Home Introduction A: An Introduction to Historic Environment Records B: How do you manage an Historic Environment Record? C: Recording Practice Guidelines D: How do you compile, maintain and enhance an HER?
E: Geographic Information Systems (GIS), mapping and spatial data F: Access to the HER G: Glossary and list of abbreviations H: Bibliography I: Useful websites J: Useful addresses

B How do you manage an Historic Environment Record?

 

Part B of the manual provides an introduction to the management policies and systems which constitute the framework in which the day to day operations of an HER take place

 

B.1 Managing the HER

B.2 Forward planning for HERs

B.3 Staff training and continuing professional development

B.4 Defining the HER

B.5 Information systems

B.6 Data standards for the Historic Environment

B.7 Management of data standards - FISH

B.8  Managing HER information systems

B.9 lntranets and the internet

B.10 Managing HER collections

B.11 Disaster planning

Contributors: Kenneth Aitchison, Tony Austin, Alison Bennett, Victoria Bryant, Kieran Byrne, Phil Carlisle, Dominique de Moulins, Kate Fernie, Catherine Hardman, Bob Hook, William Kilbride, Neil Lang, Edmund Lee, and Martin Newman.

 

 

B.1 Managing the HER

 

Although there are variations in local arrangements, each HER provides an information management service within a larger organization. Every HER has information assets, in its databases and references collections, and each provides services to users. All HERs have resources in their staff, equipment and the finances that support information services. These all need good management, particularly as resources are scarce and HER managers are increasingly being asked to demonstrate the efficiency and effectiveness of their services in competition with others.

 

Managing an HER is like running a small business in which HER managers are asked to promote the value of their services and prioritise the allocation of scarce resources to meet competing demands. Time will always be limited and the purpose of this section of the manual is to provide guidelines on planning and management issues common to all HERs, which are described below.

 

Policy and Planning

Policy and planning documents help HER managers to get the most out of limited resources and provide a framework for making decisions in a rapidly changing world. The importance of such documents is recognised by their use as measures of HER performance in Historic Environment Records: Benchmarks for Good Practice (Chitty 2002). The policy documents defined in this document as 1st stage performance indicators are:-

 

·         Information services policy (1.1 - 1.2). This explains why the record is maintained, who it aims to serve and how users can access the data.

·         Information policy (2.1 - 2.3). This outlines the scope, geographical coverage and content of the information available and a disposals policy for transfer of primary archives.

·         Recording Manual (3.1 - 3.4). This explains how data is captured and how it is recorded to provide quality assurance and includes guides and an index to supporting reference collections.

·         Security policy (3.5, 3.8). This deals with strategies for appropriate archiving of digital and non-digital material as well as the preparation of a risk assessment and disaster plan.

·         Forward Plan (3.6, 3.7). An ongoing assessment of the quality of data and a prioritised programme of update and enhancement requirements.

 

Staff training and continuous professional development

Retaining appropriately qualified staff to run the HER is essential for providing high quality information and advisory services. Management activities in this area include seeking additional staff resources (for projects or to increase the core complement) and preparing a training and development plan for existing staff members. The preparation of a Recording Manual will facilitate staff training and professional development.

 

Content

The information contained in HERs is continually developing. Management activities in this area include planning programmes of information capture in line with the HER's Recording Policy, local or regional research frameworks and national data standards. HER managers will be monitoring and validating input to the HER database and, if appropriate, the GIS and the cataloguing and storage of HER collections. They are also likely to be working with planning archaeologists to develop proformas for digital data to be included in briefs and developing licenses for material deposited with the HER. Increasingly they will be working with systems designed to facilitate information flow between archaeological organisations (for example OASIS see B.5.4, C.7.3). Managing data standards and the wordlists or thesauri in use in the HER and contributing to national standards working parties is another important aspect of this work.

 

Information technology

The speed of new developments in information technology (IT) means that in many places computer hardware and software is on a 3 to 5 year replacement cycle. HER managers need to work within any corporate IT policies to plan for the replacement of hardware such as PCs and for the migration of data into new information systems. HER managers need to be aware of the range of software their corporate IT department are prepared to support when assessing the potential of new information systems as part of their Forward Plan. A day-to-day aspect of their work will be backing up the HER's computer systems and making sure that the Security Policy contains a strategy to restore services in the event of a range of potential problems.

 

Access and services

Services offered by HERs, both internally and to the public, are likely to be kept under review by local authorities or parent organisations. Because of this an important aspect of the work of an HER manager is putting procedures in place to log the number and type of enquiries to the HER, monitor user satisfaction and survey user needs as outlined in the Information services policy. Government initiatives have highlighted the need to increase access to HERs (refs; see Section F). HER managers should be involved in planning to improve and develop the information services offered. HER managers should also be involved in preparing bids for funding to the Heritage Lottery Fund or other funding sources to improve access and services.

 

Useful web sites

OASIS http://ads.ahds.ac.uk/project/oasis/

ALGAO/EH Historic Environment Records: Benchmarks for Good Practice  http://www.jiscmail.ac.uk/files/HERFORUM/

 

 

B.2 Forward planning for HERs

B.2.1 Assessing performance B.2.2 How can forward plans help? B.2.3 What should be included in a forward plan? B.2.4 The forward-planning process B.2.5 Presenting the plan B.2.6 Monitoring progress and reviewing the plan

 

All HERs change continuously, as the needs of last year are often not those of today, and tomorrow will be different again. There may be changes in the local management structure, opportunities for partnerships, projects or funding or developments in information technology and standards. Discoveries about the local historic environment will also bring new work programmes.

 

Preparing a forward plan helps HERs, large or small, to take stock, to understand the needs of their service and visualise plans for the future. It is an opportunity to discuss plans with management and gain approval from local councillors or governing bodies. This is particularly important now that there is increasing pressure from government for HERs to change and develop their research, education and outreach functions. The forward plan may need to integrate with wider serviced and strategic plans within the local authority, especially if it is to be distributed to councillors or senior management.

Forward plans help HERs to achieve value for money in improving the management of information resources and the quality of services offered. They also help to monitor progress and demonstrate achievement.

 

 

B.2.1 Assessing performance

Forward plans should take into account national performance targets and standards.

 

Most HERs are based in local authorities and are assessed by the Audit Commission in the same way as other local authority services. Best Value Performance Indicators (BVPI) were first introduced in 2000/01. Since then the framework, within which local government performance is assessed and measured, has developed. Because of this, BVPIs are now undergoing a fundamental review and current standards are likely to change.

 

In addition to monitoring Best Value the Audit Commission require local authorities to undertake Regular Performance Assessments (RPA) as part of an ongoing Continuous Performance Assessment (CPA). These recognise that the focus and priorities in service delivery are not the same everywhere and state that as well as BVPIs, professional benchmarks (Chitty 2002) and/or other frameworks, for example the Regional Research Frameworks where appropriate, should be used.

 

Useful websites

Best Value: http://www.communities.gov.uk/index.asp?id=1137624

 

Continuous Performance Assessment (CPA):

 http://www.audit-commission.gov.uk/localgovernment/index.asp?CategoryID=english^576&page=index.asp&area=hpsector

http://www.audit-commission.gov.uk/cpa/

 

Wales

In Wales the four HERs are owned and managed by the Welsh Archaeological Trusts (WATs). The WATs are independent charitable trusts, part funded by the Welsh Assembly Government to provide regional archaeological services. Some additional financial support is provided by a number of the local authorities. The Royal Commission on the Ancient and Historical Monuments of Wales (RCAHMW) provides task specific grant aid for maintaining and enhancing the records, while funding to support public enquiries is provided by Cadw. Cadw and RCAHMW monitor the provision of archaeological services on behalf of the Welsh Assembly Government. The HER Benchmarks (Chitty 2002) are being adopted for use in Wales.

 

Scotland

In Scotland local authorities are subject to best value review but no specific best value performance indicators have been developed for application to HERs.

 

 

B.2.2 How can forward plans help?

Forward plans help HERs to set out realistic programmes that reflect local priorities and also establish their own performance and efficiency targets. They also provide:

 

·         A sense of purpose: forward planning encourages management and staff to establish a shared statement of purpose that can be used to present the HER and its services to the outside world. Forward plans help others to understand the HER's priorities and goals.

 

·         A sense of direction: setting objectives that address needs identified by the HER helps to give a sense of direction. Work and resources can be planned and everyone can see how individual tasks help to achieve longer-term goals.

 

·         A sense of achievement: reviewing the HERs achievements each year against its own objectives is one of the benefits of forward planning. Just as performance can be measured, so achievements can be reported.

 

·         Managing change: introducing new procedures, technology or projects all involve commitment of staff time and resources. HERs can not afford to make mistakes or run out of resources or enthusiasm.

 

Preparing an action plan enables managers to assess the timescale, costs, methods, equipment, materials and staff required to introduce change successfully. Such plans assist when bidding for resources from local authorities, national agencies and other funding agencies. They also allow you to respond quickly and confidently when funds are made available at short notice (for example at the end of the financial year).

 

 

B.2.3 What should be included in a forward plan?

A forward plan is the end product of a process that should:

 

·         Agree a mission statement that clearly states the HER's aims.

·         Develop a future strategy for the HER based on these aims.

·         Be aware of regional or national research frameworks and reference them where appropriate.

·         Produce an objective assessment of the HER's strengths, weaknesses, any current shortcomings and any challenges ahead.

·         Identify areas which need improved management or increased resources.

·         Set work objectives for programme areas which help the HER to achieve its strategic aims over the period of the plan.

·         Identify performance indicators against which achievements can be measured. Such indicators are normally qualitative, quantitative or time related.

·         Identify any new developments or changes that require new resources or training.

·         Set out realistic timetables and costings for programmes of work identifying methods, equipment, materials and staff resources required.

 

The completed forward plan should be carefully thought out and appropriate to the HER's needs. It should be approved and actively supported by both the HER's parent authority and staff working in or with the service.

 

 

B.2.4 The forward-planning process

The process of preparing a forward plan can be divided into stages:

 

Taking stock

Take time to gain a thorough understanding of the HER's current strength or weaknesses. The Historic Environment Records: Benchmarks for Good Practice (Chitty 2002) suggests standards which all HER's should be working towards. How does your service compare against these benchmarks and other HERs? What factors have influenced services in the past? Are there any current requirements and needs?

 

List all activities or projects that are currently identified. Ask yourself why they are included in your programme and how important they are to present needs. Panel 2 gives a self assessment checklist of standards for HER services based on the recommendations included in David Baker’s ‘SMR Assessment Report’ (Baker 1999a).

 

The EH sponsored HER Audits provide a method to take stock of an HER’s resources (see later in this section).

 

Consult widely

For the plan to work it must have the support of both staff and management. Consult colleagues and give interested parties an opportunity to contribute, particularly where goals are shared with other departments, for example, extending public access to the HER may involve libraries or museums. Discuss plans with other HERs and take advantage of their experiences. Regional Research Frameworks, where they exist, provide a useful insight into the aspirations of the heritage community in the area and should be considered. Consult the appropriate national agencies, especially if you aim to include a nationally funded project in your programme.

 

Drafting the plan

On the basis of managers knowledge of the HER, the results of the self-assessment process and documents such as the Benchmarks for Good Practice (Chitty 2002) write down your vision for the future. You should be realistic and separate out achievable elements that most effectively deliver the HER's mission.

 

Break down your vision into programme areas and projects and identify resources required to deliver them.

 

Prioritise

Tasks must be prioritised.  Generally those tasks which help to meet HER benchmarks or support current services should be tackled first, but be aware that factors such as changes in funding may result in a need to change priorities at short notice. Different funding sources can be targeted for specific aspects or types of work. Be flexible.

 

Choose the best approach

Do not assume that things always have to be done in the same way. New techniques may become available or requirements might change. This manual offers guidelines for HER working practices and may suggest some ideas that may be new to your HER. Each HER needs to work out its own detailed procedures to complete its work programmes.

 

Be realistic

Set goals and objectives that the HER can aim to achieve over a 3 to 5 year period. It is no good trying to create fully detailed monument records from a major compilation backlog if, for example the HER is not MIDAS compliant (Lee 1998) and staff resources are not in place.

 

The plan must include an assessment of the resources required and a strategy to put these in place. If the resources are unattainable, the plan must be revised. Think laterally about seeking funding, for instance, working with local groups to apply for Local Heritage Initiative and other lottery funded grants.

 

 

 

 

Set short-term goals

It is a good idea to set short-term goals and identify milestones against which achievements can be measured. This helps to maintain staff morale and provides useful information for promoting the HER within your service.

 

Consider any risks

Assess any risks involved in implementing your forward plan, particularly when making changes to current work practices or introducing new technology. Identifying risks means that you can plan additional measures to limit the likelihood of their occurrence. It is less risky to try to move forward than to stand still. 

 

HER Audits

To assist in forward planning and benchmark compliance the NMR of English Heritage runs a programme of HER Audits. Audits are wide ranging and assess all parts of the HER including: content, compliance with standards, IT (hardware and software) resources (financial and staffing), usage (internal and external) and backlogs. The audit process is as follows:

1.      HER contacts the NMR expressing interest in conducting an Audit.

2.      The NMR sends out the latest version of the Audit Specification.

3.      The HER writes to the NMR requesting a grant to cover 50 per cent of the cost up to £1,500 and submits a brief project plan consisting of a timetable for data gathering and report writing with resources allocated.

4.      The NMR pays a grant to the HER.

5.      The HER carries out the audit, discussing progress with the NMR at agreed monitoring points and writes a report which it submits to the NMR.

6.      The NMR comments on the report.

7.      An optional post-audit meeting to discuss the recommendations and how they can be implemented takes place between the HER and the NMR.

8.      Progress against the recommendations are assessed.

9.      The Audit is reassessed after 5 years.

 

As well as assisting an HER in assessing itself against the benchmarks carrying out an audit itself satisfies benchmark 3.6.

 

There is no equivalent process in Scotland or Wales although Scotland’s Historic Environment Audit is currently in progress.  This will identify issues relevant to the health of the historic environment and the impact of resources used to manage and protect it.  It is intended that the resulting document will be used to inform policy for Local Authorities as well as Historic Scotland, see http://www.heritageaudit.org.uk/ for details.

 

 

B.2.5 Presenting the plan

The forward plan should be presented to local councillors or the HER's governing body for approval. Members may already be aware that the document is being prepared and the plan may be presented as a final draft or as a finished document.

 

Presenting the plan is a way of gaining support for the HER and for the programmes of work that you have proposed.

B.2.6 Monitoring progress and reviewing the plan

Your forward plan will establish objectives and performance indicators for the HER. Each year, the HER's performance will be monitored and achievements measured against the objectives set the previous year. Report your achievements to management and to either local councillors or the HER's governing body.

 

Progress against your forward plan should be kept under regular review. This is likely to happen at the end of each quarter. Reviewing the plan and progress against planned objectives highlights issues, unexpected changes in circumstances or new opportunities to be identified. The plan needs to be modified, but making changes does not invalidate the process; in fact having a forward plan should help reasoned decisions to be made and the unexpected managed.

 

Forward plans normally cover a 3 to 5 year period and are more detailed for the first year than for subsequent years. Such plans should be formally reviewed every year; this is likely to precede the annual budget round.

 

Useful websites

England Regional Research frameworks

Eastern of England   http://www.eaareports.demon.co.uk/research_framework.htm

East Midlands http://www.le.ac.uk/archaeology/research/projects/eastmidsfw/index.html

North East:  http://www.durham.gov.uk/durhamcc/usp.nsf/pws/Archaeology+2001+-+Archaeology+Regional+Research+Framework

West Midlands: http://www.arch-ant.bham.ac.uk/research/fieldwork_research_themes/projects/wmrrfa/index.htm

 

Wales:

 http://www.cpat.org.uk/research/index.htm

 

Panel 2: A self-assessment checklist of standards for HER services

 

B.3 Staff training and continuing professional development

 

B.3.1 The principles behind continuing professional development B.3.2 Undertaking continuing professional development B.3.3 Training in archaeology B.3.4 The Institute of Field Archaeologists (IFA)
B.3.5 Training in building conservation B.3.6 The Institute of Historic Building Conservation (IHBC) B.3.7 Other relevant organisations B.3.8 Training and CPD in HERs

 

Continuing professional development (CPD) has been defined (after the Engineering Council) as:

‘The systematic maintenance and improvement of knowledge, skills and competence throughout a professional’s working life and the process by which a professional person maintains the quality and relevance of the professional services they provide during their working life.’

 

Training is something that contributes to CPD; it refers to the design, provision or organization of events which provide a structured learning experience which can form a part of an individual’s CPD programme.

As a principle, CPD refers to the need of all historic environment professionals to keep up to date and to extend our knowledge and expertise. This is essential to the development of the academic disciplines and practical methodologies of historic environment professional practice, to enhancing society’s understanding of its past and to maintaining our standards in the use and care of a vulnerable, valuable resource.

As a process, CPD describes a structure through which each of us can identify the underpinning knowledge and skills necessary to maintain or develop our expertise and further our careers, within existing roles or in seeking or taking on new responsibilities. The structure enables us to select the ways by which we acquire that knowledge and those skills, and to commit to this learning. Further, it provides us with a means of articulating to others our learning needs in order to seek, and obtain, the support we may need in our commitment.

It is relevant to all practitioners, in all sectors of the historic environment professional community, no matter what their seniority or specialization may be.

The utility and success of CPD is largely dependent upon the depth of our individual commitment to learning and the degree of responsibility to ourselves and the profession that we are each willing to accept.

 

 

B.3.1 The principles behind continuing professional development

Continuing professional development (CPD) and life-long learning are concepts central to modern professional practice.

The principles of CPD are supported by government, employers and professional bodies and as a result increasing attention is being given to staff development, with the aim of creating a climate of continuous improvement in service delivery.  An organization’s performance is improved by linking training and development to planned, well-communicated service objectives.  Everyone is encouraged and developed to make the best possible contribution to achieving the organization’s goals.

The objectives of individual members of staff should be integrated into a training strategy for the service as a whole.  A starting point for this strategy would be an assessment of the skills and knowledge required for the service to fulfill its objectives, and also those needed by specific members of staff.  This assessment can then be used to help 'benchmark' the current level of expertise and to prepare a strategy for developing staff, and also consider methods of obtaining training through internal or external courses and workshops.

A methodology, with supporting case study, for undertaking a skills audit within a historic environment organization has been published by the Cultural Heritage National Training Organisation (now part of Creative and Cultural Skills) at

http://www.chnto.co.uk/development/archaeologyCaseStudies/archaeologyFoundationsCS/whowhat.php

 

B.3.2 Undertaking continuing professional development

CPD is structured upon the use of two career development tools, the Personal Development Plan and the CPD Log.

The Personal Development Plan (PDP) is a key part of quality assurance in the training process. This should document targeted career objectives which are ‘SMART’ - specific, measurable, achievable, realistic and time bound, and identify the training required to support this career development. This document belongs to the individual, but its preparation should be discussed and ideally agreed with the individual’s line manager to ensure that the individual’s professional development meshes with the skills needs of the organization. The actual document may be a short or long term plan, depending on what is most useful.

The personal development plan is supported by a second document, the Continuing Professional Development (CPD) Log. It is important to track closely the achievement of learning goals, in order to record and reflect on learning. The CPD Log is an on-going record of achieved training or career objectives. It provides an ordered documentary record of steps undertaken to achieve personal development goals, the time investment, the means, the achieved progress, and any follow up.

These two documents, the PDP and CPD log are directly linked. Working together they produce a dynamic process: CPD achievements refer back to the aims in the PDP, the PDP evolves as existing objectives are accomplished and new ones added. The format is not rigid, retrospective changes may be applied to the PDP in the light of unexpected learning opportunities. These documents allow and promote a pro-active approach to personal development on the part of the practitioner. They encourage and enable the formalization and articulation of learning goals, objectives and progress towards them. They offer a portable record of personal investment in development.

The PDP and the CPD log belong to the individual practitioner, their mentor or manager may use them to identify and evaluate training needs, but ownership stays with the individual.  This sense of ownership is important, as it helps to motivate the individual in setting personal goals which contribute to the overall development of the organization’s skills base.

 

 

B.3.3 Training in archaeology

A number of bodies are engaged in the active promotion of training across the professions and specialisms working with the historic environment.

 

The Archaeology Training Forum

Since 1998, the Archaeology Training Forum (ATF) and its member organisations have taken forward a co-ordinated programme to develop training and a framework for professional qualification in archaeology.  The ATF is a delegate body which represents all those organisations which have an interest in the issues of training and career development in archaeology.  It was constituted in 1998 to review the present provision of training in archaeology and to co-ordinate future strategies to meet the profession's training needs.  The ATF exists to:

·         keep current training provision by member bodies and others under review

·         seek to ensure that funding for training from whatever source is distributed according to need within a framework of priorities

·         work towards the alignment of existing and proposed training sessions and units, sponsored or run by bodies represented, into a series of related programmes accessible to all members of the profession and to interested amateurs

·         work towards agreement on the validation of training units and their integration within a widely accepted professional career structure.

The ATF is concerned to promote solutions to current training issues in the profession and to engender action to ensure that future needs are met.  To do so it works with academic and professional partners to promote a range of training to meet the needs of the profession and to co-ordinate strategies to fill any perceived gaps.