Appraisal and Retention of Records

Learning Contents Summary

The learning content explores the concept of appraisal in records management, which involves distinguishing records of continuing value from those of no further value. Appraisal is essential to ensure efficient management of records, identify records of long-term value for preservation, and dispose of records appropriately. The purpose of appraisal is to determine the appropriate retention period for records, considering business, accountability, and cultural uses. The process of appraisal can be based on the value and function of records, with macro appraisal focusing on the context in which records were created. The resource also introduces the concept of a retention schedule, which provides guidelines for the retention and disposal of records based on administrative, legal, fiscal, or research needs. The categories of records, including administrative, legal, fiscal, historical, research, and electronic records, are discussed to understand their importance in the appraisal process.

Goals

1. Understand the significance of appraisal in records management and its role in distinguishing records of continuing value from those of no further value.
2. Identify the purpose of appraisal, which includes determining the appropriate retention period for records based on business, accountability, and cultural uses.
3. Explore the different approaches to appraisal, such as value-based appraisal (primary and secondary value) and function-based appraisal (macro appraisal).
4. Learn how to determine the retention period for records by considering business use, accountability use, and cultural use.
5. Gain knowledge about the categories of records, including administrative, legal, fiscal, historical, research, and electronic records, and their importance in the appraisal process.

Definition of Appraisal

An appraisal is the process of distinguishing records of continuing value (for business purposes and for historical research purposes) from those of no further value. This allows for the latter to be disposed of appropriately. Records can possess different types or degrees of value to an organization, which will affect how long collections need to be kept. The appraisal also ensures that records of long-term or archival value are identified so that provisions can be made for their continued preservation (Derbyshire County Council, 2021).

Purpose of Appraisal

It is not in the interest of the government, organization or community to retain records for longer than they are reasonably required to support identified needs. To attempt to preserve and maintain accessibility to all records indefinitely would be prohibitively expensive and impractical to manage.

Even in the electronic environment, where data storage costs continue to fall, the full cost of cataloguing, maintenance, migration and accessibility makes it impossible to keep all records forever. Moreover, there are certain types of records, such as those containing sensitive personal information, which the organization expects will be disposed of when they are no longer required for the purpose for which they were created or for related administrative purposes and where there are no other overriding factors requiring their retention , (The Ohio State University, 2020).

All records are created for an identifiable business or administrative purpose and the majority of these records can be disposed of by destruction once that purpose has been fulfilled and all legal and accountability requirements for their retention have been met. There are some types of records, however, because of the purpose for which they were created, the activity they document and the information they contain, that have enduring value to the government, to the community at large or to individuals or groups within it. These records are identified and kept as archives.

The process of appraisal is important to ensure that the records are kept for as long as they are required — either for finite, identified periods or at the archives — and that retention and disposal decisions are properly justified and documented.

Reason for Appraisal

According to Derbyshire County Council, (2021), appraisal of records is based on value and function (macro appraisal).

An appraisal based on the value

In general, there are two layers of value:

1. Primary value:The value of the organization that created the record and the purpose for which it is created. Such purposes can be administrative, legal and or fiscal purposes. Identifying records of ongoing business value will:
   • Assist efficient and effective administration
   • Enable decision-making and policy development based on current information; and
   • Allow organizations to be accountable in terms of the management of resources as well as legal and financial scrutiny.

1. Secondary value: The additional historical value to the organization and wider society. This can include ‘evidential’ value derived from the way the record documented the history, structure and functions of an organization, and ‘informational’ value in providing research material on persons, places and subjects.
2. Evidential value concerns the organization and how it functions. This can include evidence of the creation of the organization, its ongoing development, the core functions it performs, and the consequences of its actions and activities.
3. Informational value concerns information on people, places, and subjects that the organization deals with. This value can often be greatest in case files and the interest often lies with the content of the files rather than the context in which they were created.

Appraisal based on functions (Macro Appraisal)

An appraisal based on the functions that the records represent is known as macro appraisal. This approach is widely recommended as it avoids the need for file-level appraisal which is increasingly impractical in the electronic age and can often be an extremely time-consuming process. Macro appraisal shifts the focus of appraisal onto the context in which: records were created rather than the content of those records.

• When considering records appraisal, the following questions should be asked:
• How, why and by whom are the records created?
• How are they used by their creators?
• What functions and processes do they support?
• What should be documented?

When following a macro-appraisal approach staff undertaking appraisal will need to base their decisions around clearly defined appraisal criteria. These criteria look at the needs of the users in terms of the potential uses of the records and the characteristics which users seek in them.

Uses of records

The core uses of records can be divided into:

• Business purposes: records support administration, regulation, a public/professional service, economic activity, and dealings between individuals and the organization
• Accountability purposes: records are used to support accountability where there is a need to provide proof that the organization has complied with legal and regulatory requirements.
• Cultural purposes: records are used to acquire an understanding of the organization or as an aspect of society in general.

In addition to these three cores purposes, it is also important to consider the characteristics of records are evidence, information sources, and even artefacts:

• Evidence: records provide evidence of activities in which they were created, and are used for proof if required for a particular activity.
• Information: records are sources of information used when users seek facts or knowledge.
• Artefact: records area a physical artefact because of their aesthetic qualities.

How to determine how long to retain records you are appraising:

Business use:

Step 1: Assess how long the activity supported by the record may continue

Step 2: Assess any period for which records may be needed for business purposes after the completion of the original activities to which they relate

Accountability use:

This will include considering:

1. Compliance with the law and internal/external regulations

2. Auditing requirements

3. Response to challenge (legal challenges, grievances etc.)

Determining how long to retain records based on their accountability use will often require knowledge of the particular laws or codes of practice mandated by the central government. Where retention periods are not immediately apparent the Corporate Records Manager should be contacted for specialist advice.

Cultural use:

Although cultural use will not be the primary concern when using records, some records may be retained as historical records. In these cases, records that provide evidence or information about strategic decision-making, key business activities, policies and procedures, or developments over time should be considered for retention.

Retention Schedule

A retention and disposition schedule is a plan of action that indicates the period of time you should retain your records. Records schedules allow you to dispose of records in a timely, systematic manner by setting retention and disposal guidelines based on administrative, legal, fiscal, or research needs, it provides instruction for the disposition of the records throughout their life cycle (The Ohio State University, 2021).

Retention Period

A retention period (associated with a retention schedule or retention program) is an aspect of records and information management (RIM) and the records life cycle that identifies the duration of time for which the information should be maintained or "retained," irrespective of format (paper, electronic, or other).The retention schedule addresses one of the most significant record-keeping problems faced by organizations: which records should be destroyed and when, and which records should be retained permanently.

Odutola (2018) opines that a retention schedule also indicates;

• how long a record should be kept in both active and inactive storage or under any circumstances when the records should be destroyed. Records storage for inactive records involves the storing of records in records centres or archives.
• The process of transferring inactive records to the records centre would save valuable office space for the storage of active records and reduce the operation cost of managing the records in a particular organization.
• The process of managing and operating records differs in both records centres and archives.
• Records stored in archives must be well preserved because of their historical value.

Why do we need a retention schedule?

A retention schedule promotes consistency by ensuring that we keep the same type of record for the same amount of time no matter where the record is held. Retention schedules promote control over the organization’s records, enable us to dispose confidently of records we no longer need and ensure the retention of the minimum volume of records consistent with economy and efficiency.

Category of Records

According to The University of Adelaide (2022), the categories of record are as follows;

I. Administrative Records

Records which pertain to the origin, development, activities, and accomplishments of the agency. These generally fall into two categories:

• Policy Records:Records that relate to the organization such as plans, methods, techniques, or rules which the agency has adopted to carry out its responsibilities and functions. These include three basic categories.
• Organizational Documents: budgets and budget planning records, fiscal records, organizational and functional charts.
• Governing Documents: manuals, directives, orders, and interpretations issued from top authority levels, correspondence files of high-level officials, regulations, circulars, instructions, memoranda or regular issuances that establish a course of action, and staff studies or special reports relating to methods of workloads and performances.
• Reporting Documents: annual reports, periodic progress or summary reports, special reports or accomplishment, transcripts of hearings, minutes of meetings and conferences, and agency histories.
• Operational Records:Records necessary to implement administrative policies, procedures, and operations. The operational value is the usefulness of a record in the conduct of an organization's business. Examples include mandates, procedural records, or records that give direction.

II. Legal Records

Records of legal value include those with evidence of legally enforceable rights or obligations of the State. These may include:

• Records relating to property rights: land, probate, contracts, agreements, leases, licenses.
• Records relating to citizenship rights: vital statistics, such as birth, death, marriage, some legal proceedings, and criminal cases.
• Records relating to employment: veterans' records involving legal rights attached to employment, basic state personnel records, and, in some cases, payroll records.
• Records containing information required to protect the State against claims or to enforce statutes: executive orders, rules, regulations, and records to establish or support judicial opinions and interpretations.

III. Fiscal Records

Records that have fiscal value relate to an agency's financial transactions. these may be budgets, payrolls, vouchers, and accounting records. After records have served their primary administrative purpose, it may be necessary to preserve them to document the expenditure of public monies and to account for them for audit purposes and requirements.

IV. Historical Records

Records worthy of permanent preservation for reference and research purposes are selected for deposit in the state Archives at the Connecticut State Library. These records are retained for many uses. Public officials use archival records to protect the government, to give consistency and continuity to their actions, to prevent duplication of efforts, and to find successful ways for solving recurrent problems. Records are also kept to protect citizens' legal rights and for research in many fields to advance general knowledge and understanding.

V. Research Records

Records used in scholarly studies and investigations. Researchers want to extend human knowledge using basic historical evidence. These records may include important information on individuals, corporate bodies including their problems and conditions, and significant historical events. Researchers may include case files and correspondence of a regulative and quasi-judicial nature, statistical and other data on economic development, population changes, and/or major movements in our society. Many of these records have informational, administrative, and archival value.

VI. Electronic Records

The Connecticut Uniform Electronic Transactions Act (CUETA) defines an electronic record as "a record created, generated, sent, communicated, received or stored by electronic means, including, but not limited to, facsimiles, electronic mail, telexes and internet messaging". Electronic messages sent or received in the conduct of public business are public records.

Question of practice

1. What is the purpose of appraisal in records management, and why is it essential for organizations to distinguish records of continuing value from those of no further value?
2. Explain the different layers of value in value-based appraisal, including primary value and secondary value, and how they impact the appraisal process.
3. How does macro appraisal differ from file-level appraisal, and why is it considered a more practical approach in the electronic age?
4. When determining the retention period for records based on their business use, what factors should be considered to assess how long the activity supported by the record may continue?
5. Provide examples of records that fall under the categories of administrative, legal, fiscal, historical, research, and electronic records, and explain why each category is important in the appraisal and retention process.