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
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
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.
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/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.
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
B.3 Staff training and
continuing professional development
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.
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.