• 6.1 CONTENT

  • 6.1.1 Administrative Details

  This should detail the agency and office which has custody of the records, the contact person at the agency and the name and contact details of the person who carried out the appraisal. The appraisal circumstances should also be described, including:

• (a) Why the disposal action was requested. For example, due to lack of space, part of the agency's disposal programme or because of the impending move to new premises.
• (b) Statement on the use made of previous appraisal decisions.
• (c) Method or technique used to appraise the records (e.g. file by file examination, selective examination of a portion of the records only, file series by series examination, functional analysis of the agency, etc.). An indication of the records actually examined should be provided.
• (d) The reason why this approach was adopted should be given and how appraisal technique was influenced by the filing structure physical order (or disorder) in which the records were stored. In sum, a brief explanation of the records management practices of the agency should be provided and an explanation of how these influenced the appraisal. Evidence of a systematic or planned approach to the job is sought. An efficient and effective approach not only provides evidence that a person has understood the nature of the records systems but also demonstrates the appraisal has been performed in a cost effective way.

• (e) Any difficulties encountered and how they were overcome.
• (f) Any significant feature of the agency's structure, functions or recordkeeping practices which significantly affect the disposal authority.
• (g) Other details deemed pertinent. For example, any relevant manuals/books referred to and used to formulate the disposal recommendations (e.g. Directory of Official Information, 1987).

• 6.1.2 Agency Details

Accurate assessment of the value of records requires an understanding of the administrative context within which the records were created and used. Information should be provided about all agencies involved in the creation or control of the records being appraised, documenting the full chain of custody.

Questions to be addressed within the appraisal report:

• (a) What office/unit (i.e. agency) created the records?
• (b) Has the agency ever been known by any other names? If so, what and when?
• (c) Is the agency registered with Archives New Zealand? If so, what is its agency code? (This information can be obtained from Archives New Zealand.)

If the agency has been registered, confirm that the current documentation (provided by Archives New Zealand) is correct, or update elements as appropriate. If the agency is not registered, the following details should be provided.

• (d) When was the agency established and how? If known, indicate by what legislation, regulations, instruments or administrative instructions?