The status of appraisal

1
The status of appraisal

• after 15 years of professional discussion
• Karen Anderson
• Mid Sweden University / Edith Cowan University
• (sources on the last three slides)

2
A warning from Richard Cox

• Archival appraisal seems to have drifted into a
  world of confused, conflicting, or complacent
  methods, theories, and practices at least when
  seen by the typical archival practitioner.
• Some archivists in the field embrace specific
  guiding concepts, while others seem to operate
  with little knowledge of changing perspectives
  concerning this archival function.
• Still others desire only simplistic templates for
  making appraisal decisions, explaining the
  continuing popularity of basic manuals and
  textbooks ....

3
Cox

• the real point is that most archivists may not
  systematically conduct appraisal at all and often
  resort to notions like evidential and
  informational, or primary and secondary, values
  simply because they are commonly used and
  accepted within the field.

4
Terry Cook

• The central dilemma for archivists is simply
  this not all records having archival value can
  be kept

5
Terry Cook

• macroappraisal assesses the societal value of
  both the functional-structural context and
  work-place culture in which the records are
  created and used by their creator(s), and the
  interrelationship of citizens, groups,
  organizations the public with that
  functional-structural context (Cook, 2005).

6
The purpose of macro-appraisal

• Archivists seek to understand why records were
  created rather than what they contain, how they
  were created and used by their original users
  rather than how they might be used in the future,
  and what formal functions and mandates of the
  creator they supported (Cook, 1992).

7
Australian recordkeeping authorities

• The National and state archives are now
  recordkeeping authorities rather than collectors
  of old records
• Proactive role dates back to Ian Maclean, the
  first Australian Government Archivist (19441968)
• Archival legislation provides the mandate for
  this role

8
Appraisal in practice in Australia from the
mid-twentieth century

• Practice was influenced by Schellenberg and US
  practice
• In some environments it still is influenced by
  the collector mindset and an attempt to
  identify informational or research value
• Heavily reliant on agencies internal views of
  recordkeeping for their business and
  accountability to government, not archives for
  society

9
Blanket Disposal Authorities

• All records must be kept if they relate to
• Aboriginal people
• Land rights issues
• Stolen children and Aboriginal identity
• The use of asbestos.

10
Cooks 2 parts

• the functional-structural context and work-place
  culture in which the records are created and used
• the interrelationship of citizens, groups,
  organizations the public with that
  functional-structural context

11
Australian functional appraisal tools include

• The development of a records management standard
  AS4390, which informed the development of
  ISO15489
• The DIRKS manual
• Keyword AAA a functional thesaurus for use in
  government agencies
• AGIFT a functional thesaurus for use across
  government
• Excellent guidance for practitioners on
  recordkeeping authorities websites.

12
(No Transcript)
13
Developing theory about functions

• Chris Hurleys work
• 1993What, if anything, is a function?
• 1995 Ambient functions abandoned children to
  zoos

14
NAAs Macro-appraisal Project

• Concern about appraisal driven by the view from
  within individual agencies
• Need for a whole-of-government view
• Developed a paper on macro-appraisal process and
  issues
• Identified a series of indicators for identifying
  the relative importance of government functions

15
Indicators used by NAA

• Annual budget papers
• Annual budget speeches
• Ministerial hierarchy
• Australian Public Affairs Information Service
  (APAIS)
• Parliamentary debates
• Parliamentary committees
• Parliamentary journals database
• Parliamentary media database
• Roy Morgan public opinion polls

16
Consultation

• Published the results of research using the
  indicators
• Consulted and invited comment
• Professional comment on aus-archivists list
• Disappointingly few participants, but
• High quality and depth of comment
• Also discussed by historians in some depth

17
What they learned

• Need to communicate more clearly about
• the aims of macro-appraisal
• What they are not trying to do
• Predicting future use of records
• Future research interests.

18
What they are doing now

• Changed the name of the project
  toWhole-of-government functional appraisal
• Continuing research, but
• What of Cooks second (and crucial) part of
  macro-appraisal, documenting the publics
  interaction with government?

19

• The best archivists can do is to acknowledge
  their position in the social reality in which
  they live, articulate their assumptions and work
  within those documented boundaries (McKemmish,
  Reed Piggott, 2005).

20
Parallel provenance

• Is it possible to reflect alternative views in
  archival description?
• McKemmish et al in Archives Recordkeeping in
  society
• The Children Overboard incident
• Hurleys thinking about parallel provenance
  developed in New Zealand

21
The accountability of archivists

• How do archivists document and account for their
  decisions about what is kept and not kept, what
  is collected or rejected?
• Are these strategies adequate?
• To whom should archivists be accountable?

22
Professional accountability

• Hurley (2005, p.230)
• There is no forum in which archivists are
  accountable for appraisal
• There are no criteria by which their actions
  can be judged

23
Types of Archives in Australia

• Government Archives Records Authorities
• Private archives
• National and State libraries have archival
  collections
• Public libraries have local history collections
• School archives (private schools)
• Business archives

24
The National Archives of Australia the National
Library of Australia

• NAA records of Commonwealth Govt
• agencies records
• Government persons eg MPs and judges.
• NLA collects private archives
• Prominent people, writers, etc.
• Papers of Eddie Mabo (Native Title Act)
• Patrick White, author
• NAA NLA have a collecting agreement for
  archiving websites
• NLAs PANDORA NAAs e-permanence
• Sometimes compete for records of people

25
Collections Council of Australia

• A relatively new initiative
• Focuses on common interests across Museums,
  Libraries and Archives
• Australia has not addressed the idea of total
  archives nor is it on the agenda.
• http//www.collectionscouncil.com.au/

26
Documenting Australian society

• Efforts are poorly coordinated
• National Scholarly Communications Forum convened
  in 1999 Archives in the National Research
  Infrastructure
• Collections Council of Australia 2006 National
  Digital Collections Forum suggested the formation
  of Australasian Digital Archiving Alliance (ADAA)
• Proposal focused on digital preservation,
  curation and e-research infrastructure

27
The Summit identified 9 priority issues

• Capture and preservation of digital material
• Standards / protocols / tools / templates
• Funding / resourcing / sustainability
• Audiences / users / consumers / engagement /
  interactivity
• Interoperability / co-ordination / co-operation
• Skills / capacity building
• Access to collections / education links
• Federal and state government policy / legislation
  
• Content creation

28
Appraisal

• is a professional issue of profound importance
  and complexity.
• It deserves an open, robust and continuing
  debate between all sectors of the profession and
  the community.
• How can we stimulate this debate?

29
Sources

• Collections Council of Australia (2006). Summit
  on digital collections report on outcomes.
  Accessed 07 January, 2007 at http//www.collectio
  nscouncil.com.au/Portals/0/Report20on20Outcomes
  20from20the20Summit20on20Digital20Collections
  .pdf
• Cook, T. (1991 ) Many are called but few are
  chosen. Archivaria, 32. Accessed 03 Jan. 2007
  http//journals.sfu.ca/archivar/index.php/archivar
  ia/article/view/11759/12709
• Cook, T. (1992). Mind over matter Towards a new
  theory of archival appraisal, in B.Craig, ed.,
  The archival imagination, Ottawa Association of
  Canadian Archivists, pp38-70.

30
Sources (continued)

• Cunningham, A. (2005). Some functions are more
  equal than others the National Archives
  macro-appraisal project. Accessed 06 January,
  2007 at http//www.naa.gov.au/recordkeeping/rkpubs
  /papers/cunninghamjul05.pdf
• Cunningham, A. (2005). Some functions are more
  equal than others the development of a
  macroappraisal strategy for the National Archives
  of Australia. Archival Science 5(2-3).
• Hurley, C. (1993). What, if anything, is a
  function? First published in Archives and
  manuscripts, 21(2). Accessed 07 January, 2007 at
  http//www.sims.monash.edu.au/research/rcrg/public
  ations/whatif.html

31
Sources (continued)

• Hurley, C. (1995) Ambient functions Abandoned
  children to zoos. First published in Archivaria,
  40 (Fall). Accessed 07 January, 2007 at
  http//www.sims.monash.edu.au/research/rcrg/public
  ations/ambientf.htm
• Hurley, C. (2005). Recordkeeping and
  accountability, in S. McKemmish, B. Reed, M.
  Piggott and F. Upward (eds), Archives
  Recordkeeping in society, Wagga Wagga Charles
  Sturt University, Centre for Information Studies.
• McKemmish, S., Reed, B. and Piggott, M. (2005).
  The archives, in Archives Recordkeeping in
  society, edited by S. McKemmish, B. Reed, M.
  Piggott and F. Upward. Wagga Wagga Charles Sturt
  University, Centre for Information Studies.
• National Archives of Australia. Appraisal.
  Accessed 07 January, 2007 at http//www.naa.gov.a
  u/recordkeeping/disposal/appraisal/intro.html
• National Archives of Australia. Managing business
  information DIRKS. Accessed 07 January, 2007
  at http//www.naa.gov.au/recordkeeping/dirks/summ
  ary.html
• National Archives of Australia. (2003). Why
  records are kept Directions in appraisal.
  Accessed 07 January, 2007 at http//www.naa.gov.a
  u/recordkeeping/disposal/why_keep/summary.html