1 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

2 ADA Project Phase I, Start up & Initial Inventory /2003 Phase II, Follow up, Consolidations & Design – 2005? Phase III, Implementation in UNPOs – ? 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

3 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

4 ADA Project Scope & Components : Appraisal Values Identified and retention schedule assigned for records created or received in NY UNPOs UNPO Policy rules reflect or imply Appraisal Values Managers Apply retention schedules to specific, dated, Record Series in work units or storage Areas Generic Retention Schedules 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

5 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 of Office 5. Practical consider- ations 6. Research Consider- ations [discovery] 7. Form and Format [Media of Storage]

6 WGARM Appraisal Decision Assistance ADA 1. Type of Record

7 WGARM Appraisal Decision Assistance ADA 2. Importance of Activity

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

9 WGARM Appraisal Decision Assistance ADA 1.Type of Record; 2. Importance of Activity Estimated Percentage - Total Records Volume

10 WGARM Appraisal Decision Assistance ADA Project Overview AssessDesign 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

11 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 closed/completed 1997]

12 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

13 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

14 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 UNPO Policy rules reflect or imply Appraisal Values Appraisal 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 Managers Apply retention schedules to specific, dated, Record Series in work units or storage Areas Generic Retention Schedules Appraisal Values & Criteria Main Functions or Business Processes Generic Records Series UNPO Record Series External Retention Schediules 5 UNPOs 7 External orgs

15 WGARM Appraisal Decision Assistance ADA UNPOs 10 Main Functions - Sub Functions Link to Record Series

16 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;

17 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

18 WGARM Appraisal Decision Assistance ADA Phase III Implementation - by UNPO ( ?) 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

19 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;

20 WGARM Appraisal Decision Assistance ADA Other WGARM Projects - Pending Archive Research Centre [CS-ARC] as Common Depository, Sept ? –Draft Service Level & Access Agreement Required –Estimate of UNPO Core Records Volume for initial 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