Assessment training for Archive Service Accreditation (2)


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Training for assessors and peer reviewers involvedin the piloting of Archive Service Accreditation

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  • Firstly thank you for your helpWe know we haven’t got this right yet and we’re so pleased to have your help in making this a strong useful tool for the archive sectorValue to them of testing and thinking about their service as part of the pilot without the pass/fail element at the end – but with support and feedbackThe monthly call to talk things through and chance to network with other pilot servicesThe value of their views as they work through the questionnaire and guidance, regardless of whether they can fully complete the process (if they drop out, we still want feedback)That finding gaps is a trigger for positive change, not for feeling downcast!Active day – not all chalk and talk
  • Slides will be available on Slideshare or via email if you aren’t able to access that sitePlease feel free to ask any questions as we go along with the day. It may be that we don’t have the answers at the moment or that we don’t have the time to deal with the answer in the busy day, but we will make a note and get back to you all if that is the case.
  • I’d ask you to bear with me if I talk through material that you are already aware of, I’ve got quite a mixed audience today. The aim is even if you are covering material you have looked at before, the discussions with other will shed new light on the material.
  • Wide range of organisationsBig and small, those at the top of their game and those with some way to go. Those in the midst of change and those embarking or seeking change. Designated collections, multi site organisations, accredited museums, national bodies. Those with lots of experience of standards and those without.Private and public sectorThis range is wide because the constituency for Archive Service Accreditation is wide. So please bear with us as we run training and design a scheme to meet the needs of all these organisationsSelf introduction and why you are here
  • What I won’t do is go through every page of the standard or the guidance documentation – too boring!Sorry if there are some wordy slide, but these will need to act in my stead for those not able to attend today
  • To return to our evolving principlesYou will see in the guidance notes, particularly in the Stakeholders section, we refer to activities being “in line with the organisation’s mission” This enables both our scalability and our ability to have one standard that meets the needs of both public/private sectors, internal/external facing archive services
  • We will have all these documents in an online environment for the final version, but at this stage we need to draft a paper version. The application form and process will also be online. We are aiming for you to be able to deposit documents in this online enivronment, but of course this isn’t yet available so the process will be different.
  • Chosen deliberately to mirrorthose of museums accreditation, to assist in those organisations seeking bothDesigned to dovetail with existing standard and frameworks e.g. Standard for Access for Archives (NCA PSQG), PAS 197 code of practice for cultural collections management, museums accreditation 2011So what will we be requiring you to achieve to secure Archive Service accreditation? Its summed up in the Requirements Why are we requiring this? See the outcomesTurn to page 20 in the standard. This shows a structure chart of the Section 3 stakeholders and their experiences, with requirements and sub requirementsIf you turn over to page 21 you will can see as an example two requirements and their outcomes, one of which has a sub requirement, 3.2.1Turning back to page 20 and the overview of Section 3, how have we organised the requirements?
  • Follows the recommended structure for an integrate Collections Management Framework in PAS197 i.e. Policies Plans and Procedures with this being most obvious in sections 2 and 3Policies:Provide a framework for organisational planning and actionCan be written in the form of a statementRequire the endorsement of the organisation’s governing bodySee glossary when a term seems unusual – e.g. Top managementPlans:e.g. Strategies, business plans, action plans – can be varying timescalesProcedures:e.g. Handbooks, guides, manuals, instructions
  • Arranged by requirement. Suggest may wish to file your printed copy with the standard by requirementEnables us to scale our requirements according to specific archive types and scale – We will be requiring more of the National Archives than smaller organisations, or those with different missions. Also allows us to specify specific requirements of places of deposit or publicly funded archivesGuidance is therefore divided into General and scaled guidance – scaled guidance is arranged according to the scalability table. You should assess yourself on the table as a priorityInformation and supporting documentation – these are your evidence that you meet the requirements – they aren’t a conclusive list, especially at this stage, so if you have any additional suggestions please submit them.If your evidence doesn’t have the same name as we use, or it is not a stand alone document, that is ok. We want you to be able to reuse plans policies and procedures for our purpose.Sorry the document doesn’t have page numbers, My mistake!!Now its a good point to consider how you will reach the point where you can submit an application under the pilot accreditation procedure
  • Although CIPFA is a local authority only survey there are so many archive services collecting this information its best to use this data.This data allows us to assess whether you have judged your scalability correctly and provides assessors with vital information. It looks at scalability factors and the size and usage of the collectionIts important to note here that the vast majority of assessments for archive service accreditation will be entirely desk based. A small number will have additional validation check visits. You will need to convey all the information necessary to assess your service against the standard through the application form.
  • Ideally separate giving advice on accreditation from assessment
  • Step 1 – desk validation Step 2 – validation visit (for a small % of pilot services)
  • Designed to be as concise as possible while also providing the information necessary to make an accreditation decision.c.f. 6 page HLF reportAssessors overview is removed when sent to the applicantAsked to assess whether each requirement is Fully met/ Partially met/Not met/ met with distinction and provide comment Then for each section an overall assessment
  • Validation visit report will be similar to assessment form
  • A version of this table will be sent to you following today
  • We are heading towards lunch and I ask you to bear with me as the sandwiches approach. As I talk through each section you may wish to think about what you would look for as evidence of meeting the requirements of accreditation and to look at the application form This is the overall structure of this first section. As I mentioned earlier the whole section, indeed the whole standard is linked together by that golden thread of mission and purpose.This section looks at issues such as governance, finances, buildings, workforce and planning in 6 main requirements
  • A clear example of our attempts at scalability is in the guidance document.Its an easy question to start – Why are you here?
  • Standard for record repositories used to talk about the archivist having a direct line to the chief executive . We recognise that this is outdated and we need to check the governance and management structures in detail
  • We ask you to confirm that your plan covers a series of areas. THESE WILL BE VARYING IN SCALE!
  • One area where there is a quite markedly different slant to museum accreditation is here. Rather than just concentrating on the security of tenure we ask for different information to assess whether collections are responsibiliy housedAgain the figures we ask for relating to holdings are aligned to the CIPFA stats which local authority archives already collect.
  • Important to note we need 2 years relevant accounts to demonstrate this. AGAIN its what its appropriate to your arrangements that will help us to assess whether you have reached the requirements.We ask you to decide what is appropriate and will enable us to make the assessment but there are some suggestions. Read Scalability
  • Key point is appropriate to what you are aiming to do. By this point in the application form the assessor should have an understanding of the service and its aims. It will not be possible to accredit a service that does not have the workforce to meet its ambitions or is not being ambitious enough!Read out scaled guidance re professionally qualified staff requirementsSome useful checklists for smaller organisations without HR departments on signed contracts etc
  • Using any notes that you have written as you have listened to me
  • We will go through the same procedure as with the first section, highlighting some areas then looking at how you would tackle the moduleHere the relation to the recommended structure for an integrate Collections Management Framework in PAS197 i.e. Policies Plans and Procedures is clear. We are looking at collections and have divided the requirements into policies plans and procedures for each. To remind you :Policiesdescribe the overall intentions and directions of an organisation as formally expressed by top managementPlansare forward looking documents that set out the objectives of the organisation and identify actions needed to achieve these objectives, in line with the organisation’s policies and in order to deliver its missionProceduresdescribe a specified way to carry out an activity or process in order to deliver a particular output or outcome
  • Policies on collections development analyse the principles of collecting archives, stating the scope, priorities and limitations on collecting. It describes how, when, why and by which mechanisms archives are transferred to the archive service. It should also identify gaps for future collecting.Policies on information: Here we look at the policy on collection information and finding aids, their quality and comprehensiveness. This section covers all information written and gathered about collections, whether during the transfer or accessioning processes, during cataloguing or subsequently. It should specify what information is gathered and created and which standards are followed in cataloguing. Collections care and conservation: A collections care and preservation policy should outline the strategic approach to preserving and conserving archive collections, explaining how the archive service intends to act and why. It should explain the preservation philosophy and any analysis behind collection care decisions. Definitions:Collections Care :Range of activities intended to safeguard a collection NOTE These activities can include organizational policies, security, storage, cleaning, maintenance, handling, scientific investigation, environmental monitoring and control, exhibitions and loans, conservation, provision of surrogates and emergency planning.Collections Development :Collecting new items, researching and reviewing the existing collection and removing items in accordance with the collecting organisation's policies and priorities Collections Information : Information an organisation collects, creates, holds and maintains about its collections and/or collected items (NB collections information can include a broad range of knowledge, such as interpretations, stories, research and conversation)
  • The collection development plan specifies how the archive service will appraise and rationalise collections and identify gaps and priorities for future collections. The collections information plan should describe how the archive service will implement the collections information policy described in 2.1.1 above. It should identify priorities for action and provide a plan for their implementation over a time limited period.The collections information plans should cover:An assessment of the current state of cataloguing in your organisation, including any legacy issues and how they occurred.How you plan to improve existing collection informationPlans for collections information about newly acquired collectionsHow you plan to manage information about collections long held without complete catalogues (backlog collections)How you plan to collect and maintain information regarding collection status (ownership, intellectual property rights and specific record keeping legislation/guidelines)The plan describes how the collections care and conservation policy will be delivered. It is the result of the policy statement combined with an assessment of the collection care in the archive service. Issues which may be covered include:Security Buildings/StorageMitigation of risks due to site of building(s)Access(reprographics, exhibitions, handling, surrogates)Treatments/ConservationHousekeepingEnvironmental monitoringEnvironmental controlDigital materialsDisaster recovery and continuity
  • Disaster recovery and continuity plans are of particular importance and should be based upon a risk assessment of the potential threats. Archive services should consider:Procedures and processes to be followed before, during and after an emergency eventArrangements for the workforce, visitors, collections and business continuity, on all sites.How the plan will be developed, disseminated and testedThe procedure for reviewing the disaster recovery and continuity plans
  • Using any notes that you have written as you have listened to me
  • Stakeholders : persons, corporate bodies or defined groups with an interest in the present and future activities of the archive service. Stakeholders include those with a financial interest (including tax payers in relation to a public service, office holders (e.g. politicians, committee members), executives, employees, suppliers, customers and the local community. In archive services there are two important additional groups: (1) depositors - the donors or lenders of records; and (2) future users, the purpose of the preservation of recordsCommunity: ‘Community’ - the standard is based on the concept of a community which the archive service is constituted to serve. In its specific sense as a defined term the word ‘community’ does not necessarily refer simply to the population of a political unit or physical area (e.g. a local authority or town). For many archive services the community will extend beyond the formal boundaries of its responsible body (government, educational institution, private or voluntary organisation). The archive will probably serve multiple communities: local, national and international; different communities of researchers and of other types of direct and indirect users and of non-users. Different elements of the community may attract different priorities, types and levels of service. The ‘community’ to be served is defined through the stated purpose of the archive service. Community embraces both 'stakeholders' and 'users'A policy on collections access (or suite of documents) should show how you meet the requirements relating to access for all stakeholders. It should outline all the methods of access to collections and any restrictions placed upon access as part of collections care. The archive service should also show how this policy is being communicated to its stakeholders.Policies on collections access should include:a definition of the community served and a description of how the organisation aims to provide access to its archive services, collections and facilities, in line with its mission statement.a commitment to identify and comply with relevant legislation and ethical codes in relation to accessincludes information on the restrictions and responsibilities surrounding the use of archives and how these are communicated to stakeholdersinformation on closure, use of surrogates, handling, exhibition and display, copying and reproduction.a commitment to promoting a culture of customer care, ensuring that all stakeholders are provided with courteous, effective assistance  Archive Accreditation acknowledges that levels of collections access should be appropriate to the organisation’s mission statement and the nature and scale of its collection.
  • 3.3.1 This requirement covers providing access to the content of archive collections and how this is communicated to stakeholders. It examines opening hours, location, service delivery interfaces, public facilities, published information and online presence
  • Using any notes that you have written as you have listened to me
  • Assessment training for Archive Service Accreditation (2)

    1. 1. Archive Service AccreditationAssessment & validation training Janice Tullock Associates For the Archives Accreditation workstream
    2. 2. Welcome and thanks!
    3. 3. Introductions – Archives Accreditation team• Archives Accreditation Workstream – The National Archives, National Records of Scotland, Arts Council England, Archives and Records Association, Cymal, PRONI, Scottish Council on Archives & Archives and Records Council Wales.• Janice Tullock Associates – Janice Tullock• National Trust – Katrina Thomson• The National Archives – Melinda Haunton & Jane Shillaker
    4. 4. Introductions – participants and hats• Assessors: – The National Archives – Scottish Council on Archives & National Records of Scotland – Cymal – Proni (not present)• Peer reviewers for England and Scotland
    5. 5. Introductions – pilots include• Unilever Archives • Southwark Local History• Glamorgan Archives, Library• The National Archives, • The Presbyterian Historical• Bowes Museum, Society of Ireland• National Library of Wales • Network Rail Corporate Archive• Exeter Cathedral Archives • Swansea University• PRONI • Media Archive of Central• Cumbria Archives Service England• University of Reading • Worcestershire Archives Special Collections/Museum of Rural Life, • Tyne and Wear Archives and Museums
    6. 6. Aims of the day• To introduce Archive Service Accreditation, its aims, purpose and development to date.• To provide assessors and peer reviewers with the information necessary to confidently assess pilot service applications for Archive Service Accreditation.• To provide an opportunity to ask the Archive Service Accreditation team any initial questions and to discuss the assessment and validation processes with peers• To pilot and assess the type of training future Archive Service Accreditation assessors and peer reviewers may require.
    7. 7. What will this pilot do?• Test the standard and guidance, showing what works and what doesn’t and identifying gaps• Test the mechanics of the application form• Test our plans to assess the applications• Evaluate the training we provide today
    8. 8. Accreditation – the pilot process Small % Validation visits (withPilot services peer bring reviewers in together an Assessment England and application (desk based) Scotland) Pilot Validation Production of application (desk based) accreditation submission report
    9. 9. Timetable for pilots• Submissions by end of 2012• Evaluation returns mid January 2013• Assessment start of Jan 2013• Validations by end of Jan 2013.• New draft to workstream by start of March 2013 and amended by end of March 2013• Scheme in operatation financial year 2013/14
    10. 10. Background to Archive Service Accreditation• Archives in the 21st Century recommendation• Scoping study examined c28 existing models• Led to the production of a model for Archives Accreditation• Co-creation of the Archive Accreditation Standard and scheme through workshops and online dialogue• Led to the production of a draft Archive Service Accreditation Standard and Scheme
    11. 11. ExerciseI want Archive Service Accreditation to be:
    12. 12. Aims of Archive Service Accreditation• Aligned with other relevant quality assurance schemes, improvement tools and data gathering processes.• Affordable, authoritative and highly visible• Purpose built for the archives sector• Able to be standalone and withstand political changes• An integral part of the work of The National Archives and partners, seamlessly blending into work such as the appointment of Places of Deposit for Public Records and allocation of archive collections Accepted in Lieu of Inheritance Tax• Accessible to cross-domain organisations and should not be dependent on achieving either the standard in museums or archives.• Accessible and relevant to a wide range of archive services and types of service across the UK• Focused on current and future community needs and acknowledge local, regional and national priorities.• A full acknowledgement the preservation and conservation needs of the collections• Produced by a process of co-creation with the sector
    13. 13. Key points• Archive Service Accreditation is a process not just a badge• The standard has a golden thread of the mission of the archive service• The standard is driven by a clear definition of community which is defined by each archive service
    14. 14. Definition of CommunityThe standard is based upon the concept of a community which the archive service is constituted to serve– Not just population of a physical unit– Not just a single community– Not just an external or an internal community– Embraces both stakeholders and users– Is defined through the stated purpose of the archive
    15. 15. The scheme documentationEligibility Scalability Standarddocument table ApplicationGuidance Glossary form Evaluation AssessmentAction plan and feedback form/reports form
    16. 16. The standard – overall structure• 3 Sections: – Organisational Health – Collections – Stakeholders and their experiences• Headline Requirement• Outcome• Sub-requirement (in some cases)
    17. 17. The standard – structure of requirements• Policies • describe the overall intentions and directions of an organisation as formally expressed by top management• Plans • are forward looking documents that set out the objectives of the organisation and identify actions needed to achieve these objectives, in line with the organisation’s policies and in order to deliver its mission• Procedures • describe a specified way to carry out an activity or process in order to deliver a particular output or outcome
    18. 18. The guidance document• General guidance• Scaled guidance• Information and supporting documentation needed• Where evidence may be found• Questions to consider when formulating responses• Tools and resources
    19. 19. Evidence of meeting the requirements: The application form• Consists of applicant details and questions relating to each section• We aim to only ask for information that is essential to assessing the application• Anonymised data will be analysed by assessing bodies and may be published• Applicant details – information required based on the requirements of CIPFA stats for Archive Services
    20. 20. Exercise - AssessmentThe assessment phase of archive accreditation is about making a judgement - Discuss
    21. 21. Assessment principles• Process should assess how far the service has shown that it has met the requirements of archive service accreditation• Assessment should celebrate and validate good and exemplary work• Assessment is also about providing constructive support and development advice
    22. 22. Assessment principles 2• We can’t tell services what to do, but we can advise how they can reach the standard – unless the issue is legislative, when there is a right or wrong• Process should lead to an action plan for the future and ongoing support by assessing body• Language – remember we aren’t always talking to the archivist on the ground, but to senior managers – advocacy & leverage
    23. 23. Accreditation – the pilot assessment process Application Assessment Validation Accreditation Assessment & report
    24. 24. Assessment processInitial check all data is provided Completion of final assessment form for Assessment : panel/applicantCompletion of draft Validation review assessment form Completion of final % Validation visit assessment form for with peer reviewers panel/applicant
    25. 25. Assessment form• Dual purpose: – Allow the panel to decide on accreditation (not pilot) – Provide feedback to candidate and act as an advocacy document for them• Consists of: – Cover sheet including assessors overview – Key messages – executive summary – The assessment – of how far the requirements of each section have been met – Conclusions – Key findings and areas for future development
    26. 26. Validation visit• Aim: – to test the conclusions of the assessment – to test specific requirements – to allow an assessment based upon observation rather than a written application• Team of at least 2 – 2nd assessor & peer reviewer (in most cases)• Constructive and supportive
    27. 27. Validation visit 2• Preparation – read draft assessment• Visit to assess how far the service meets the requirements of the standard: – Observation of practice – Spot audit – Examine paperwork• There will be a core of questions as standard and then additional site/service type specific• Completion of validation visit report
    28. 28. Evaluation of the pilot• Please keep a log of suggested improvements and changes as you go along• We will send an evaluation & feedback log
    29. 29. Evaluation and feedback logDocument Requirement Query Note Improvement Suggested Suggested Suggested of the guidance questions to Evidence standard needed ask (section, requirement)Guidance 2.3.3 Please provide guidance on how often to test disaster plan. We suggest annually.
    30. 30. Organisational Health 1.2 Governance1.1 Mission 1.3 Forward 1.4 Resources: 1.5 Resources: 1.6 Resources: & managementStatement planning building finance workforce structures
    31. 31. 1.1 Mission statement• Why are you here?
    32. 32. 1.2 Governance and management structures• Allows us to test governance and management arrangements• Would particularly like more suggestions on guidance required and evidence here
    33. 33. 1.3 Forward planning• Note that we don’t specify in detail what the forward plan should look like – we want it to be effective for the service• Note also the required link back to the mission of the organisation as a whole• Should show us how they are achieving our desired outcome
    34. 34. 1.4 Resources: Buildings• Terms of occupancy• Arrangements to keep collections secure• Arrangements for forward planning re buildings
    35. 35. 1.5 Resources: Finance• Demonstrate a sound financial basis• Archive Service managers have appropriate input to relevant budget setting• We would like more suggestions as to what is appropriate for each scale of service
    36. 36. 1.6 Resources: Workforce• Resources to be appropriate in experience and numbers to carry out the service’s responsibilities and plans.• Requires a workforce chart to be submitted• Scaled guidance is important in ensuring professional staff are employed where required.• Some documentation is not submitted but is available on request and tested at visit• Also looks at development provisions
    37. 37. Exercise• In pairs you will each be given a requirement• Discuss what key points you would expect a successful applicant to evidence for your requirement – 10 Minutes• As a group list your key points for the whole Section – 15 minutes
    38. 38. Collections2.1 Collections 2.2 Collections 2.3 Collections management management Management policies plans procedures 2.3.1 Procedures 2.1.1 Policies on 2.2.1 Collections for core collections collections development plan information development processes 2.3.2 Procedures 2.1.2 Policies on 2.2.2 Collections for routine collections information plan preventive information conservation 2.3.3 Procedures 2.1.3 Policies on 2.2.3 Collections and plans for collections care care and disaster and and conservation conservation plan recovery
    39. 39. 2.1 Collections management policies• Split into : – Collections development – Collections information – Collections care and conservation• If the policy has a different name but fulfils the same function that is ok
    40. 40. 2.2 Collections management plans & planning• This requirement looks at the plans that are in place to continuously improve: – Collections development – Collections information – Collections care and conservation
    41. 41. 2.3 Collections management procedures• The key is clear and documented procedures that are understood and applied by the workforce• Remember its scaled to their community and mission• Specific requirement around disaster recovery plan and procedure – based upon a risk assessment and scaled
    42. 42. Exercise• In pairs you will each be given a requirement• Discuss what key points you would expect a successful applicant to evidence for your requirement – 10 Minutes• As a group list your key points for the whole Section – 15 minutes
    43. 43. Stakeholders and their experiences 3.2 Collections 3.3 Collections 3.1 Collections Access Plans and Access Information Access Policies Planning and Procedures 3.2.1 Understands 3.3.1 Practical community and has Information on how to effective methods of access archive services consulting stakeholders 3.2.2 Effective methods to analyse and evaluate 3.3.2 Procedures for existing and potential user access process and stakeholder needs and standards interests 3.2.3 Documented plans to improve access in 3.3.3 Access information response to identified and procedures regularly needs and interests of reviewed and updated its community
    44. 44. 3.1 Collections Access Policies• We need help from the private and third sector – have we got this section right?• Take note of the definitions of Stakeholders and Community• Levels of collections access should be appropriate to the organisation’s mission statement and the nature and scale of its collection• Access is not just for the public
    45. 45. Collections Access Plans and planning• Organised into: – Understanding your community – Analysing stakeholder needs and interests – Documented plans to improve access
    46. 46. Collections Access Information & Procedures• Organised into: – Practical information on how to access collections and services – Procedures for user access processes and standards – Access information and procedures are regularly reviewed and updated
    47. 47. Exercise• In pairs you will each be given a requirement• Discuss what key points you would expect a successful applicant to evidence for your requirement – 10 Minutes• As a group list your key points for the whole Section – 15 minutes
    48. 48. Any questions ?
    49. 49. Thanks and good luck!