Assessment training for Archive Service Accreditation (2)

Archive Service AccreditationAssessment & validation training

Janice Tullock AssociatesFor the Archives Accreditation workstream

Welcome and thanks!

Introductions – Archives Accreditation team

• Archives Accreditation Workstream – The National Archives, National Records of Scotland, Arts Council England, Archives and Records Association, Cymal, PRONI, Scottish Council on Archives & Archives and Records Council Wales.

• Janice Tullock Associates – Janice Tullock• National Trust – Katrina Thomson• The National Archives – Melinda Haunton &

Jane Shillaker

Introductions – participants and hats• Assessors:– The National Archives– Scottish Council on Archives & National Records of

Scotland– Cymal– Proni (not present)

• Peer reviewers for England and Scotland

Introductions – pilots include

• Unilever Archives• Glamorgan Archives, • The National Archives, • Bowes Museum, • National Library of Wales• Exeter Cathedral Archives• PRONI• Cumbria Archives Service• University of Reading Special

Collections/Museum of Rural Life,

• Southwark Local History Library

• The Presbyterian Historical Society of Ireland

• Network Rail Corporate Archive

• Swansea University• Media Archive of Central

England• Worcestershire Archives• Tyne and Wear Archives and

Museums

Aims of the day

• To introduce Archive Service Accreditation, its aims, purpose and development to date.

• To provide assessors and peer reviewers with the information necessary to confidently assess pilot service applications for Archive Service Accreditation.

• To provide an opportunity to ask the Archive Service Accreditation team any initial questions and to discuss the assessment and validation processes with peers

• To pilot and assess the type of training future Archive Service Accreditation assessors and peer reviewers may require.

What will this pilot do?

• Test the standard and guidance, showing what works and what doesn’t and identifying gaps

• Test the mechanics of the application form• Test our plans to assess the applications• Evaluate the training we provide today

Accreditation – the pilot process

Pilot services bring

together an application

Pilot application submission

Assessment (desk based)

Validation (desk based)

Small % Validation visits (with

peer reviewers in England and

Scotland)

Production of accreditation

report

Timetable for pilots

• Submissions by end of 2012• Evaluation returns mid January 2013 • Assessment start of Jan 2013• Validations by end of Jan 2013. • New draft to workstream by start of March

2013 and amended by end of March 2013• Scheme in operatation financial year 2013/14

Background to Archive Service Accreditation

• Archives in the 21st Century recommendation• Scoping study examined c28 existing models• Led to the production of a model for Archives

Accreditation• Co-creation of the Archive Accreditation

Standard and scheme through workshops and online dialogue

• Led to the production of a draft Archive Service Accreditation Standard and Scheme

Exercise

I want Archive Service Accreditation to be:

Aims of Archive Service Accreditation

• Aligned with other relevant quality assurance schemes, improvement tools and data gathering processes.

• Affordable, authoritative and highly visible • Purpose built for the archives sector• Able to be standalone and withstand political changes• An integral part of the work of The National Archives and partners, seamlessly blending

into work such as the appointment of Places of Deposit for Public Records and allocation of archive collections Accepted in Lieu of Inheritance Tax

• Accessible to cross-domain organisations and should not be dependent on achieving either the standard in museums or archives.

• Accessible and relevant to a wide range of archive services and types of service across the UK

• Focused on current and future community needs and acknowledge local, regional and national priorities.

• A full acknowledgement the preservation and conservation needs of the collections• Produced by a process of co-creation with the sector

Key points

• Archive Service Accreditation is a process not just a badge

• The standard has a golden thread of the mission of the archive service

• The standard is driven by a clear definition of community which is defined by each archive service

Definition of Community

The standard is based upon the concept of a community which the archive service is

constituted to serve

– Not just population of a physical unit– Not just a single community– Not just an external or an internal community– Embraces both stakeholders and users– Is defined through the stated purpose of the archive

The scheme documentation

Eligibility document

Scalability table Standard

Guidance Glossary Application form

Action planEvaluation

and feedback form

Assessment form/reports

The standard – overall structure

• 3 Sections:– Organisational Health– Collections– Stakeholders and their experiences

• Headline Requirement• Outcome• Sub-requirement (in some cases)

The standard – structure of requirements

• Policies• describe the overall intentions and directions of an

organisation as formally expressed by top management

• Plans• are forward looking documents that set out the objectives

of the organisation and identify actions needed to achieve these objectives, in line with the organisation’s policies and in order to deliver its mission

• Procedures• describe a specified way to carry out an activity or process

in order to deliver a particular output or outcome

The guidance document

• General guidance• Scaled guidance• Information and supporting documentation

needed• Where evidence may be found• Questions to consider when formulating

responses• Tools and resources

Evidence of meeting the requirements: The application form

• Consists of applicant details and questions relating to each section

• We aim to only ask for information that is essential to assessing the application

• Anonymised data will be analysed by assessing bodies and may be published

• Applicant details – information required based on the requirements of CIPFA stats for Archive Services

Exercise - Assessment

The assessment phase of archive accreditation is about making a judgement - Discuss

Assessment principles• Process should assess how far the service has

shown that it has met the requirements of archive service accreditation

• Assessment should celebrate and validate good and exemplary work

• Assessment is also about providing constructive support and development advice

Assessment principles 2

• We can’t tell services what to do, but we can advise how they can reach the standard – unless the issue is legislative, when there is a right or wrong

• Process should lead to an action plan for the future and ongoing support by assessing body

• Language – remember we aren’t always talking to the archivist on the ground, but to senior managers – advocacy & leverage

Accreditation – the pilot assessment process

Accreditation Assessment & report

Validation

Assessment

Application

Assessment process

Initial check all data is provided

Assessment : Completion of draft

assessment formValidation review

Completion of final assessment form for

panel/applicant

% Validation visit with peer reviewers

Completion of final assessment form for

panel/applicant

Assessment form

• Dual purpose:– Allow the panel to decide on accreditation (not pilot)– Provide feedback to candidate and act as an advocacy

document for them

• Consists of:– Cover sheet including assessors overview– Key messages – executive summary– The assessment – of how far the requirements of each

section have been met– Conclusions – Key findings and areas for future development

Validation visit

• Aim: – to test the conclusions of the assessment – to test specific requirements– to allow an assessment based upon observation

rather than a written application• Team of at least 2 – 2nd assessor & peer

reviewer (in most cases)• Constructive and supportive

Validation visit 2

• Preparation – read draft assessment• Visit to assess how far the service meets the

requirements of the standard:– Observation of practice– Spot audit – Examine paperwork

• There will be a core of questions as standard and then additional site/service type specific

• Completion of validation visit report

Evaluation of the pilot

• Please keep a log of suggested improvements and changes as you go along

• We will send an evaluation & feedback log

Evaluation and feedback logDocument Requireme

nt of the standard (section, requirement)

Query Note Improvement

Suggested guidance needed

Suggested questions to ask

Suggested Evidence

Guidance 2.3.3 Please provide guidance on how often to test disaster plan. We suggest annually.

Organisational Health

1.1 Mission Statement

1.2 Governance & management

structures

1.3 Forward planning

1.4 Resources: building

1.5 Resources: finance

1.6 Resources: workforce

1.1 Mission statement

• Why are you here?

1.2 Governance and management structures

• Allows us to test governance and management arrangements

• Would particularly like more suggestions on guidance required and evidence here

1.3 Forward planning

• Note that we don’t specify in detail what the forward plan should look like – we want it to be effective for the service

• Note also the required link back to the mission of the organisation as a whole

• Should show us how they are achieving our desired outcome

1.4 Resources: Buildings

• Terms of occupancy• Arrangements to keep collections secure• Arrangements for forward planning re

buildings

1.5 Resources: Finance

• Demonstrate a sound financial basis• Archive Service managers have appropriate

input to relevant budget setting• We would like more suggestions as to what is

appropriate for each scale of service

1.6 Resources: Workforce

• Resources to be appropriate in experience and numbers to carry out the service’s responsibilities and plans.

• Requires a workforce chart to be submitted• Scaled guidance is important in ensuring

professional staff are employed where required.• Some documentation is not submitted but is

available on request and tested at visit• Also looks at development provisions

Exercise

• In pairs you will each be given a requirement• Discuss what key points you would expect a

successful applicant to evidence for your requirement – 10 Minutes

• As a group list your key points for the whole Section – 15 minutes

Collections2.1 Collections management

policies

2.1.1 Policies on collections

development

2.1.2 Policies on collections

information

2.1.3 Policies on collections care and

conservation

2.2 Collections management

plans

2.2.1 Collections development plan

2.2.2 Collections information plan

2.2.3 Collections care and

conservation plan

2.3 Collections Management procedures

2.3.1 Procedures for core collections

information processes

2.3.2 Procedures for routine preventive

conservation

2.3.3 Procedures and plans for disaster and

recovery

2.1 Collections management policies

• Split into :– Collections development– Collections information– Collections care and conservation

• If the policy has a different name but fulfils the same function that is ok

2.2 Collections management plans & planning

• This requirement looks at the plans that are in place to continuously improve:– Collections development– Collections information – Collections care and conservation

2.3 Collections management procedures

• The key is clear and documented procedures that are understood and applied by the workforce

• Remember its scaled to their community and mission

• Specific requirement around disaster recovery plan and procedure – based upon a risk assessment and scaled

Exercise

• In pairs you will each be given a requirement• Discuss what key points you would expect a

successful applicant to evidence for your requirement – 10 Minutes

• As a group list your key points for the whole Section – 15 minutes

Stakeholders and their experiences

3.1 Collections Access Policies

3.1 Collections Access Policies

• We need help from the private and third sector – have we got this section right?

• Take note of the definitions of Stakeholders and Community

• Levels of collections access should be appropriate to the organisation’s mission statement and the nature and scale of its collection

• Access is not just for the public

Collections Access Plans and planning

• Organised into:– Understanding your community– Analysing stakeholder needs and interests– Documented plans to improve access

Collections Access Information & Procedures

• Organised into:– Practical information on how to access collections

and services– Procedures for user access processes and

standards– Access information and procedures are regularly

reviewed and updated

Exercise

• In pairs you will each be given a requirement• Discuss what key points you would expect a

successful applicant to evidence for your requirement – 10 Minutes

• As a group list your key points for the whole Section – 15 minutes

Any questions ?

Thanks and good luck!