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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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WGARM Appraisal Decision Assistance ADA
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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WGARM Appraisal Decision Assistance ADA
•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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WGARM Appraisal Decision Assistance ADA
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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WGARM Appraisal Decision Assistance ADA
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].
WGARM Appraisal Decision Assistance ADA
Apraisal Grid : 1.Type of Record & 2. Importance of Activity
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WGARM Appraisal Decision Assistance ADA
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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WGARM Appraisal Decision Assistance ADA
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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WGARM Appraisal Decision Assistance ADA
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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WGARM Appraisal Decision Assistance ADA
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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WGARM Appraisal Decision Assistance ADA
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