Writing an Appraisal Report

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Writing an Appraisal Report

• Government Recordkeeping Forum, Dunedin
• 19 June 2008
• Tom Norcliffe, Senior Advisor, Appraisal

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Definitions

• Appraisal
• The process of evaluating records to determine
  which are to be retained as archives, which are
  to be kept for specific periods and which will be
  destroyed.
• Disposal
• Under the PRA, "disposal, in relation to a public
  record or local authority record, means the
  transfer of control of a record or the sale,
  alteration, destruction, or discharge of a
  record." (PRA, s4).

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Disposal defined

• Since we talk about disposal a lot, a fuller
  definition is
• "The final decision concerning the fate of
  records, i.e. destruction or transfer to
  archives. On rare occasions the disposal may be
  by sale or donation. 2. A programme of activities
  to facilitate the orderly transfer of
  intermediate and inactive records from current
  office space into low-cost or archival storage.
  It includes surveys, scheduling, and records
  destruction." (Keeping Archives, p.467).

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Why Appraisal and Disposal?

• Public Records Act, s18 and s20
• Disposal is good business practice
• Ensures the creation of a usable, reflective and
  significant public archive

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Archives New Zealands Appraisal Process

• Anyone can do an appraisal
• However, an appraisal report must include
  specific information
• We produce advice, guides and standards
  supporting and clarifying what this information
  is
• Once submitted, it is reviewed against the
  criteria outlined in our documentation
• The Chief Archivist is provided with a memo
  recommending the intention to dispose is placed
  online for public comment for 30 days
• Providing there is no substantive comment, the
  appraisal report is authorised by the Chief
  Archivist, and Disposal Authority granted

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Ad hoc vs Ongoing Appraisals

• An ad hoc appraisal report focuses solely on
  dead records, series, classes and/or functions
• An ad hoc report is discrete and hermitic it
  lists at item level every record slated for
  disposal no others will be included
• An ongoing appraisal is forward looking it will
  likely cover records not yet created
• For ongoing appraisals, coverage generally is at
  public office level, covering all business units
  and/or functions
• A class or function based schedule outlining the
  types of records and their retention and
  disposition periods accompany ongoing appraisal
  reports

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Ad hoc Appraisal Reports

• Generally ad hoc reports are likely to be used to
  tidy up a bunch of stuff, or will come from
  regional/district offices to cover records not
  captured in an ongoing schedule
• Requests for ad hoc disposal should include
• An appraisal report
• A marked up list showing disposal actions for
  each record covered by the report
• A covering memo with contact details of the
  appraiser and agency representative

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Writing an Ad hoc Appraisal Report

• Currently at final draft stage
• 12 sections
• Executive Summary
• Appraisal Circumstances
• Public Office (agency) Information
• Methodology
• Consultation
• Relevant Precedent
• Disposal Criteria
• Description and Evaluation of Classes
• Access Recommendations
• Discharge Arrangements
• Deferral of Transfer
• Format and Preservation

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Executive Summary

• Summary of the main points of the report
• name of agencies covered
• brief description of the records covered
• overview of the methodology used
• Estimation of the quantity of records covered

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Appraisal Circumstances

• A description of what precipitated this appraisal
  report at this time
• Not a description of the records or their value,
  but an explanation of the reasons for this
  appraisal report

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Public Office (agency) Information

• Should check Archway first there may already be
  existing agency documentation available
• If not, then we require some basic agency history
  including
• name(s) of public office
• dates of operation
• its relationship with other public offices
• pertinent aspects of its administrative history,
  particularly those aspects impacting on its
  recordkeeping environment, such as administrative
  or functional change

12
Methodology

• An explanation of how the actual appraisal was
  done
• Eg, file by file examination or selective file
  examination
• This section is something that we (as reviewers)
  look at carefully, since it gives us a window
  into how the appraisal was conducted and
  underscores some of the unwritten assumptions
  about records value that may have been made
• Accordingly, its a good idea to describe your
  methodology in some detail

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Consultation

• Public offices are required to consult with
  parties who may have an interest in the records
• both internal and external stakeholders
• Something the Chief Archivist looks for
• Key element in the draft Archives New Zealand
  Appraisal Policy

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Relevant Precedent

• There may be existing, but expired, disposal
  authorities covering the same, or similar classes
  of records
• However, citing precedent without references (eg,
  DA number or Archives New Zealand file reference)
  is insufficient!
• Precedent for precedents sake is similarly
  insufficient we still would like an explanation
  of the value of the records precedent is extra
  rather than a reason to retain or destroy in and
  of its self

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Disposal Criteria

• Essentially the heart of an appraisal report
• Decisions and justifications on retention or
  destruction of records
• Refer to Appraisal Standard, but must consider
  values such as
• Accountability
• Evidence
• Legal
• Informational

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Description and Evaluation of Records

• The other heart of an appraisal report
• Links disposal decisions to descriptions of
  records classes or series
• Should describe at a meaningful level, and
  include
• title
• dates
• relevant legislation
• system of arrangement or classification
• format
• description of the purpose or function of the
  series
• precedent
• access
• value describing how these records match to the
  disposal criteria
• examples of those records recommended for both
  retention as public archives and destruction
• quantities

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Access Recommendations

• Some records may not be appropriate for
  unfettered public access
• may contain sensitive personal information (eg,
  health records)
• may contain commercially sensitive information
  (eg, due diligence reports)
• May contain legally privileged information (legal
  opinion)
• These records should be flagged in the appraisal
  report, but actual access agreement will be
  signed at point of transfer
• Section will be removed prior to public
  publication of the report

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Discharge Arrangements

• Some public offices may hold records which are
  most appropriately removed from the public
  domain
• discharge under the PRA enables records to be
  given to a third party
• basically a destroy recommendation, since these
  types of records would ordinarily be destroyed
  rather than discharged
• quite rare, but should be flagged in the
  appraisal report along with the various
  conditions under which records would be
  discharged
• See s25 of PRA

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Deferral of Transfer

• PRA requires all records in existence for 25
  years to be disposed either transfer or
  destroyed
• Deferral allows public offices to retain records
  longer than this if there is a business need
• This too should be flagged in an appraisal report
• Records or classes that are deferred are noted in
  a deferral register

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Format and Preservation

• Records arent just paper!
• Magnetic media (eg, casettes, video tapes)
• Photographs
• Maps and plans
• Some records require preservation treatments
• May have been stored in less than ideal
  conditions, and have mould, red rot etc
• May simply be old, or well loved

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Easy as that any questions?