MANAGING PUBLIC SECTOR RECORDS
A STUDY PROGRAMME
General Editor, Michael Roper; Managing Editor, Laura Millar BUILDING RECORDS
INTERNATIONAL RECORDS INTERNATIONAL
MANAGEMENT TRUST COUNCIL ON ARCHIVES
MANAGING PUBLIC SECTOR RECORDS: A STUDY PROGRAMME
Building Records Appraisal Systems
© International Records Management Trust, 1999.
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Lesson 1: Appraisal, Retention and Disposal of Records 5
Lesson 2: The Appraisal Process 20
Lesson 3: Appraising Records for Continuing Utility
or Enduring Value 32
Lesson 4: The Appraisal of Backlogs 55
Lesson 5: Choosing Disposal Action 69
Lesson 6: Disposal Schedules 84
Lesson 7: What to Do Next? 111
1. Disposal Recommendation Form 39
2. Records Inventory Work Sheet 65
3. Archives as a Proportion of an Agency’s Records 71
4. Disposal Schedule 86
5. General Disposal Schedule for Stores, Plant and
Cost Accounting Records 90
6. Agency Disposal Schedule for Ministry of Agriculture Records, 94 7. Combined Agency and General Disposal Schedule 97
BUILDING RECORDS APPRAISAL SYSTEMS
INTRODUCTION TO BUILDING RECORDS
Building Records Appraisal Systems addresses the professional issues involved in determining the continuing usefulness of records, defining the requirements for their retention and disposal and designing and applying disposal schedules. This module should be studied after Organising and Controlling Current Records. It assumes that the student has some familiarity with the principles and practices of records management described in Organising and Controlling Current Records and in The Management of Public Sector Records: Principles and Context. The module consists of seven lessons:
Lesson 1: Appraisal, Retention and Disposal of Records
Lesson 2: The Appraisal Process
Lesson 3: Appraising Records for Continuing Utility or Enduring Value Lesson 4: The Appraisal of Backlogs
Lesson 5: Choosing Disposal Action
Lesson 6: Disposal Schedules
Lesson 7: What to Do Next?
The module deals with the appraisal, retention and disposal of records as an ongoing part of a continuum of care within a life-cycle records management system. It also describes the process of bringing under control the unappraised products of former record-keeping systems. Where appropriate, general statements of theory and principle are distinguished from descriptions of specific practice. Where there is a variety of practices, the options are described but usually one is presented as ‘best practice’.
Although this module is directed primarily at those involved in records and archives management in the public sector, the principles and practices it advocates are also relevant in the private sector.
Similarly, although the module is largely concerned in its practical application with paper-based records, the methods described may be adopted or adapted for records in other media and formats, including electronic records.
BUILDING RECORDS APPRAISAL SYSTEMS
AIMS AND OUTCOMES
This module has two primary aims:
1. to explain the concepts and practices of appraisal, retention and disposal 2. to establish best-practice procedures for the management of appraisal, retention and disposal.
When you have completed this module, you will be able to
1. identify and define the basic terms used in appraisal, retention and disposal 2. outline the principle requirements of an effective appraisal, retention and disposal system
3. understand the relevance of series...