
  • Light
  • Insects and mould
  • Pollution
storage conditions
Storage conditions
  • Damp rooms
  • On the floor
  • Over the boiler house
  • Above the munitions store
  • On window ledges
  • Next to radiators
  • Near electrical equipment
temperature and relative humidity
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%

7 record disposal
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
slide26
8:
  • Performance measurement
types of value
Types of Value
  • Primary

- to the creating organisation

  • Secondary

- to others

  • Not mutually exclusive - combination value

T R Schellenberg

primary value
Primary Value
  • Operational

manuals, handbooks, plans

  • Financial

control, assets/liabilities, obligations

  • Legal

rights/obligations, ownership, commitments

secondary value
Secondary Value
  • Evidential
  • Informational
evidential
Evidential
  • establishment of the institution
  • organisation
  • operations and activities
  • formulation of policy
  • execution of policy
  • effects of policies and activities
informational
Informational
  • persons
  • bodies
  • places
  • objects
  • happenings

any subject - other than the creating body itself

appraisal policies and procedures
Appraisal Policies and Procedures
  • Acquisition Policy
  • Operational Selection Policies
acquisition policy statement
Acquisition Policy Statement
  • Principal policies and actions of the government
  • Government’s interaction with its citizens
interaction of the state with citizens
economic

social

demographic

individuals

communities

organisations

Interaction of the state with citizens
operational selection policies
Operational Selection Policies

Apply the collection themes described in the Acquisition Policy statement to the records of individual departments and agencies

dual review procedure
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

role of disposal schedules
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
appraisal practical
Appraisal: practical

Stage One - establish what you are dealing with

  • Owners
  • Creators
  • Core/facilitative
  • Duplication
  • Nature, content, tone, substance
appraisal practical1
Appraisal: practical

Stage Two - appraise the records

  • Recommendation
  • Documentation
why can we not use traditional methods
Why can we not use traditional methods?
  • Time
      • Changing system
      • Maintenance costs
      • Inadvertent destruction
  • Context
      • Separation from content
  • Application
      • Many more records and information
slide49

Information &

Communications

Technology

Projects

SF Management

& Security

Seamless Flow

Programme

Projects

Strategic

Management

Selection & Disposal

Selection

Projects

SF Appraisal

& Selection

SF Transfer

slide52
When?
  • Need to take a view on when to review – are the 5 and 25 year points still appropriate?
  • Can an intermediate period be adopted?
  • Can first and second review be merged?
questions
Questions
  • Is the function that created them core to the dept?
  • Are they homogeneous?
  • Are they interpreting law / setting precedents?
  • Are they summarised in policy files or publications?
  • Are precedents set of business / economic / scientific / historical value?
  • Can aggregated data be collected from them?
  • Are aggregated data published elsewhere?
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