This version of the course guide is provisional until the period for editing the new course guides ends.

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Appraisal and Process Engineering

Code: 45545 ECTS Credits: 6
2025/2026
Degree Type Year
Archival Studies and Information Governance OB 1

Contact

Name:
Anahi Cristina Casadesus De Mingo
Email:
anahi.casadesus@uab.cat

Teachers

J. Rafel Roig Subirats

Teaching groups languages

You can view this information at the end of this document.


Prerequisites

None.


Objectives and Contextualisation

There are two different formative lines: appraisal (L1) and process engineering (L2). These are the objectives:

L1. Appraisal

  • Introduce the tecnniques for appraisal to students.
  • Bring students practical experiences for them to implement appraisal in any organization.

L2. Process engineering

  • Introduce students to process engineering techniques and tools in conjunction with document and data management.
  • Bring students reference experiences in process engineering.
  • Provide students with the necessary practical knowledge to be able to participate in process engineering.

Learning Outcomes

  1. CA13 (Competence) Systematise the administrative and work processes, procedures and circuits of an organisation based on documentary and context analysis.
  2. CA14 (Competence) Revise and improve the specific administrative circuits and documentary requirements of an organisation.
  3. CA15 (Competence) Detect documentary risks in an organisation's information management.
  4. KA21 (Knowledge) Recognise business functions and procedures to determine the documentary requirements, needs and risks of organisations.
  5. KA22 (Knowledge) Identify analysis methodologies and techniques for the design and improvement of administrative production and documentary circuits.
  6. KA23 (Knowledge) Interpret procedure manuals, work protocols, flow diagrams, general circuit diagrams and documentary paths.
  7. SA15 (Skill) Apply methods to guarantee the authenticity, integrity, reliability and usability of documents based on the analysis of administrative circuits.
  8. SA16 (Skill) Apply document management standards to documentary analysis in organisations.
  9. SA17 (Skill) Analyse administrative processes and circuits and work procedures in organisations.

Content

There are two different formative lines: appraisal (L1) and process engineering (L2).

L1. Appraisal

  1. Introduction to appraisal
  2. Requirements, risks and appraisal for managing records
  3. Deming cycle or PDCA
  4. Records management processes and controls
  5. Appraisal process

L2. Process engineering

  1. Introduction to process engineering.
  2. Process diagramming.
  3. Intersection of the catalog of processes anc activities with the process engineering.
  4. Application of the documentary, technological, data and indicator management model to process engineering.
  5. Practical cases.

Activities and Methodology

Title Hours ECTS Learning Outcomes
Type: Directed      
Class 42 1.68 CA13, CA14, CA15, KA21, KA22, KA23, SA15, SA16, SA17, CA13
Type: Supervised      
Practical exercises 36 1.44 CA13, CA14, CA15, KA21, KA22, KA23, SA15, SA16, SA17, CA13
Type: Autonomous      
Readings 25 1 CA13, CA14, CA15, KA21, KA22, KA23, SA15, SA16, SA17, CA13

A detailed schedule outlining the content of each session will be presented on the first day of the course and will be available on the course’s Virtual Campus, where students will find all teaching materials and necessary information for eƯective course monitoring. Should the teaching modality change for reasons of force majeure according to the competent authorities, the teaching staƯ will inform students of any modifications to the course schedule and teaching methodologies.

For this course, the use of Artificial Intelligence (AI) technologies is permitted exclusively for bibliographic or information searches, text correction, or translations. Students must clearly identify any parts generated with these technologies, specify the tools used, and include a critical reflection on how AI has influenced the process and final outcome of the assignment. Failure to disclose the use of AI in this assessed activity will be considered a breach of academic integrity and may result in a partial or total penalty to the assignment grade, or more serious sanctions in severe cases.

 

Note: The course content will be sensitive to issues related to gender perspective and the use of inclusive language.

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.


Assessment

Continous Assessment Activities

Title Weighting Hours ECTS Learning Outcomes
Case studies 30% 10 0.4 CA15, KA21, SA15, SA16
Class presentation 10% 2 0.08 CA13, CA14, CA15, KA21, KA22, KA23, SA15, SA16, SA17
Engineering a procedure chosen by the student 50% 35 1.4 CA13, CA14, KA22, KA23, SA15, SA17
Punctuality 10% 0 0 CA13, CA14, CA15, KA21, KA22, KA23, SA15, SA16, SA17

Assessment is continuous. Single assessment is not considered.

There are two different formative lines: appraisal (L1) and process engineering (L2). The continuous evaluation and recovery activities are specified below:

L1. Appraisal

  • In case of failure, it is mandatory to develop a theoretical-practical work in the field of study, to be decided by the professor.

L2. Process engineering

  • For a better acquisition of knowledge, the evaluable practice consisting in the engineering of a process chosed by the student, will be carried out progressively according to the explanations and the practical cases analyzed in classes
  • There are partial deliveries. These are not mandatory but recommended since a theoretical-practical follow-up of the subject will allow the acquisition of knowledge to be adequately achieved. They will be taken into account in the final assessment of the practical activity.
  • The students will present their practice in class so that the correction and the debate generated will enrich the knowledge of the group.
  • Alternatively, the student can submit all the practice at the end of the subject without directly applying punctuality percentage of the grade.
  • In case of failure, the student must choose another procedure and perform its engineering. This activity must be done individually.

Bibliography

L1. Appraisal

  • AENOR. UNE-ISO/TR 18128 IN. Información y documentación. Apreciación del riesgo en procesos y sistemas de gestión documental. AENOR.
  • AENOR. UNE-ISO 15489-1. Información y documentación. Gestión de documentos. Parte 1: Conceptos y principios. AENOR.
  • AENOR. UNE-ISO/TR 26122 IN. Información y documentación. Análisis de los procesos de trabajo para la gestión de documentos.
  • AENOR. UNE-ISO 30300. Información y documentación. Sistemas de gestión para los documentos. Fundamentos y vocabulario. AENOR.
  • AENOR. UNE-ISO 30301. Información y documentación. Sistemas de gestión para los documentos. Requisitos. AENOR.
  • AENOR. UNE-ISO 30302. Información y documentación. Sistemas de gestión para los documentos. Guía de implantación. AENOR.
  • ARMA International. (n.d.). Evaluating and Mitigating Records and Information Risks.
  • ARMA International. (2014). Generally Accepted Recordkeeping Principles, 1–10. Retrieved from http://www.arma.org/r2/generally-accepted-br-recordkeeping-principles
  • Brito Marquina, A. (2015). La normalización como elemento de competitividad y de potencial exportador. Economía Industrial (EI), 396, 33–42.
  • Bustelo Ruesta, C. (2009). La Gestión de documentos y las evidencias en las organizaciones. Del plano operativo al plano estratégico: una propuesta desde la normalización. Revista Española de Documentación Científica, 32(4), 157–161.
  • Casadesús de Mingo, A. (2015). Gestión de riesgos aplicada a la gestión de documentos: una metodología para garantizaruna rendición de cuentas confiable. I Xornadas Fundación Olga Gallego, 1(1), 119–135.
  • Casadesús de Mingo, A. (2017). La normalización en gestión documental más allá de los clásicos, 1–13.
  • Dikopoulou, A., & Mihiotis, A. (2012). The contribution of records management to good governance. The TQM Journal, 24(2), 123–141. https://doi.org/10.1108/17542731211215071
  • Hofman, H. (2006). Standards: Not “One Size Fits All”. The Information Management Journal, 40.3(June). https://doi.org/10.1080/19496591.2015.1067224
  • Lemieux, V. (2004). Managing Risks for Records and Information. Lenexa, Kansas: ARMA International.
  • Núñez Fernández, E. (2007). Archivos y normas ISO. Gijón: Ediciones Trea.
  • Oliver, G. (2007). Implementing international standards: first, know your organisation. Records Management Journal, 17(2), 82–93. https://doi.org/10.1108/09565690710757887
  • Swan, K., Adrian Cunningham, Robertson, A., & Cunningham, A. (2002). Establishing a high standard for electronic records management within the Australian public sector. Records Management Journal, 12(3), 79–86. https://doi.org/10.1108/09565690210454761

L2. Process engineering

  • Guidelines for the improvement and simplification of the processes of the Administration of the Generalitat de Catalunya – Module II. Analysis and simplification of processes, version 1 published in February 2012.
  • Manual for Administrative Simplification and Burden Reduction for the General State Administration, published in September 2014.
  • Manual of administrative simplification and streamlining of procedures of the Junta de Andalucía. Published by Ministry of Justice and Public Administration. Edition date: January 2010.
  • Administrative circuits, design and improvement. Simplification and efficiency for e-Administration. Antoni Puig-Pey / Pere Guiu / Helena Agramunt.Association of Archivers and Managers of Valencian Documents & Tiravol
  • ISO9001 Process Management.
  • Management by processes and operational risk. Jose Manuel Pardo Alvarez. AENOR Editions.
  • Administrative simplification guide. (2020). Castilla and leon meeting.
  • Guide for the implementation of the simplification of administrative procedures (2015). EUDEL.
  • Guiu, P. J., Puig-Pey, A., Fontanet, M., Mauri, A., & Perpinyà, R. (2013). Simplification of the administration and redrafting of administrative files to unify procedures, standardize documentation and reduce information contingents. (E. d. Catalunya, Ed.)
  • Administrative rationalization and simplification manual. (2015). Castilla la Mancha.
  • Manual of administrative simplification of the Principality of Asturias. (2017). Asturian Institute of Public Administration.
  • Manual of administrative simplification and streamlining of procedures of the Junta de Andalucía. (2010). Junta de Andalucía.

Software

L2. Process engineering

1. Bizagi: https://www.bizagi.com/es
2. Draw.io: https://app.diagrams.net/
3. Microsoft Visio: https://www.microsoft.com/es-es/microsoft-365/visio/flowchart-software
4. Smart draw: https://www.smartdraw.com/

 


Groups and Languages