Appraisal Report

Legacy Functions, Activities and Records Evaluation Template

Note: Information in this report should be relevant and articulated in plain English to take into account the various audiences including the Chief Archivist, members of the public, and other information management personnel.

Appraisal Report

Legacy Functions, activities and records evaluation for

[Public office name]

File/Document ID
Agency
Contact Name and Details
Date
Purpose
This section should explain why this specific group of records are being appraised at this point at this time and should include a brief description of the circumstances that have led up to the decision to appraise.For example:
  • to support effective and efficient records management/ as part of an information management or risk management framework
  • to cover a discrete set of non-current records that is not covered by a Disposal Authority or by the GDAs
  • to enable the sentencing of non-current records that relate to an inherited function or activity from a previously responsible organisation which is not covered by the current organisation’s Disposal Authority
  • to enable the sentencing of non-current records that relate to a former function or activity carried out by an organisation that is not covered by a Disposal Authority
  • a change in legislative or organisational requirements or a disestablishment of a public office.

Scope
This section should identify whichrecords are covered by this appraisal for non current records. It is appropriate to confirm the quantity of records being appraised or a general estimate.
Format
It will be assumed that the appraisal will cover all formats unless noted.
Function/Activity Information/Collection
The information collected for this type of appraisal report should describe the context and circumstances (provenance) in which the records were created and managed. It should document any predecessor agencies that created and/or controlled the records and carried out the functions and activities for which the records were created.
For example:
  • legislative functions and responsibilities of relevant agencies
  • relationships with predecessor agencies (created/controlled the records being appraised)
  • relationships with other classes/series including predecessor (created/controlled the records being appraised)
  • recordkeeping systems used: paper registration i.e. Annual Single Number/Multiple Number Series, Shared drives, index cards, none – list.
Sources for identifying predecessor agencies and/or functions and activities carried out by an agency include legislation and statutory regulations (which can be found at the New Zealand Legal Information Institute and the Parliamentary Counsel Office/NewZealand Legislation) and Cabinet Minutes.
Archway can also be used as a source for information collection. Predecessor agencies, functions, and relevant and defunct recordkeeping systems that may relate to the records being appraised may already be described.
Methodology
This section should give a brief explanation of the method used to appraise the records.
It is useful to include how the following sources inform the appraisal recommendations made in this report:
  • Archives New ZealandAppraisal Statement
  • background research e.g. any other relevant and viable disposal authorities
  • a review of the relevant agency function, business classification system [BCS], and business activity to inform the approach
  • any other relevant and viable disposal authorities
  • the condition of physical records and their storage
  • the internal and external consultation process.

Consultation
Public sector organisations are required to consult both internal and external parties who may have a current or future interest in the records prior to submitting this report to the Chief Archivist. Consultation ensures that stakeholders are able to contribute to the process and are fully informed of the reasoning behind retention and disposal recommendations. Different groups may value records in different ways and have different needs for access to them over time. It makes sense to take into account of a range of opinions when appraising records.
This section should include the following:
  • a list of who was consulted both internally and externally and how they were consulted (please also include individual names, designations and or titles, business units or organisations. Names will be removed by Archives New Zealand before publication on its website).
  • document the changes made as a result of feedback or variations in feedback during the consultation process, and how they were resolved.

The following table of ‘class or class grouping’, ‘description’, ‘value statement’ and ‘retention and disposal recommendation’ should be repeated in the report for every class or class grouping that is appraised:

Class or class grouping
Description
The records should be clearly described to be obviously distinguishable from others and easily identified for implementing the disposal actions. Each class should have as meaningful a name as possible. Sequential numbering, if required should link the descriptions in this section to the schedule.
Value Statement
The discussion and assessment of value is the most important part of the appraisal report.
There must be sufficient descriptive and evaluative detail included in this section to support and justify why these records are assigned this particular disposal recommendation.
This value analysis will be informed by the Appraisal Statement criteria and a consideration of the extent of the value, the outcomes of the internal and external consultation process, and may also take into consideration the influence of contemporary events or public interest.
Retention and disposal recommendation
Recommend:
  • retention period in months or years i.e. How long these records should be stored, managed and maintained before disposal
  • trigger point i.e. this is the point from which the retention period begins e.g. date of creation or date file closed orlast modification entry date
  • disposal action i.e. what should the disposal action is once the retention period is complete?
Records that are older than 25 years and recommended for archival retention can be retained longer by the agency if it can be sufficiently demonstrated that there is continuing business use and need for them. In such cases the disposal recommendation must be made as well as an application for a deferral of transfer. The granting of a deferral of transfer would be subject to any conditions deemed appropriate by the Chief Archivist.
Access Recommendations
Please refer to the Making Decisions on the Access Status of Public Recordsguide prior to making decisions.
It will be assumed that the access status of all records will be open unless noted.
If, after referring to the ‘Making Decisions on the Access Status of Public Records’ guide and consulting with stakeholders, it is still considered appropriate to apply restrictions, please include the following:
  • reasons for restriction
  • restriction duration
  • restriction justification.

Appendices

This section should include anything additional in either support of, or further explanation to, the description of the records or the disposal recommendations. Examples may include:
  • key points from the responses from consultation
  • application for deferral of transfer [if applicable]
  • contacts for access.

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