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2021/2022

Appraisal and Acces

Code: 42113 ECTS Credits: 10
Degree Type Year Semester
4312208 Archival and Records Management OB 2 2
The proposed teaching and assessment methodology that appear in the guide may be subject to changes as a result of the restrictions to face-to-face class attendance imposed by the health authorities.

Contact

Name:
Carles San Josť Amat
Email:
Carles.SanJose@uab.cat

Use of Languages

Principal working language:
catalan (cat)

Other comments on languages

Some articles are in English and Spanish

Teachers

Anna Maria de la Fragua Cobo
Carles San Josť Amat

Prerequisites

No previous requisites are required

Objectives and Contextualisation

There will be two formative lines; Access to information and data protection (L1); and Records appraisal (L2)

L1. Access to information and data protection

• Know the data and information that must be published in order to comply with the requirements of transparency.

• To know the regulation of the right of access to public information in order to properly handle the applications that are submitted in exercise of this right.

• To know the regulation of the right to the protection of personal data, so that these data are treated correctly, and compliance with the obligations imposed by the regulations of this matter.

L2. Records appraisal

That the students have theoretical knowledge and skills to evaluate the documentation and apply criteria to manage the records life cycle in real cases.

These skills are essential in order to manage, work and implement records management systems, taking into account that evaluation becomes one of the pillars of these.

At the end of the course students will have the ability to appraisal, apply the removal procedure and the Catalan disposition rules (TAAD), design retention schedules

and apply elimination and preservation policies.

To achieve the objectives the formative line is composed of theoretical and practical lessons in class as well as some individual exercises to be done outside the classes.

Competences

  • Apply document-evaluation systems.
  • Argue critically and demonstrate ethical and social commitment to and respect for diversity and multiculturalism.
  • Carry out team work in interdisciplinary ways.
  • Recognise the legal system and regulations pertaining to document preservation and access and to data protection, and apply these.
  • Update and recycle knowledge through continuous training.

Learning Outcomes

  1. Apply assessment tables.
  2. Argue critically and demonstrate ethical and social commitment to and respect for diversity and multiculturalism.
  3. Carry out team work in interdisciplinary ways.
  4. Create and apply access plans for information and data protection.
  5. Create evaluation proposals.
  6. Describe the legal and regulatory framework of documentary evaluation.
  7. Identify the instruments and mechanics of evaluation.
  8. Intervene in data processing to adapt this to regulations on access and protection.
  9. Prepare data-file statements.
  10. Recognise European and Spanish regulations on access to documentation and on data protection.
  11. Recognise static and dynamic security measures.
  12. Recognise the concepts and procedures of documentary evaluation.
  13. Update and recycle knowledge through continuous training.

Content

L1. Access to information and data protection

Topic 1. Transparency and right of access to public information

1.1. Transparency as a democratic value.

1.2. Transparency in the ICT society

1.3. Active transparency in Spain.

1.4. Government open and open data.

1.5. The reuse of public information.

1.6. The right of access to public information in Europe.

1.7. The right of access to public information in the Spanish State.

1.8. Content of the right of access to public information.

1.9. Limits to the right of access to public information.

1.10 Procedure for exercising the right of access and guarantee regime.

1.11. Subjects with sectoral legislation of the right of access.

1.12.Transparency and right of access in the processing of administrative procedures.

Topic 2. The protection of personal data.

2.1. The right to the protection of personal data in Europe.

2.2. The right to the protection of personal data in Spanish law.

2.3. General principles of the right to the protection of personal data.

2.4. Duties and obligations in the processing of personal data.

2.5. The rights of people in the field of data protection.

2.6. The Data Protection Authorities

L2. Records appraisal

Topic 1. Records appraisal
1.1. Introduction to the theoretical foundations of records appraisal
1.2. General principles and basic terminology
1.3. The origin of the Records appraisal

Topic 2. Legislation and legal framework of the Records appraisal
2.1. The state legislation
2.2. Catalan autonomous legislation
2.3. Municipal evaluation committees and other evaluation boards
2.4. The National Commission for Evaluation and appraisal of Catalan Public Documentation (CNATD)
2.5. The records appraisal model in Catalonia

Topic 3. The main concepts of Records appraisal
3.1.The values of the archive documents and the evaluation (Appraisal Concept)
3.2. Methodology of the document evaluation procedure. Presentation model for proposals a the CNATD
3.3. The conservation / elimination schedules in a document management system. Concept of disposition
3.4. The preservation policies of the documents, in relation to their conservation / elimination

Topic 4. The application of the Records appraisal
4.1. Study and analysis of TAD (access tables and document evaluation)
4.2. Proposals and dispositions of the CNAATD
4.3. Proposals for evaluation to be submitted to the CNAATD

Topic 5. The elimination procedure
5.1. The document removal file
5.2. Documentation registration deleted
5.3. Sampling and removal techniques for documents

Topic 6. Substitution of supports. Secure digitalisation, from paper to electronic.
6.1. The agreement 1/2010 of the CNAATD
6.2. The Technical Standard of interoperability of the authentic copying procedure and replacement of supports
6.3.Examples of other countries

Topic 7. Appraisal of other support and formats.
7.1. Appraisal of photographs and videos

Topic 8. Electronic records appraisal
8.1. The application the conceptsof evaluation, retention, disposition, freezing in the systems of electronic records management
8.2. Evaluation in a data centric model. How to evaluate data in the Big Data world.
8.3. Evaluation of databases
8.4. Deletion metadata
8.5. Audit, registration and traceability of record elimination

Methodology

L1. Access to information and data protection

The methodology of this formative line consists of face-to-face classes in which the teacher addresses the syllabus and contents contemplated in content section, with theoretical explanations accompanied by the approach of practical cases. During the semester, three mandatory activities are proposed, which are complemented by the final exam.

L2.Records appraisal

The methodology of this formative line is theoretical and classroom classes, combined with some practical classes, where students will have to solve some compulsory exercises. During the semester they will have to do three mandatory activities and a final exam, which comprise the final grade. A couple of activities are also proposed with an external guest who delves into one of the proposed topics.

Annotation: Within the schedule set by the centre or degree programme, 15 minutes of one class will be reserved for students to evaluate their lecturers and their courses or modules through questionnaires.

Activities

Title Hours ECTS Learning Outcomes
Type: Directed      
L1. Lessons with students participation 36 1.44 4, 8, 9, 2, 10, 11, 3
L1. Study and analysis of the materials provided 51 2.04 13, 4, 8, 9, 10, 11
L2. Lessons with the participation of the students 25 1 1, 5, 6, 7, 12
L2. Study and analysis of the materials provided 30 1.2 13, 1, 5, 6, 7, 12
Type: Supervised      
L2. Content activities 30 1.2 1, 5, 6, 7, 12

Assessment

L1. Access to information and data protection

The evaluation system takes into account various activities and aspects. On the one hand, the three activities carried out during the semester are evaluated, with a weight of 20% for each activity. Finally, the student must carry out the final exam that deals with all the content of the subject, and this exam has a weight of 40%, provided that the three activities carried out during the semester have been approved. In the case of not having passed, the final mark of the student will be the one obtained in this final exam.

L2. Records appraisal

The evaluation system takes into account various activities and aspects. Three different activities carried out during the semester are evaluated, in class and at home, with a weight of 90%, it will be necessary to approve the three activities. Class participation is granted 10%.

It is necessary to pass each training line separately in order to average the module and pass the module.

Assessment Activities

Title Weighting Hours ECTS Learning Outcomes
L1. Final test 40 2 0.08 13, 4, 8, 9, 2, 10, 11
L1. Practical about access to information 20 12 0.48 13, 4, 8, 9, 10, 11
L1. Practical about active transparency 20 12 0.48 13, 2
L1. Practical about data protection 20 12 0.48 4, 8, 9, 10, 11
L2. Attendance and participation in face-to-face classes 10 7 0.28 13, 1, 5, 6, 7, 12, 3
L2. Document removal proposal 30 11 0.44 13, 1, 6, 12
L2. Exercice about retention schedule 30 11 0.44 13, 1, 5, 7, 12, 3
L2. Proposal of disposition rule (PAD) 30 11 0.44 13, 1, 5, 3

Bibliography

L1. Access to information and data protection

Id

 

Sources

 

CERRILLO 2006

 

CERRILLO, Agustí i Alfredo GALÁN (coordinadores) (2006). La reutilización de la información del sector público. Granada : Comares..

 

CERRILLO/PONCE 2014

 

CERRILLO MARTÍNEZ, Agustí i PONCE SOLÉ, Juli –coordinadors- (2015). “Comentaris a la Llei 19/2014, de 9/12, de transparència, accés a la informació pública i bon govern”. Barcelona. UOC-EAPC.

 

FERNÁNDEZ 2001-I

 

FERNÁNDEZ RAMOS, Severiano (2001). Los concejales y el acceso a la información. El derecho de los concejales de acceso a la documentación local. Granada : Comares (Temas básicos de derecho administrativo).

 

FERNÁNDEZ 2001-II

 

FERNÁNDEZ RAMOS, Severiano (2001). “El derecho de acceso a los archivos en el marco del sistema archivístico” a El derecho de acceso de los ciudadanos a la información contenida en los archivos. Toledo : Junta de Comunidades de Castilla-La Mancha.

 

GUICHOT 2005

 

GUICHOT, Emilio (2005). Datos Personales y Administración Pública. Cizur Menor : Aranzadi – Civitas.

 

GUICHOT 2009

 

GUICHOT, Emilio (2009). Publicidad y privacidad de la información administrativa. Cizur Menor : Thomas Cívitas.

 

GUICHOT 2014

 

GUICHOT REINA, Emilio (Coordinador) (2014). “Transparencia, acceso a la información pública y buen gobierno : estudio de la Ley 19/2013, de 9 de diciembre”.  Madrid : Tecnos.

 

MATAS 2009-I

 

MATAS, Josep (2009, vol. 29). “Accés amb reserves: llums i ombres de la normativa d’accés a la informació pública” a Lligall.

 

MATAS 2009-II

 

MATAS, Josep (2009). “Arxius, ciutadania i accés a la informació” dins Manual d’arxivística i gestió documental, Barcelona : Associació d’Arxivers de Catalunya.

 

RAMS 2009

 

RAMS RAMOS, Leonor (2009). Derecho de acceso a archivos y registros administrativos. Madrid : Reus.

 

RODRIGUEZ-ARANA 2014

 

RODRÍGUEZ-ARANA MUÑOZ, Jaime (2014). “Comentarios a la Ley 19/2013, de 9 de diciembre, de transparencia, acceso a la información pública y buen gobierno” . Granada : Comares.

 

VILLORIA 2014

 

VILLORIA MENDIATA, Manuel (2014). “La Publicitat activa en la Llei de transparència : accés a la informació i bon govern : possibilitats i insuficiències. Barcelona : Generalitat de Catalunya.

 

PIÑAR 2016

 

PIÑAR MAÑAS, José Luis (2014). “Reglamento General de Protección de Datos. Hacia un nuevo modelo europeo de privacidad”.

 

VARIOS AUTORES 2017

 

Los límites al derecho de acceso a la información pública. Madrid: INAP.

 

TRONCOSO 2021

 

TRONCOSO REIGADA, Antonio -coordinador- (2021). “Comentario al Reglamento General de Protección de Datos y a la Ley Orgánica de Protección de Datos Personales y Garantia de los Derechos Digitales".

Pamplona. Editorial Civitas.

 

L2. Records Appraisal

Id

Sources

BERNAL 2002

2002 BERNAL, Angels, BORFO, Toni, BORRAS, Joaquim, MOYANO, Loli, VILALTA, Montse, “Una experiència d’avaluació en grup: els documents de les universitats”. Arxius. Butlletí del Servei d’Arxius, num.36 Generalitat de Catalunya, 2002 p. 1-4

BOADAS 1989

BOADAS, JOAN, “La documentació dels arxius: eliminar per conservar”. Plecs d’història local, 23, 1989, p. 38-41

CASELLAS 2017

CASELLAS, Lluis-Esteve, "Evaluación archivística, más allá de evaluar para conservar y eliminar" ,Revista REDAR, nº 4, año 2 (Julio-Diciembre 2017). Córdoba (Argentina): RED de Archiveros Graduados de Córdoba, p. 49-77

CASELLAS 2019

CASELLAS, Lluis-Esteve "L’avaluació arxivística en el nou context de les organitzacions", La destrucciód’informació públicaUna mirada multidisciplinària sobre l’eliminació ordenada de la documentació. Barcelona, Oficina Antifrau i Associació d'Arxivers de Catalunya, 2019

CERMENO 2010

CERMENO, Lluis, RIVAS, Elena, Valorar y seleccionar documentos. Que es y cómo se hace. Editorial Trea, 2010. 166 p.

CNATD 1997

COMISSIO NACIONAL D’AVALUACIÓ I TRIA DE LA DOCUMENTACIÓ; Normes i procediments de valoració documental peraarxius públics, Barcelona, Departament de Cultura, 1997

COOK 1991

COOK, Terry; “Appraisal in the information age: a Canadian commentary” Archives and Museum informatics, 13 1991, p. 51-66

COOK 1998

COOK, Terry; “Macroappraisal and functional analysis: Appraisal thoery, strategy and methodology for archivist”, L’évaluation des archives: des nécessités de la gestion aux exigences du témoignage, Gira 1998, p. 27-33

COUTURE 1997

COUTURE, Carol, “L’avaluació dels arxius.Estat de la qüestió”. Lligall, Revista catalana d’arxivística, núm. 11 (1997), p. 59-88.

COUTURE 1997

COUTURE, Carol, “Les calendriers de conservations: fondements theoriques et etat des practiques”, Lligall. Revista Catalana d’Arxivistica, 12. (1997) p.184-189

COUTURE 1997

COUTURE, Carol, “Elaboració i aplicació dels calendaris de conservació”, V Conferència Europea d’Arxius. Les bases de la Professió. Lligall Revista catalana d’arxivística, Barcelona, 1997, p 33-35

CSCDA 2003

COMISION SUPERIOR CALIFICADORA DE DOCUMENTOS ADMINISTRATIVOS; Metodología. Madrid, Ministerio de Cultura, 2003

COX 1994

COX, Richard J.; “The documentation strategy and archival apprisal principles: a different perspective”, Archivaria, 38, 1994 p. 11-36

COX 2002

COX, Richard J.; “The end of collecting: towards a new purpose for archival appraisal” Archival Science, 2, num. 3-4, 2002, p. 287-309

CUMMINGS 2002

Cummings, Susan; “Reengineering NARA Records management policies” Comma,International Journal on Archives, 2002 1-2, p. 63-65

DUCHARME 1996

DUCHARME, Daniel, COUTURE, Carol, “L’evaluation en archivistique, evolution et tendances: etude bibliographique 1980-1995”, Archives, vol 28 (1996-97), p. 59-98

DUCHEIN 1997

DUCHEIN, MIchel, “Le principe de provenannce et la practiques du tri, du classement et de la descripction en archivistique contemporaine”, Lligall. Revista catalana d’arxivística, 12 1997, p. 87-100

FINDLAY 2018

FINDLAY, Cassie, "Avaluació: un instrument estratègicper a la gestió documental actual",  Lligall. Revista catalana d’arxivística 41, 2018

HERNÁNDEZ 2002

HERNÁNDEZ OLIVERA, Luis, MORO, Manuela, “Procedimientos de valoración documental, ACAL, ”, Salamanca 2002, 213p

HERNANDEZ 2010

HERNANDEZ OLIVERA, Luis. Del expurgo a la valoración: reflexiones sobre la terminología de valoración y selección de documentos. En: GARCÍA PALACIOS, JOAQUÍN (dir.). La terminología de la archivística. Gijón: Trea, 2010. p 71-88.

HULL 1981

HULLL, Felix. Utilización de Técnicas de muestreo en la conservación de registros: Estudio del RAMP y directrices al respecto, Programa General de Información y UNISIST, París, 1981

LA TORRE 2000

 

LA TORRE MERINO, José Luis; MARTIN-PALOMINO, Mercedes, Metodologia para la identificación y valoración de fondos documentales, Madrid, Ministerio de Educación, Cultura yDeporte, 2000, 213 p.

LÓPEZ 1998

 

LÓPEZ GÓMEZ, Pedro; “Identificación y valoración de documentos en España a partir de 1975”, Analesde Documentación, 1 1998, 109 p.

LÓPEZ 1999

LÓPEZ HERNÁNDEZ, Maria Angeles, La selección de documentos:problemas y soluciones desde una perspectiva metodológica, Carmona:S&C Ediciones, 1999, 171 p.

RIVAS 2007

RIVAS PALÁ, Elena; “Valoración y selección en un sistema archivístico”, Legajos, 10, 2007

RODRÍGUEZ2013

RODRÍGUEZ COYA, Fátima. "Las juntas de expurgo en el contexto de la gestión de documentos judiciales". Jornadas Archivando: la valoración documental. León, 7 y 8 de noviembre 2013

SERRA 2008

SERRA I SERRA, Jordi, Los documentos electrónicos. Que son y cómo se tratan, Gijón, editorial Trea, 2008 (Archivos del siglo XXI, 11)

SOLER, 2009

 

SOLER JIMÉNEZ, Joan; Del bit al logos, preservar documents electrònics a l’administració local Barcelona; Diputació de Barcelona, 2009 (Col·lecció Estudis. Série Recursos culturals, 4). 349 p.

SUQUET 1996

SUQUET I FONTANA, M. Àngels; PÉREZ I PENA, Josep, “Consideracions sobre l’avaluació i tria de les fotografies”. A: Actes de les IV Jornades Antoni Varés, 1996

VVAA 2009

 

VVAA; Manual d’Arxvística i gestió documental, Associació d’Arxivers de Catalunya, 2009. 543 p.

CRUE 2012

“La valoración de los documentos electrónicos: estado de la cuestión”. CRUE. Conferencia de Archiveros de Universidades Españolas. Grup de trabajo de documentos electrónicos, 2012

VOUTSSAS 2014

VOUTSSAS-M, Juan; BARNARD AMOZORRUTIA, Alicia, Glosario de preservación archivística digital. Versión 4.0. Universidad Nacional Autónoma de México, 2014

VVAA 2003

 

El refinado arte de la destrucción: la selección de documentos”, Tábula, 6, 2003, 274p

 

 

Webgrafia

Id

 Sources

CNAATD

 

 

 

http://cultura.gencat.cat/ca/departament/estructura_i_adreces/organismes/dgpc/temes/arxius_i_gestio_documental/cnaatd

 

CSCDA (MinisterioCultura)

 

 

 

http://www.mcu.es/archivos/MC/CSCDA/Presentacion.html

Metodologia CNAATD

 

 

http://cultura.gencat.cat/web/.content/dgpc/arxius_i_gestio_documental/03_cnaatd/03__avaluacio_disposicio/avaluacio_i_acces/metodol_dipleg_04.pdf

 

InterPares Project

 

 

www.interpares.org/welcome.cfm

- Appraisal task force report de InterPares2

- Record/Archives Appraisal in Latin America

 

InterPares Project

 

 

 

Comissió Municipal de Barcelona

 

 

http://w110.bcn.cat/portal/site/ArxiuMunicipal/menuitem.a09d14181a8397aaca63ca63a2ef8a0c/?vgnextoid=04f82da0e4103310VgnVCM10000074fea8c0RCRD&vgnextchannel=04f82da0e4103310VgnVCM10000074fea8c0RCRD&lang=ca_ES

 

 

 

 

Pais Basc

 

 

http://eah-ahe.org/recursos_profesionales.php

 

Nova Zelanda

 

 

http://archives.govt.nz/sites/default/files/appraisal_policy_0.pdf

 

ARMA

 

 

http://www.arma.org/r2/how-do-i--/how-to-build-a-retention-schedule

 

Scottish Council on Archives

 

 

http://www.scottisharchives.org.uk/scarrs

 

Arxiu Municipal de Roses

 

 

http://www.roses.cat/la-vila/arxiu-municipal/dret-dacces-als-documents-publics

 

Calendaris de conservació

 

Arxiu Municipal de Barcelona

 

 

http://w110.bcn.cat/portal/site/ArxiuMunicipal/menuitem.a09d14181a8397aaca63ca63a2ef8a0c/?vgnextoid=dae1aa0a11ef2310VgnVCM10000074fea8c0RCRD&vgnextchannel=dae1aa0a11ef2310VgnVCM10000074fea8c0RCRD&lang=es_ES

 

Govern de Navarra

 

 

http://www.navarra.es/home_es/Temas/Turismo+ocio+y+cultura/Archivos/Sistema+archivistico/Comision+de+Evaluacion+Documental/calendarios.htm

 

Ministeri de l’Interior

 

 

http://www.interior.gob.es/ca/web/archivos-y-documentacion/archivo-general-sistema/sistema-archivistico/organos-competentes/comision-calificadora-documentos-ad/calendario-conservacion-de-series-documentales-mir

 

Arxius de l’Estat de Queensland

 

 

http://www.archives.qld.gov.au/Recordkeeping/RetentionDisposal/Pages/GRDS.aspx

 

Registres d’eliminació

 

Ajuntament de Castellbisbal

 

 

http://www.castellbisbal.cat/media/repository/arxiu/0801150521_registre-eliminacions-arxiu-castellbisbal.pdf

 

Ajuntament de Terrassa

 

 

www.terrassa.cat/arxiumunicipal

Eines d'arxiu: calendari de conservació 1996-2016

 

 

Ajuntament de Sant Cugat

 

 

http://dona.santcugat.cat/web/eines-de-larxiu

 

Ajuntament de Salt

 

 

 

 

https://www.seu.cat/seue-fitxer?id=67096

Norma Tècnica d’Interoperabilitat

 

 

Norma Tècnica de copiat i conversió de documents electrònics

 

 

http://www.mpt.gob.es/dms/es/publicaciones/centro_de_publicaciones_de_la_sgt/GUIAS_NTI/text_es_files/Guia_copiado-conversion-doc-elec-INTERNET.pdf

 

Còpia autèntica Generalitat de cat

 

 

http://www20.gencat.cat/docs/governacio/Butlletins/dgpae/11/documents/e-copia.pdf

 

 

Software

No special software required