405 RECORDS APPRAISAL

What is Appraisal?

1. Appraisal is the process of evaluating the uses and values of groups of records in an organisation to determine for how long and where they should be retained.

2. In the case of Commonwealth Agencies such as the ANU, appraisal is done to allow draft Records Disposal Authorities ('RDAs') to be submitted for approval by the National Archives of Australia, which in turn enables the Agency to dispose of its inactive records in a legal and accountable manner. This may involve the destruction of the records or their transfer to secondary storage or to permanent storage in an Archives repository (see sections 401 and 402).

When is an Appraisal Necessary?

3. Appraisal processes are normally only carried out once every ten years or when there have been changes which alter the functions of a Commonwealth Agency. In general terms, an appraisal is required when:

a. an Agency has no disposal authority for its inactive records;

b. an Agency has quantities of inactive records which are not covered by existing RDAs;

c. the current RDAs are no longer appropriate to the Agency's records and need amendment.

4. The process must be conducted in conjunction with the National Archives which is required to approve the issue of the new or revised RDAs. The Archives organises its appraisal work on a financial year basis and an Agency must identify groups of records to be appraised in good time to enable this project to be included in the Archives' forward Work Plan.

Steps in the Appraisal Process

5. The process requires that Records and Archives staff consult with relevant University units to gather information about the organisation and its functions, to examine representative samples of groups of records, and to assess their value for the administration of University business and for a variety of official and public research.

6. Appraisal should only be undertaken with the approval of senior management and after informing relevant staff how and when the process is to take place. The National Archives should also be consulted about the precise timing, the proposed volume and nature of the record groups to be appraised.

7. Records and Archives staff should consult with representative units to ascertain:

a. what functions are performed; and

b. what activities are undertaken; and

c. what information is recorded.

8. From this examination, they must complete a business analysis of the organisation; its legal and regulatory environment and document the results of their research and interviews.

9. As functional units are the principal users of the records, it is essential for Records and Archives staff to discuss the records with them to determine their value and how long they should be retained. From this discussion it should be possible to draft disposal action for the various classes of University records.

10. After having investigated the value of the records, the Records Management staff must determine whether they have a short-term or long-term value. The following types of records, for example, could be considered to have long-term value:

a. those which document policy or procedures of the University;

b. those showing evidence of legal rights or obligations; and

c. those which have historical or research value.

11. The disposal classes to which the records are assigned should indicate how long they are to be retained, eg. records of a significant or controversial nature would be kept permanently whilst those of a minor or routine nature would be retained temporarily.

12. Once the business and disposal action has been agreed upon within the University, all documentation must be submitted to the National Archives for approval. The latter will ensure that the correct appraisal methodology has been followed.

Drafting of Records Disposal Authority

13. A draft RDA will be completed by the Records and Archives staff (to be cleared by representative units) and forwarded to the National Archives for consideration to ensure that it meets their guidelines. Once the Archives and the University are agreed on the contents of the RDA, it will be formally issued by the Archives and becomes the legal instrument for the disposal of those records.

14. ANU Records and Archives staff are currently undertaking an appraisal of all functional records of the University and draft a new RDA for approval by the National Archives. Further information on the progress of this project can be obtained from the Manager, University Records or the University Archivist (see Help page).

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