Post on 29-Nov-2014
description
Archive Service AccreditationAssessment & validation training
Janice Tullock AssociatesFor the Archives Accreditation workstream
Welcome and thanks!
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
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
Introductions – pilots include
• Unilever Archives• Glamorgan Archives, • The National Archives, • Bowes Museum, • National Library of Wales• Exeter Cathedral Archives• PRONI• Cumbria Archives Service• University of Reading Special
Collections/Museum of Rural Life,
• Southwark Local History Library
• The Presbyterian Historical Society of Ireland
• Network Rail Corporate Archive
• Swansea University• Media Archive of Central
England• Worcestershire Archives• Tyne and Wear Archives and
Museums
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.
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
Accreditation – the pilot process
Pilot services bring
together an application
Pilot application submission
Assessment (desk based)
Validation (desk based)
Small % Validation visits (with
peer reviewers in England and
Scotland)
Production of accreditation
report
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
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
Exercise
I want Archive Service Accreditation to be:
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
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
Definition of Community
The 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
The scheme documentation
Eligibility document
Scalability table Standard
Guidance Glossary Application form
Action planEvaluation
and feedback form
Assessment form/reports
The standard – overall structure
• 3 Sections:– Organisational Health– Collections– Stakeholders and their experiences
• Headline Requirement• Outcome• Sub-requirement (in some cases)
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
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
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
Exercise - Assessment
The assessment phase of archive accreditation is about making a judgement - Discuss
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
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
Accreditation – the pilot assessment process
Accreditation Assessment & report
Validation
Assessment
Application
Assessment process
Initial check all data is provided
Assessment : Completion of draft
assessment formValidation review
Completion of final assessment form for
panel/applicant
% Validation visit with peer reviewers
Completion of final assessment form for
panel/applicant
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
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
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
Evaluation of the pilot
• Please keep a log of suggested improvements and changes as you go along
• We will send an evaluation & feedback log
Evaluation and feedback logDocument Requireme
nt of the standard (section, requirement)
Query Note Improvement
Suggested guidance needed
Suggested questions to ask
Suggested Evidence
Guidance 2.3.3 Please provide guidance on how often to test disaster plan. We suggest annually.
Organisational Health
1.1 Mission Statement
1.2 Governance & management
structures
1.3 Forward planning
1.4 Resources: building
1.5 Resources: finance
1.6 Resources: workforce
1.1 Mission statement
• Why are you here?
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
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
1.4 Resources: Buildings
• Terms of occupancy• Arrangements to keep collections secure• Arrangements for forward planning re
buildings
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
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
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
Collections2.1 Collections management
policies
2.1.1 Policies on collections
development
2.1.2 Policies on collections
information
2.1.3 Policies on collections care and
conservation
2.2 Collections management
plans
2.2.1 Collections development plan
2.2.2 Collections information plan
2.2.3 Collections care and
conservation plan
2.3 Collections Management procedures
2.3.1 Procedures for core collections
information processes
2.3.2 Procedures for routine preventive
conservation
2.3.3 Procedures and plans for disaster and
recovery
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
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
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
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
Stakeholders and their experiences
3.1 Collections Access Policies
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
Collections Access Plans and planning
• Organised into:– Understanding your community– Analysing stakeholder needs and interests– Documented plans to improve access
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
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
Any questions ?
Thanks and good luck!