The
approach The substance of these papers has been produced
with a view that they are a "work in progress". All comments and suggestions on how to
improve these background documents for use by those addressing related problems
would be welcomed. Why
appraisal is important? Appraisal of records has been of concern to
records managers, archivists, historians, office managers and others for a
variety of reasons. Most recognize that
even in the smallest collections it is useful to group the move valuable
records for special protection. It has
also been found useful to identify the most often reused non-current records in
ways that allow for quick retrieval and links to other related
information. As the amount of records
have increased the need for effective strategies for appraisal has become more
apparent to those with responsibility for this function. The recent news stories concerning court cases
related to electronic records [I-A] have increased the interest of upper level
managers as well as decision makers in government or business and the general
public. These articles dramatize the
point that not all records can be destroyed; it is equally valid that not all
records, whether paper or electronic, should be saved. Even if storage costs are not an issue,
excess amounts of information becomes a burden on any system and retention
decisions should not be made by default on the basis of space and age alone. Since many institutions question whether there is
historical value in their records, some charts compiling examples of research
use of the UN records [I-B, I-C] were developed to give a quick idea of some of
the uses made of non-current records. What
has been done on the Subject of Appraisal in the past. We have attempted to identify sources of previous
discussions on this issue in the time available. As such the "Reference Work" [II-A] annex and the "Appraisal
Criteria" [III]
annex are
compilations of issues and items that have come to our attention as we began to
review Appraisal Criteria especially as they relate to electronic records.
Again additions are welcomed. What
is needed for appraisal. In thinking about the subject we have attempted
to identify in simple terms the main steps [II] of "What to Do": Establish Criteria, Implement
Review, Prepare Report, Implement
Recommendations. We further thought it useful to consider
"How to do Appraisals well": Understand criteria, apply procedures and start with
information that is known. This seems sensible
irrespective of the organization, the person responsible or the volume of
records to be appraised. The
Draft Appraisal Criteria: A list of items to be
considered. After listing all of the different items/values
suggested by the literature on Appraisal [III] we placed the items into nine
main groups: Record
Type, Importance of Activity, Main Subjects, Level of Office, Practical issues,
Research considerations, Form and Format, Business Model, and Classical
Appraisal Values. The cover sheet and Legend for this Annex
were developed to assist the discussion and provide a way to consider which
items might have greater priority when looking at specific records and which
items might have more weight when decisions may be required. Matrix The Matrix of Appraisal values [III-A] was
developed for possible use when considering the impact of one group of
appraisal item values on a second group.
This exercise is necessary for establishing general appraisal rules,
procedures or retention periods for specific records. Work
Sheet and Report A draft Appraisal Work Sheet [IV], Report [V] and
Sample Appraisal Grid [IV-A] are provided for those who require some forms to
consider for their specific records. The
appraisal Tool. Some initial thoughts were noted concerning the
development of function requirements for an appraisal tool [VI] that would give
some automated assistance to the: a) records creator/user for preliminary
appraisal at an early stage in the life cycle though default programs and b) decision
assistance support to the Information system administrator, Archivist and/or
Records Managers throughout life cycle of the records. This list would need to be refined after further
consideration of the Appraisal Criteria [III] and the Matrixes [III-A]. Comments
and Follow up:
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