THE NATIONAL ARCHIVES
APPRAISAL REPORT:
DEPARTMENT NAME TYPES OF RECORDS
COVERING DATES
CONTENTS Executive summary Section 1: Background Information Section 2: Material from the agency transferred to TNA in the past Section 3: Analysis of the records produced by ….name of agency Section 4: Proposals for TNA selection Section 5: Additional information and follow-up Appendix: Results of folder ‘review’
30.11.2006 version
1
Document History Draft No 1 Date Appraisal Stage Enters key information. Preliminary ideas expressed for the sort of material TNA wishes to select. Executive summary completed in draft. Draft sent to DRO Specific decisions for groups of records have been made and any ‘review’ has been recorded. It follows consideration of the file plan / shared drive. This must be done through consultation between client manager and DRO but may involve a wider client manager discussion. Final draft. This follows the conversion of broad decisions in the Appraisal Report into the selection of specified file paths entered onto the Transfer schedule.
2
3
Approvals Name Role Client manager DRO Appraisal Policy Manager Head of ICMU Date
Distribution
ICMU
30.11.2006 version
2
EXECUTIVE SUMMARY
30.11.2006 version
3
SECTION 1: BACKGROUND INFORMATION
1.1
Name of Agency / NDPB/ Department / Division
1.2
Type of agency
Executive Agency
NonDepartmental Public Body
Trading Fund
Next Steps Agency
NonMinisterial bodies
Libraries, Museums, Galleries
Research Councils
1.4
Annual budget (if an Agency)
1.5
Number of employees (if an Agency)
1.6
Background, functions and activities
30.11.2006 version
4
1.7
Hybrid Records
1.8
Name of the parent or sponsoring department (if an Agency). If none, Minister who lays an annual report before Parliament
1.9
Relationship with parent department (if an Agency)
1.10
Relationship with other organisations (agencies / NDPBs / departments / other statutory bodies)
30.11.2006 version
5
SECTION 2: MATERIAL TRANSFERRED TO TNA IN THE PAST
30.11.2006 version
6
SECTION 3: ANALYSIS OF RECORDS PRODUCED 3.1 Committee structure within the agency or parent department, including statutory committees directing the work of the organisation
Table 3. 1: Key committees Name of committee Terms of reference Select? Yes / No Reasons for selection / non-selection, including comments on the quality of information
3.2
Areas of policy work undertaken in the Agency
Describe the nature of the policy work using the categorisation of policy work outlined in How to compile an Appraisal Report
30.11.2006 version
7
3.3
Operational work undertaken by the agency
Table 3.3: Operational work of the agency and records created
1. Operational activity
2. Detail of activity
3. Information recorded in case work files
4. Is the information captured through or replicated in a database? Yes or No and enter details under 3.4
5. Is the information captured through or replicated in publications including the Annual Report? Give details
6. Selection? Yes/No
7. Reasons for selection / nonselection
Licensing
Monitoring
Inspecting
Setting industry standards
Providing training / skills
30.11.2006 version
8
1. Operational activity
2. Detail of activity
3. Information recorded in case work files
4. Is the information captured through or replicated in a database? Yes or No and enter details under 3.4
5. Is the information captured through or replicated in publications including the Annual Report? Give details
6. Selection? Yes/No
7. Reasons for selection / nonselection
Handling complaints
Testing/approving/accrediting industry products/organisations. Ensure this is different from providing legal licences
Providing a service to another department/organisation, e.g. local authorities, industry, car service, defence agencies
Making payments in response to applications
Providing, guidance, information and support
30.11.2006 version
9
1. Operational activity
2. Detail of activity
3. Information recorded in case work files
4. Is the information captured through or replicated in a database? Yes or No and enter details under 3.4
5. Is the information captured through or replicated in publications including the Annual Report? Give details
6. Selection? Yes/No
7. Reasons for selection / nonselection
Supervising other organisations Managing property (other than its own administrative sites)
Handling claims
Answering requests for information as a statutory function
Preventative or remedial work
Providing an emergency service
Retailing
30.11.2006 version
10
1. Operational activity
2. Detail of activity
3. Information recorded in case work files
4. Is the information captured through or replicated in a database? Yes or No and enter details under 3.4
5. Is the information captured through or replicated in publications including the Annual Report? Give details
6. Selection? Yes/No
7. Reasons for selection / nonselection
Acquiring records as a statutory function Commissioning research Undertaking research (this should be ‘scientific’ or ‘path-breaking’ to qualify for historical significance)
Development of process innovation (as a core function)
30.11.2006 version
11
3.4
Electronic formats
Datasets Table 3.4 Datasets Name of database Information contained of historical value Selection Yes/ No Reasons for selection / nonselection
Image Library Geographic Information Systems (GIS) Website(s) Email systems
3.5
Publications produced by the organisation
Table 3.5: Types of publications and preservation strategies 1. Types of publications 2. Important to preserve? Yes / No 3. Reasons for answer in column 2 4. Preservation at TNA or British Library?
Standards
Inspections
Guidance/ codes of practice
Training manuals, curricula Annual reports
Research reports Main output is public information e.g. museums, archives Trade journals
30.11.2006 version
12
Newsletters
3.6
Scientific records
3.7
Significant policy issues for the period of appraisal
3.8
Internal administration records
30.11.2006 version
13
SECTION 4. PROPOSALS FOR THE SELECTION OF RECORDS
30.11.2006 version
14
SECTION 5. ADDITIONAL INFORMATION AND FOLLOW-UP 5.1 Additional Checks
OSPs Quality of committee minutes and papers Nature of documents included in any case files selected and the sort of information provided. Location and provenance of records identified Relationship with paper records especially in any hybrid situation
5.2
Implications of this report for the selection of records held in related departments / agencies
5.3
Implications of the report for the review and selection of paper records relating to the functions covered here
5.4
Follow-up
30.11.2006 version
15
Appendix: Folder review of … group: Group name Area of work Areas selected Reason
30.11.2006 version
16