Phases & Impact on other Projects Definition and Scope

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• 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

WGARM Appraisal Decision Assistance ADA

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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

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Appraisal Policy &Procedures

Tech-nology

Appraisal Decisions are basis of developing and applying retention schedules - the practical tool

which determines long and short term access and use of materials

Appraisal Values and Policy should not be dependant on Technologies

Clear appraisal values & decisions ensure appropriate

retention and preservation of all records

[including digital]

Successful implementation of appraisal decisions requires active management of record series throughout lifecycle

Manage-ment

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ADA Project Scope & Components : Appraisal Values Identified and retention schedule assigned for records created or received in NY UNPOs

UNPOPolicy rules

reflect or imply Appraisal

Values

Managers Apply retention schedules to specific, dated, Record Series

in work units or storage Areas

Generic RetentionSchedules

Appraisal Values

&Criteria

Main Functions

or Business Processes

Generic Records

Series

UNPO Record Series

5 UNPOs = UNDP, UNFPA, UNICEF,

UNOPS & UN Secretariat

UNPO Retention Schedules

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•Classical Appraisal

Values:•Primary - Reason created or received•Secondary - Evidence of Action or decision•Tertiary - Ongoing informa- tional use

Appraisal Values

Components

8.

Classical Appraisal Values

9.

Business Model & Systems

1.

Record Type

2.

Importance of Activity

3.

Subjects

4.

Level ofOffice

5.

Practical consider-

ations

6.

Research Consider-

ations [discovery]

7.

Form and Format

[Media of Storage]

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1. Type of Record

TYPE OF RECORD:

POLICY, PRECEDENT (Evidence of policy, procedure +exceptions, legal & precedent settingaction/decision/commitments) "Intrinsically valuable"ROUTINE, (TRANSACTIONAL) = (Operational,commitment of funds, case files), Administrative, Financial,Acknowledgment (actions or requests)BACKGROUND = (Product literature, research notes,news clippings - usually not UNICEF produced)TEMPORARY = (Information circulars, conveniencecopies - widely circulated of short term use)

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2. Importance of Activity

FACILITATIVE(support/promote mainactivities, e.g. housekeepingrecords)

SUBSTANTIVE(Unique to UNICEF mandateand mission, e.g. mainprogramme activ.)

* rev = review for additional time in non-current storage. If retention timebeyond 10 years is agreed for routine or background records consolidation maybe considered. During the review for long term archival value to UNICEF,consideration is given to the information the records may contain concerningpeople, places, things and phenomena of interest to future researchers. This"Information Value" for UNICEF purposes and the international community isweighed along with the cost to UNICEF of maintaining the records before adecision on disposal is made.

** TRT = total retention time in office area, Record Centre [non-current recordstorage area] and in Archival Storage [separate, secure area for long or shortterm vital and archival storage].

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APPRAISAL for - Total Retention Time (TRT)VALUE = TYPE of record + IMPORTANCE of activity documented

IMPORTANCE: (of activity)FACILITATIVE

(support/promote mainactivities, e.g.housekeeping records)

SUBSTANTIVE(Unique to UNICEFmandate and mission, e.g.main programme activ.)

TYPE OF RECORD (Suggested Years TRT)**REDExtraProtection

POLICY, PRECEDENT(Evidence of policy, procedure + exceptions, legal &precedent setting action/decision/commitments)"Intrinsically valuable"

10 + rev* 15 + rev*

ROUTINE, (TRANSACTIONAL)(Operational, commitment of funds, case files) 4-10 4-10 + rev*

Yellow:Caution

Administrative 4-7 4-7 + rev*Financial 4-10 4-10 + rev*Acknowledgment (actions or requests) 2-5 5 + rev*

Green = BACKGROUND(Product literature, research notes, news clippings -usually not UNICEF produced)

1-3 3-8 + rev*

Recycle TEMPORARY(Information circulars, convenience copies - widelycirculated of short term use)

1 1 + rev*

* rev = review for additional time in non-current storage. If retention time beyond 10 years is agreed for routineor background records consolidation may be considered. During the review for long term archival value toUNICEF, consideration is given to the information the records may contain concerning people, places, things andphenomena of interest to future researchers. This "Information Value" for UNICEF purposes and the internationalcommunity is weighed along with the cost to UNICEF of maintaining the records before a decision on disposal ismade.** TRT = total retention time in office area, Record Centre [non-current record storage area] and in ArchivalStorage [separate, secure area for long or short term vital and archival storage].


Apraisal Grid : 1.Type of Record & 2. Importance of Activity

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1.Type of Record; 2. Importance of Activity

IV-AUNICEF SAMPLE APPRAISAL GRID use for preliminary retention/disposal decisions

Date: 10 September 1993Ref: CF/NYH/IRM/RAM/93-176 Sub: AD-570/Stan

Document Series:CF/MN UNICEF Manual Doc Symbol Locator

Doc Sub Series: P/J Policy and Procedure, Book J: Administration CF/ MN/ P.J

Item Year-Number: 1985-001 Doc Item Part Locator

Parts = Chapter : 10 Records and Archive Management / 10. 04/ C

= Section: 04 Records Inventory, Appraisal, Review and Retention Image: Page Paragraph

= Appendix:: C Appraisal for Total Retention Time (TRT) 28 All

CF/MN/P.J/10.04/C APPENDIX C (page 2 of 2)

APPRAISAL for - Total Retention Time (TRT)

Percentage and Time in Areas*IMPORTANCE: (of activity)

TYPE OF RECORDFACILITATIVE

80%SUBSTANTIVE

20%POLICY, PRECEDENT (5 oa + 5 as + rev) (5 oa + 10 as + rev)

"Intrinsically Valuable"( 5%) ( 4%) ( 1%)

ROUTINE, (TRANSACTIONAL)(60%) (48%) (12%)Administrative (3 oa + 1-4 rc) (3 oa + 1-4 as + rev)

Financial (3 oa + 1-7 rc) (3 oa + 1-7 as + rev)

Acknowledgment of Requests (2 oa) (3 oa + 2 rc + rev)

Acknowledgment of Actions (3 oa + 2 rc) (3 oa + 2 rc + rev)

BACKGROUND (1-3 oa) (3 oa + 5 as + rev)

(15%) (12%) ( 3%)TEMPORARY (1 OA) (1 OA + REV)

(20%) (16%) ( 4%)* % = OA = RC = AS =

SEE ALSO:

PERCENTAGE (GUESS & ESTIMATE) OF TOTAL RECORD VOLUME.YEARS IN OFFICE AREA

YEARS IN RECORD CENTRE (NON-CURRENT RECORD STORAGE AREA)YEARS IN ARCHIVAL STORAGE (VITAL AND ARCHIVAL STORAGE - SECURITY AREA, MAY BE SEPARATE

PART OF NON-CURRENT STORAGE AREA)CF/MN/P.J, Sect. 10.01 para. 3 "Definitions and Sect. 10.01 Appendix C, "Useful Phrases"

Estimated Percentage - Total Records Volume

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WGARM Appraisal Decision Assistance ADA Project Overview

Assess Design

Plan

Describe current: • External and UNPO Records Series,

Functions or Business Processes • Appraisal Related Criteria, Rules or Standards

• •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

• 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

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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]

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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

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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

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ADA Project Scope & Components : Appraisal Values Identified and retention schedule assigned for records created or received in NY UNPOs

External Record Series

UNPO Retention Schedules

UNPOPolicy rules

reflect or imply Appraisal

ValuesAppraisal 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

ManagersApply retention

schedules to specific, dated, Record Series in work units

or storage Areas

Generic RetentionSchedules

Appraisal Values

&Criteria

Main Functions

or Business Processes

Generic Records

SeriesUNPO Record Series

External Retention Schediules

5UNPOs

7External

orgs

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UNPOs 10 Main Functions - Sub Functions Link to Record Series Abbre-viation

Generic FunctionGrouping Title

Description or examples of Sub Function orSeries enclosed

Notes &Cross References

ACPAdministration, Conferences, CentralSupport and Procurement

Administrative Management, Conferences and Meeting Arrangements,Equipment & Inventories, Facilities and Property Assets, Procurement,Security Services and Risk Assessment, Travel and Transportation

See IAM for Archives,Records, Library, Mailetc

FBA Finance, Budget and AccountsAccounts Payable or Receivable, Budget, Cash Management, Claims,Contributions & Donations, Financial and Fund Management &Reporting, Payroll

HRM Human Resource ManagementAppointments & Promotions, Attendance &, Leave; Entitlements,Benefits, Claims; Compensation; Health & Safety, Recruitment, StaffRelations, Training.

IAM Information Assets Management

Document, Records, Archives, Publications and InformationManagement, Mail Operations, Register and tracking, Distribution,Library, Collections, and Reference Materials, Storage MediaManagement, Presentations, Content and Knowledge Management

See also ICT forSystems TechnicalCommunications

ICTInformation and CommunicationTechnology

Applications, Hardware, Information and Communications Technology ,Internet, Intranet, Extranet, Networks, Software, System Integration andSecurity, Telecommunications

LEG Legal Agreements, Authorities, Contracts, Intellectual Property, Judgements,Leasing, Legal Issues, Real Estate

OAE Oversight, Audit and Evaluation Audits, Evaluations, Investigations, Inspections, Monitoring, and LessonsLearned

For Policy &Procedure see OCM

OCMOrganisation, Co-ordination andManagement

Co-ordination and Intra-function Meetings, Governing or ExecutiveBoard, , Executive Decisions and Management, Internal Relations,Planning Workgroups and Task Forces, Committees, Policy, Procedures

PPM Programmes, Projects and Missions

Including Geographical [Field, Region, Area, Country] and Themes orSubject; Special Project and Programme Planning and Management,e.g. Disarmament, Electoral Assistance, Emergency, Environment,Peacekeeping, UN System, Regional Commissions

covers manymandated functions oforganizations

ROCRelations, Outreach, Media andCommunications

External Relations, Presentations or Statements, Media , Press andGeneral Public Relations; Related Agencies, Foundations, Funds,Intergovernmental Relations, Non-Governmental Organisations, Partnersand Academic Institutions, UN Common System Reform , MemberStates and Private Sector

See ICT for TechnicalCommunications –

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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;

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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

• Consolidate Retention Schedules • Develop, reconcile, justify & apply appraisal values to

generic record series - retention schedules

• Refine the ADA software tool for updates & presentation

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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

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WGARM Appraisal Decision Assistance ADA 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;

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WGARM Appraisal Decision Assistance ADA Other 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