ICA Bibliography on Appraisal Draft, Prepared by ICA Committee on Appraisal (ICA/CAP


BIBLIOGRAPHY ON APPRAISAL Prepared by the ICA Committee on Appraisal January 2004 draft Updated by Markku Leppänen 12 April 2004 BIBLIOGRAPHICAL NOTES ON ARCHIVAL PERIODICALS MENTIONED IN THE LIST : The American Archivist. Published Quarterly by the Society of American Archivists. ISSN 0360-9081 Archivalische Zeitschrift. (Germany) Generaldirektion der staatlichen Archive Bayerns.

Der Archivar. Mitteilungsblatt für deutsches Archivwesen. Herausgegeben vom Nordrhein-Westfälischen Hauptstaatsarchiv. Düsseldorf. (Germany) Archivaria. The Journal of the Association of Canadian Archivists. ISSN 0318-6954. Janus. Revue Archivistique – Archival Review. International Council on Archives – Conseil International des Archives. ISSN 0254-7939.

ALEXANDER, Philip N and SAMUELS, Helen W, ‘The Roots of 128: A Hypothetical Documentation Strategy’ American Archivist 50 (Fall 1987), pp. 518-531. Documentation strategies have been proposed as a means to respond to the problems of modern records through planned and coordinated collecting activities. The strategies are conveniently defined around some issues, activity, or area, and may be focused on a manageable topic within appropriate geographical and chronological boundaries. A documentation strategy for Route 128 - the high technology phenomenon in Massachusetts - is offered here as a hypothetical case study. The proposed course of action could be used to address the problems posed by Route 128, or simulated with appropriate modifications to address other documentary problems. (American Archivist) (1. Research Associate, Massachusetts Institute of Technology ; 2. Institute Archivist, Head of Special Collections, MIT libraries) AMERICAN Institute of Physics, Study of Multi-Institutional Collaborations, 1992. Available online at : http://www.aip.org/history/pubslst.htm#collabs In the early 1990s, the Center for History of Physics of the American Institute of Physics (AIP) conducted an investigation to identify patterns of scientific collaborations, define the scope of the documentation problems, field-test possible solutions, and recommend future actions. They felt that only by understanding how these collaborations occurred could they design appropriate appraisal regimes for the records of the work. The investigation


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focused on the scientific study of high-energy physics. (CF) AN, Dr Xiaomi ‘Appraisal of Architectural Archives in China: A critique’ Records Management Bulletin, Volume 110, October 2002, pp25-30. Available online at: http://www.caldeson.com/RIMOS/xanaaac.html This paper describes and defines what is meant by architectural archives and the practice of appraisal in China It then goes on to analyse existing approaches and criteria for the appraisal of architectural archives in China. (CF) ANTHONY, Joanne ‘Political Archives: Defining key issues in a significant private records arena’ Archives and Manuscripts, Volume 31, Number 1, May 2003, pp 25-50. Using the case study of an Australian political archives project, the author attempts to identify some of the key issues associated with the appraisal of the records of political parties. (CF) ARCHIVES Nationales du Québec, Archival Standards and Procedures of the Archives Nationales du Québec. 4th edition, revised, Québec, 1992. (ISBN 2-550-26513-0) This manual is the result of a significant broadening of the mandate of the Archives Nationales du Québec through the adoption of the Archives Act in late 1983. The purpose of these standards, in addition to providing a common language, is to facilitate the intellectual and administrative control of acquisition and transfers, to ensure that only information of historical value reaches the Archives, to help users to better grasp the different facets of a fonds or collection and to protect the documents from deterioration resulting from ignorance or negligence. (Markku Leppänen) ARCHIVES School of Marburg, Archives www.uni-marburg.de/archivschule/fv14.html Bibliography, 1998. Available online at:

BAILEY, Catherine, ‘From the Top Down: the Practice of Macro-Appraisal’ Archivaria 43 (Spring 1997), pp. 89 - 128. This article examines the application of the macro-appraisal model, which has been practised at the National Archives of Canada since 1991. After a conceptual review of the theory behind documentation strategy and the macro-appraisal model, the article outlines the National Archives' "planned approach" to the macro-appraisal of records of the Canadian federal government. Through a detailed analysis of four appraisals in the field of health and social welfare, a number of strengths and weaknesses of the macro-appraisal model are discussed. Cet article traite du modèle de tri à grande échelle utilisé aux Archives nationales du Canada depuis 1991. Après un examen des concepts de la théorie supportant la stratégie documentaire et le modèle de tri archivistique à grande échelle, l'article présente l'approche planifiée des Archives nationales pour trier à grande échelle les archives du Gouvernement du Canada. Les forces et faiblesses du modèle sont discutées à l'aide d'une analyse détaillée de quatre projets de tri à grande échelle réalisées dans le domaine de la santé et des services sociaux. (Archivaria) (Bailey is an Archivist responsible for Health and Welfare Records in Government Archives Division, National Archives of Canada)


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BEARMAN, David, ‘Archival Strategies’ American Archivist 58 (Fall 1995), pp. 380-413. In 1989, David Bearman published an essay entitled Archival Methods, in which he argued that traditional methods in archives for appraisal, description, preservation, and access to records would fail to meet already identified archival needs because the extent of known demands exceeded the capacity of the profession by more than an order of magnitude in each case. In response to a shortfall of this degree, he argued, the profession needed to invent new approaches or redefine its problems. In this paper, Bearman defines strategic approaches to achieving the archival mission given that assessment of our requirements and methods. He then reviews some efforts that have been made in archives worldwide in recent years to redefine archival methods along these lines. Finally he suggests some radical strategies as yet untried that could also contribute, along with those being tested now, to a revolution in archival methods. (American Archivist) (Bearman is the President of Archives & Museum Informatics, a pittsburgh-based Consulting firm) BEAVEN, Brian, ‘Macro-Appraisal: From Theory to Practice’ Archivaria 48 (Fall 1999), pp. 154-198. Appraisal and selection have been subject to major pressures and innovations in the last two decades, largely from the advent of technology. This article explores some implications of the new approaches to records appraisal from the perspective of a willing, though somewhat skeptical participant in these changes. While it necessarily addresses appraisal and macro-appraisal techniques at a theoretical level, the purpose is not primarily a theoretical discourse. It is rather an exploration of methodology, an analysis informed by recent, practical experience and some suggestive case studies. What follows is an examination of the extent to which one approach to appraisal, grounded on a firm theoretical foundation, may provide a valuable and workable framework for standization of professional practice. (Archivaria) (Beaven is PhD, National Archives of Canada/Records Disposition Division) BILANZ und Perspektiven archivischer Bewertung. ‘Beiträge eines Archivwissenschaftlichen Kolloquims. Archivschule Marburg’ Veröffentlichen der Archivschule Marburg 21 Marburg: Archivschule 1994. (in German) BOLES, Frank and MARKS YOUNG, Julia, Archival Appraisal Neal-Schuman Publishers Inc. New York 1991. This guide was written to increase the understanding of how archivists select records for long-term storage. The goals here are twofold. First, Archival Appraisal is intended to improve the practice of selection among archivists by creating a better understanding of the methodology underlying selection. Second, it is intended as a means to share the archival selection methodology with other information professionals who may find the archival paradigm, in whole or in part, applicable to other areas of information management where selection is important. BOLES, Frank and GREENE, Mark A., ‘Et Tu Schellenberg? Thoughts on the Dagger of American Appraisal Theory’ American Archivist 59 (Summer 1996), pp. 298-310. Luciana Duranti’s article, “The Concept of Appraisal and Archival Theory” challenges the


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very foundations of American appraisal practice. Duranti believes that through several fundamental errors American archivists have embraced a unique body of appraisal thought that “betray(s) archival accountability.” This article examines Duranti’s arguments and finds them not adequately persuasive. The article accepts the idea that there is a discontinuity with European appraisal theory; however, American appraisal practice reflects faithfully the American records and cultural environment. Operating within its own cultural context, American appraisal is as valid and legitimate as traditions emanating from other cultures and other times. (American Archivist) (1. PhD, Director of the Clark Historical Library, Central Michigan University ; 2. M.A. in History, a cognate in Archival Administration, University of Michigan) BOOMS, Hans, ‘Gesellschaftsordnung und Überlieferungsbildung. Zur Problematik archivarischer Quellenbewertung’ Archivarische Zeitschrift 68, Band, Böhlau Verlag Köln Wien 1972, 3-40. (Dr, President of the German Federal Archives) (in German) BOOMS, Hans, ‘Society and the Formation of a Documentary Heritage: Issues in the Appraisal of Archival Sources.’ Translated by Hermina Joldersma and Richard Klumpenhouwer. Archivaria 24 (Summer 1987), pp. 69-107. (Dr, President of the Geramn Federal Archives) BOOMS, Hans, Überlieferungsbildung: Keeping Archives as a Social and Political Activity’ Archivaria 33 (Winter 1991-1992), pp. 25-33. (Dr, Professor, former President of the Bundesarchiv, Federal Republic of Germany)

BORRUEL LÓPEZ Enrique, CONDE VILLAVERDE Mª Luisa, LAVIÑA RODRÍGUEZ Ana, ‘La identificación y valoración de los fondos documentales de la Administración del Estado: problemas y metodología. Iberoamérica: idéntico tratamiento para una misma realidad’, Primeras Jornadas sobre metodología para la identificación y valoración de fondos documentales de las Administraciones públicas, Madrid, Ministerio de Cultura, 1992, pp. 13-19. As a result of the work of a Spanish-American document management group, it puts forward a model for treatment of reserves, different from the Anglo Saxon or French ones; covering the following questions: - analysis of administrative and archival reality - definition of methodology for structure of a new model - organisation of different groups of work, to apply to similar reserves Comme résultat du travail du groupe de l’Amérique Latine sur la gestion de documents administratifs, on présente un modèle de traitement de fonds, différent de l’anglo-saxon et du français, compte tenu des points suivants: - analyse de la réalité administrative et archivistique - définition de la méthodologie pour la structure d’un nouveau modèle - organisation des différents groupes de travail, pour appliquer à différents fonds similaires.


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Como resultado del trabajo del grupo ibero-americano de gestión de documentos administrativos se presenta un modelo de tratamiento de fondos, diferenciado del anglosajón y del francés, atendiendo a las siguientes cuestiones: - análisis de la realidad administrativa y archivística - definición de la metodología para la estructura del nuevo modelo - organización de los distintos grupos de trabajo, para aplicar a diferentes fondos similares. BOTTICELLI, Peter, ‘Records Appraisal in Network Organizations’ Archivaria No. 49 (Spring 2000), pp. 161 - 191. This article explores the need for new approaches to the appraisal of records in so-called networked organizations, which emphasize informal, collaborative work processes. More and more records, increasingly in digital form, are created as part of unstructured or less structured processes; archivists will have to appraise both the records and the administrative processes whereby such records are created. Also, as archivists confront a rapidly changing workplace and an increasingly diverse body of records, it may be necessary to broaden the traditional concept of provenance to account for the impact of new information technologies and organizational forms on the social meaning of records and record types. This article, supported by a case study, presents one possible framework for the appraisal of records which are part of the infrastructure, or which serve as tools for accomplishing tasks, in a collaborative work environment. Cet article explore le besoin de nouvelles approches de tri des documents au sein des organisations fonctionnant en réseau, lesquelles mettent l'emphase sur des processus informels de travail et de collaboration. De plus en plus de documents, et cela en nombre croissant sous forme informatique, sont créés dans le cadre de ces processus plus ou moins structurés. Les archivistes devront évaluer ces documents et les processus administratifs dans le cadre desquels ils sont créés. De plus, comme les archivistes sont confrontés à un changement rapide du monde du travail et à une plus grande panoplie de documents, il serait peut-être nécessaire d'élargir le concept traditionnel de provenance dans le but de tenir compte des effets des nouvelles technologies et des formes d'organisations sur la signification sociale des documents et de leurs différents types. L'article, étayé par une étude de cas, présente un cadre possible pour l'évaluation des documents faisant partie de l'infrastructure, ou qui servent d'outils à la réalisation des tâches, dans un environnement de travail basé sur la collaboration. (Archivaria) (PhD, Digital Projects Librarian for Cornell University) BROWN, Richard, ‘Macro-Appraisal Theory and the Context of the Public Records Creator’ Archivaria 40 (Fall 1995), pp. 121-172. This essay is about the context of the public records creator and its conceptual relation to the appraisal of public records. Its primary purpose is to suggest an alternative way for archivists to understand, interpret, and represent institutional creator context in support of intellectual processes and practical methods leading to the identification of records for archival preservation. Cet essai porte sur le contexte de la création des documents publics et sa relation conceptuelle avec l'évaluation des documents publics. Le but premier de cet essai vise à suggérer aux archivistes une voie alternative pour comprendre, interpréter et représenter le contexte de création institutionnelle à l'appui des processus intellectuels et des méthodes pratiques conduisant à l'identification des dossiers à valeur archivistique. (Archivaria) ( Brown is PhD, Archivist at the National Archives of Canada/ Records


ICA Bibliography on Appraisal Draft, Prepared by ICA Committee on Appraisal (ICA/CAP)

Disposition Division) BROWN, Richard, ‘Records Acquisition Strategy and its Theoretical Foundation: The Case for a Concept of Archival Hermeneutics’ Archivaria 33 (Winter 1991-1992), pp. 34-56. (Brown is PhD, National Archives of Canada / Government Archives Division) BUCHHOLZ, Matthias, Überlieferungsbildung bei massenhaft gleichförmigen Einzelfallakten im Spannungsfeld von Bewertungsdiskussion, Repräsentativitat und Nutzungsperspektive. Eine Fallstudie am Beispiel von Sozialhilfeakten der oberbergischen Gemeinde Lindlar (Archivhefte/Landschaftsverband Rheinland, Archivberatungsstelle Rheinland Bd.35) Köln 2001. The author demonstrate a new way in Germany of representative sampling. A creative treatise on sampling. (JT) (in German) BURELL, Mats, ‘Appraisal and Information Theory’ DLM-Experts’ Meeting in Tampere, Nov 11-12, 1999. Principles of Appraisal and Their Application in Electronic Environment - European Models and Concepts. Proceedings. National Archives of Finland, Helsinki 2000, pp. 43 - 50. ISBN 951-53-2201-4. Also in: http://www.narc.fi/dlm/7.htm This paper presents an overview on the relationship between the appraisal of records and information theory. The main purpose of the paper is not primarily to try to give some answers on the nature of the relationship between information theory and appraisal. Instead the paper tries to present some ideas on how to develop the archival appraisal methodology, including the methods on electronic records, through the interaction with information theory. (Markku Leppänen) (Burell is Principal Administrative Officer, Government Offices, Office for Adminitrative Affairs, Sweden) BÜTTNER, Siegfried, KRETZSCHMAR, Robert & STAHLSCHMIDT, Rainer, Der archivische Umgang mit großen Fallaktenserien. Bericht der Arbeitsgruppe ”Archivierung großer Fallaktenserien” der Archivreferentenkonferenz des Bundes und der Länder (Veröffentlichungen der Archivschule Marburg Nr.34) Marburg 2001. The state archives of Germany have created a study group to analyse appraisal for case papers as for example personnel files. They have created possibilities of sampling. This is the result of these study group. (JT) (in German) CARUCCI Paola, ‘Le tri comme élément qualifiant des fonds pour l’historiographie’ Rassegna degli Archivi di Stato, XXXV (1975), 1-2-3, pp. 250-264. L’auteur insiste sur la définition du fondement du tri et la difficulté de le justifier. Il met en avant le concept de compréhension historique qui doit présider à l’évaluation des documents. CARTER DAVIES, Richard, ‘Getting the Lead Out: The Appraisal of Silver-Lead Mining Records at the University of Idaho’ American Archivist 55 (Summer 1992), pp. 454-463. This paper describes the appraisal portion of a project for the processing of 1,600 cubic feet of records of mining corporations in the University of Idaho Library and asserts that


ICA Bibliography on Appraisal Draft, Prepared by ICA Committee on Appraisal (ICA/CAP)

informational values depend for their validity upon the evidential values in the same records, that both kinds of value are logically related to the principle of provenance, and that these relationships are implicit in the works of T.R. Schellenberg and other traditional writers on the appraisal of public and corporate records. (American Archivist) (Carter Davies is PhD in History, Manuscripts-Archives Librarian at the University of Idaho, USA) CHARON, Philippe et CLEYET-MICHAUD, Rosine, ‘A propos de l’article de Björn Lindh: le point de vue francais’ Janus 1997: 2, pp. 111-114. (In French) (1. Charon : Conseil international des Archives; 2. Cleyet-Michaud : Conservateur général, Service technique, Archives de France) CLEYET-MICHAUD Rosine, ‘La sélection dans les archives : une réflexion et une pratique en constante évolution’, in Tri, sélection, conservation. Quel patrimoine pour l’avenir ? Actes de la table ronde organisée à l’Ecole nationale du Patrimoine les 23, 24 et 25 juin 1999, pp. 48-53 et Revue suisse d’Histoire, vol. 51, 2001, pp. 461-469. (in French) COMISSIO Nacional d’Avaluació i Tria de la Documentació, Normes i procediments de valoració documental per a arxius públics. Taules d’Avaluació documental. Codis 1 a 154, Dirección General del Patrimonio Cultural, Barcelona, 1997, 297 p. The process of documentary valuation is analysed theoretically. In Catalonia it is regulated by the National Commission for Valuation and Selection of Documentation. This monograph analyses the procedures which regulate the aforementioned process and presents ‘valuation tables’ which correspond to 154 documentary series produced by the Catalan administration. Le procédé d’évaluation documentaire se voit analysé théoriquement. En Catalogne, il est contrôlé par la “ Commission Nationale d’évaluation et sélection de la documentation ”. Dans cette monographie, on analyse les méthodes qui règlent ce procédé et on édite les “ tables d’évaluation ” correspondant aux 154 séries documentaires produites par l’administration catalane. El proceso de valoración documental queda analizado teóricamente. En Cataluña, queda controlado por la “Comisión Nacional de valoración y selección de la documentación”. Se analizan en la presente monografía los procedimientos que regulan dicho proceso y se editan las “tablas de valoración” correspondientes a 154 series documentales producidas por la Administración catalana. COOK, Terry, Archives in the Post-Custodial World: Interaction of Archival Theory and Practice Since the Publication of the Dutch Manual in 1898’ Proceedings of the 13th International Congress on Archives, Beijing, 2-7 September 1996 Archivum Vol, XVIII. International Council on Archives. München: Saur 1997, pp. 191-214. COOK, Terry, ‘Documentation Strategy’ Archivaria 34 (Summer 1992), pp. 181-191. (Cook is Chief of the Social Affairs and Natural Resources Records Section, Government Archives Division, National Archives of Canada) COOK, Terry, ‘Many Are Called, but Few Are Chosen: Appraisal Guidelines for Sampling and Selecting Case Files’ Archivaria 32 (Summer 1991), pp. 25-50.


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This article outlines methods for choosing “representative” or “exceptional” groupins of case files from a larger series. The aim of all such methods is to preserve the significant value of the whole sampled or selected for archival retention. The article begins by introducing the problem of case files by briefly mentioning the broader theoritical and strategic issues involved in their appraisal. It then considers the characteristics of case files that archivists must analyse before choosing an appraisal option. After reviewing several such options, the article then explores three in considerable detail: formal statistical sampling and exemplary and exceptional selection. Finally, brief sections address the special characteristics of sampling electronic records and the impact of sampling on archival description. (Archivaria) (Cook is Chief of Social Affairs and Natural Resources Records, National Archives of Canada) COOK, Terry, ‘Mind over Matter: Towards a New Theory of Archival Appraisal’ The Archival Imagination. Essays in Honour of Hugh A. Taylor. Edited by Barbara L. Craig. Published by the Association of Canadian Archivists. Ottawa 1992, ISBN 1-895 382-06-8, pp. 38-70. This article explores archival appraisal theory. It begins by suggesting that traditional appraisal theory and established appraisal practice have failed archivists and researchers alike. After reviewing recent developments in appraisal in North America and Europe, the broad concepts underpinning a theoretical societal model for appraisal are outlined. Appraisal theory seeks to specify the generic attributes, interconnections, and points of special intersection or conflict among creators of records (structures, agencies, people), and the clients, customers, or citizens upon whom both function and structure impinge, and who in turn influence both, directly or indirectly, explicitly or implicitly. This interaction occurs through various processes, a by-product of which is the creation of information and records. The theoretical model advanced in this essay explores the nature of these agents and acts, and the interconnections or interrelationships between them, and assigns greater importance, or “value”, to certain factors-compared to others. After suggesting such a theory, the essay concludes with a two-step approach (or submodel) whereby the theoretical model may be turned into working reality for archivists. (Terry Cook) COOK, Terry, The Appraisal of Case Files: Sampling and Selection Guidelines for the Government Archives Division, National Archives of Canada, January 1991. COOK, Terry, The Archival Appraisal of Records Containing Personal information: A RAMP Study with Guidelines. General Information Programme and UNISIST. UNESCO, Paris 1991. COOK, Terry, ‘What is past is Prologue: A History of Archival Ideas Since 1898, and the Future Paradigm Shift’ Archivaria 43 (Spring 1997), pp. 17-63. (Cook is Director of the Records Disposition Division, National Archives of Canada) COX, Richard J., ‘Archival Documentation Strategy, A Brief Intellectual History 1984-1994, and Practical Description’ Janus 1995: 2, pp. 76-93. In a session at the 1984 annual meeting of the Society of American Archivists, Helen Samuels and Larry Hackman introduced the concept of the archival documentation strategy that has not just spurred on discussion in North American archivy about appraisal, but it has helped to have a reconsideration of the main purposes of the appraisal


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responsibility. This essay is a history of the idea of the archival documentation strategy with a short practical description of its application, and, an explanation of why the value of it as an idea continues to remain relevant to the archival profession in North America. Finally the author reveals his own opinions as he concludes that the archivists must return to a basic emphasis on the record, the stress on continuing evidence as the linchpin of the definition of the archival record, and the value of archives for accountability and corporate memory. The macro-appraisal approaches represented by the documentation strategy and, as well, the functional approach and acquisition strategy, are crucial to having North American archivists achieve these important objectives. (Markku Leppänen) COX, Richard J., ‘A Documentation Strategy Case Study: Western New York’ American Archivist 52 (Spring 1989), pp. 192-200. Documentation strategy has emerged as one of the major new archival concepts of the 1980s. The emergence of interest in it is a healthy sign for the archival profession’s quest to idenfy, select, and preserve records of enduring value. Yet, the documentation strategy is still a largely untested concept. This essay describes the strategy’s application in documenting geographical localities, in this case western New York, and, as a result, poses a number of additional questions about the documentation strategy that still need answering. (American Archivist) (Cox is Lecturer at the School of Library and Information Science, University of Pittsburgh) COX, Richard J., ‘The Documentation Strategy and Archival Appraisal Principles: A Different Perspective’, Archivaria 38 (Fall 1994), pp. 11-36. North American archivists have recently witnessed an upsurge in writings about appraisal theory. This essay takes a different approach to this topic. It attempts to describe a set of basid principles, derived from the archival literature, that relate to the practice of appraising records. These principles bridge the gap between theory and practice, but they represent, in the author's view, something more than just methodology. The essay also seeks to relate the decade old discussion to the archival documentation strategy, showing how the strategy both emanates from such principles and is consistent with them. Les archivistes Nord Américains ont récemment été témoins d'une recrudescence des écrits concernant la théorie de l'évaluation archivistique. Le présent article adopte une approche différente de ce sujet: il tente de décrire une série de principes fondamentaux tirés de la littérature archivistique concernant l'exercice de l'évaluation des dossiers. Ces principes font le lien entre la théorie et la pratique, mais il représentent, selon l'auteur, quelque chose de plus qu'une simple méthodologie. L'article tente également d'évoquer la discussion vieille d'une décennie sur la stratégie de documentation archivistique, en démontrant que cette stratégie émane à la fois de tels principes et qu'elle est compatible avec ces principes. (Archivaria) (Cox is PhD, Assistant Professor in Library Science at the University of Pittsburgh, School of Library and Information Science) DANNIELS, Maygene F., ‘Records Appraisal and Disposition’ Managing Archives and Archival Institutions, edited by James Gregory Bradsher. Trowbridge, Wiltshire 1988, pp. 53-66. DEAN, Jenny and SOUTHERN, Wendy ‘The Practice of Sampling in the Disposal of Commonwealth Records’, Archives and Manuscripts, Volume 18, May 1990, pp 53-62


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DLM-EXPERTS’ Meeting in Tampere, Nov 11-12, 1999. Principles of Appraisal and Their Application in Electronic Environment - European Models and Concepts. Proceedings. Published by the National Archives of Finland. Helsinki 2000, ISBN 951-53-2201-4. Also available at: http://www.narc.fi/dlm/ The preservation and future use of electronic records constitutes the greatest challenge for the archival profession today. The DLM-Forum that operates in the framework of the European Union is without doubt one of the most important arenas for discussion in this field. The Finnish National Archives Service hosted a meeting in Tampere which was held on the 11th and 12th of November 1999 and which was, in a way, a continuation of the DLM-Forum held in Brussels. The theme of the Tampere meeting was Principles of appraisal and their application in the electronic environment - European models and concepts. By discussing the problems of appraisal of electronic records, difficult and still largely unsolved, approximately 70 participants tried to find some practical solutions to the problems and succeeded, at least, to present different viewpoints of the appraisal of electronic records. The National Archives of Finland has published the proceedings of the meeting, that includes 10 articles in all. (Markku Leppänen) DOLLAR, Charles M., ‘Quantitative History and Archives - Proceedings of the 9th International Congress on Archives, London 15-19 September, 1980’ Archivum Vol. XXIX. International Council on Archives, London, 1982. ISBN 3-598-212291-1 , ISSN 0066-6793, pp. 46- 52 A bibliography of historical publications based on quantitative methods would reveal a great diversity of research interest, ranging in time from medieval studies to the 1970s and in subject(s) from economics to demography. Although many of these publications would be by United States scholars, virtually every industrialized country would be represented. Hence, the title of this paper suggests an ambitious undertaking to identify and comment a myriad of historical concerns. Since the limitations of space and his training and experience preclude such a vast endeavor, the author decides to confine his comments to those areas with which he is most familiar - machine-readable numeric documentation of United States politics and society. It is within this context, that this paper addresses two concerns: 1. Quantitative history and beyond; and 2. Implications for archives (including the appraisal of records). (Archivum) DURANTI, Luciana, ‘The Concept of Appraisal and Archival Theory’ American Archivist 57 (Spring 1994), pp. 328-344. In the last decade, appraisal has become one of the central topics of archival literature. However, the approach to appraisal issues has been primarily methodological and practical. This article discusses the theoretical implications of appraisal as attribution of value to archives, and it bases its argument on the nature of archival material as defined by traditional archival theory. (American Archivist) (Duranti is Dr in Arts ; Associate Professor in the Master of Archival Studies Program, School of Library, Archival and Informatitic Studies, University of British Columbia, Canada) DURANTI, Luciana, ‘The Thinking on Appraisal of Electronic Records: Its Evolution, Focuses, and Future Directions’ Janus 1997: 2, pp. 47-67. The purpose of this paper is first to survey the historical background of the appraisal of electronic records, mostly from the North American perspective. After analyzing various factors in appraisal decision-making the paper presents several research programs and publications of the appraisal of electronic records. The article examines then briefly several


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questions which are spurred by technological needs but are not of a technological nature. For example, at what level of aggregation are the records appraised. The last question arise from the need to decide what the functional requirements of future electronic records systems must be. After analyzing some problems of technological obsolescence the author concludes that archivists need physical custody of electronic records to exercise control over them and carry out their appraisal while protecting their integrity. (Markku Leppänen) (Duranti : School of Library, Archival and Information Studies, University of British Columbia, Vancouver, Canada) EASTWOOD, Terry, ‘Towards a Social Theory of Appraisal’ The Archival Imagination. Essays in Honour of Hugh A. Taylor Edited by Barbara L. Craig. Published by the Association af Canadian Archivists. Ottawa 1992. ISBN 1-895 382-06-8, pp. 71-89. This essay explores the basis of the theory of appraisal. The author argues that the nature of archives - as material evidence of actions and transactions that serves to stimulate public memory - orients appraisal in general. He then explores the situation of appraisal, the grounds for appraisal, and the relationship between appraisal and society. He concludes that, far from being a relative assessment of values, the projections made during appraisal are based on certain objective criteria stemming from the nature of archives, their generation in determined social circumstances, and on analysis of the use to which society puts its archives. Such a theory, he contends, has the best chance of avoiding the traps of relativism inherent in any search to establish universal or enduring value criteria. Rather, he sees appraisal as resting on the expression of values that can be discovered in the analysis of the genesis and use of archival documents all along their life span by any given society. Therefore, the archivist conducting appraisal acts to assist all societal institutions to create memory of the conduct of their relations rather than imposing values on the exercise. (Eastwood) EMPFEHLUNGEN zur Archivierung von Massenakten der Rechtspflege. Abschlussbericht der Bund-Länder-Arbeitsgruppe zu Fragen der Bewertung und Archivierung von Massenakten der Justiz in Deutschland. Editor Rainer Stahlschmidt (Der Archivar. Beiheft 2) Düsseldorf 1999. The State Archives of Germany have created a study group to analyse the appraisal of case papers created by justice agencies, such as the courts or prisons. This is the result of this study group. (JT) (in German) ERLANDSSON, Alf, Electronic Records Management, A Literature Review, ICA Studies 10 (1996), Chapter 6: ‘Appraisal of Electronic Records’, pp. 42-49. This literary review (covering mainly 1992-1996) was undertaken in order to identify and analyze the latest thinking and theories of leading experts in the management of electronic records, and the technologies that may help in formulating strategies in this field. This paper is one of a series of products that was prepared by the ICA Committee on Electronic Records. The mandate of the Committee, which was established in 1993, is to undertake study and research, promote the exchange of experience and draft standards and directives concerning the creation and archival processing of electronic records. (Markku Leppänen) GREENE, Mark, ‘The Surest Proof: A Utilitarian Approach to Appraisal’ Archivaria 45 (Spring 1998), pp. 127-169.


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This is an analysis of the role of research use in making appraisal and reappraisal decisions at the series level. Building on the "Minnesota Method" approach to selection and appraisal of modern business records as described in a paper published in The Records of American Business, this article analyses and assesses application of the Minnesota Method's appraisal criteria, using three studies of rates of use of business records by scholars and the general public. Ultimately, the validity of use as an appraisal criteria comes down to the fundamental question: what are archives? If archives are objectively identifiable evidence of business transactions then use is irrelevant as an appraisal consideration. However, if (as Terry Eastwood has said), "archives are social creations for social purposes" that have no validity aside from the value that an institution or society places on them, then use is the only measurement we have of that value (and of the success of archives operations as a whole). After examining the pros and cons of use as an appraisal criterion and the results of the three studies, the author concludes that "use of the archives and the growth of its reputation" is the "surest proof of sound records appraisal." L'article qui suit analyse le rôle de l'utilisation à des fins de recherche (valeur d'information) comme critère d'évaluation ou de réévaluation des documents d'archives sur le plan de la série. S'appuyant sur la “méthode Minnesota” en matière de tri et d'évaluation d'archives d'entreprises, telle que décrite dans une communication publiée dans The Records of American Business, l'article analyse et évalue les critères d'évaluation de cette méthode à l'aide de trois études de taux d'utilisation d'archives d'entreprises par des érudits et le grand public. À la limite, la validité de l'utilisation des archives comme critère d'évaluation se résume à la question fondamentale suivante : que sont les archives ? Toutefois, si, comme le dit Terry Eastwood, “les archives sont des créations sociales à des fins sociales” qui n'ont d'autre valeur que celle qu'une institution ou qu'une société leur donne, alors cette utilisation est la seule mesure que nous ayons de cette valeur (et du succès du travail en archives dans son ensemble). Après avoir soupesé le pour et le contre de cette utilisation comme critère d'évaluation ainsi que les résultats des trois études, l'auteur conclut que “l'utilisation des documents d'archives et la croissance de leur réputation” est “l'un des plus sûrs moyens de juger d'une évaluation archivistique judicieuse”. (Archivaria) (Greene is M.A. in History ; Curator of Manuscripts Acquisition at the Minnesota Historical Society) GRUPO de Archiveros Municipales de la Comunidad de Madrid, “El expurgo en los Archivos Municipales. Propuesta de un Manual”, Leganés, Ayuntamiento de Leganés, 1989, 57 p. Using the old-fashioned term ‘expurgatory’, a synonym of elimination, this article starts with the administrative, judicial and historical value of the documents and concludes with a proposal for permanent and temporary conservation of documents belonging to Spanish municipalities. En utilisant une terminologie, à présent désuète, on analyse l’“ épuration ”, synonyme d’élimination, à partir des valeurs des documents (administratif, juridique et historique) pour conclure vers une proposition de séries documentaires de conservation permanente et d’autres de conservation temporelle, appartenant aux fonds documentaires des mairies espagnoles. Utilizando una terminología, hoy anticuada, analiza el “expurgo”, sinónimo de eliminación, a partir de los valores de los documentos (administrativo, jurídico e histórico) para concluir en una propuesta de series documentales de conservación permanente y de otras de conservación temporal, pertenecientes a los fondos documentales de Ayuntamientos españoles.


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GUERCIO Maria, “ Les procédures de tri des documents dans les archives bancaires ”, in Les archives des organismes de crédit et les sources d’archives sur l’histoire des banques : tutelle, gestion, valorisation. Actes du congrès, 14-17 novembre 1989, Roma, Ministerio per i beni culturi e ambientali. Ufficio centrale per i beni archistici, 1995, pp. 110-124 (Pubblicazioni degli archivi de Stato, Saggi, 35). L’auteur propose une réglementation et des instruments pour la sélection qui couvrent le cycle complet de vie des documents en les suivant de leur formation à leur conservation illimité ou éventuelle élimination. GUERCIO Maria, “Le tri des documents archivistiques dans le récent débat international ; évolution et continuité dans la méthodologie et dans la pratique”, in Archivi per la storia, XI, (1998), 2, pp. 43-64. L’auteur fait une analyse comparée de modèles et instruments. La sélection est conçue comme la conservation des documents qui reflètent les activités essentielles du sujet producteur accomplies dans le cadre de sa propre compétence institutionnelle à un moment donné. GUERCIO Maria, “ Les archivistes italiens et le défi de l’automation : archives courantes et nouveaux documents ”, in Archivi per la Storia, V (1992), 2 (Studi in memoria di Antonino Lombardo) pp. 39-58. L’auteur analyse dans le cadre de la gestion des archives électroniques, les incidences des nouvelles technologies sur certains principes et fonctions archivistiques, tels que le concept de document, le principe de provenance des documents, la conservation centralisée, la fonction d’évaluation et de sélection des documents, le classement et la description, et enfin la communication aux utilisateurs. HAAS, Joan K. and SAMUELS, Helen and TRIPPEL SIMMONS, Barbara, Appraising the Records of Modern Science and Technology: A Guide. Massachusetts Institute of Technology. Chicago 1985. This guide is intended to assist archivists in appraising the records of modern science and technology. The twentieth century has been significantly influenced and shaped by science and technology; therefore, its documentation must reflect this influence. But the record of post-World War II science and technology is vast, and not all can be preserved. In order to identify and preserve an appropriate and useful record for the future, archivists need to appraise knowledgeably. This guide includes personal, professional, and administrative, as well as industrial research and development records. Both theoretical and experimental activities are included, but as the documentation of experimentation is more evident and readily available, it is treated more extensively. This guide is intended for archivists working in both archival and manuscript repositories. The guide is based upon traditional appraisal principles and practices. The guide is structured around a description of the component activities of the scientific and technological process. ach activity, and the records documenting it, is described, followed by discussions of appraisal considerations and examples. Archivists’ ability to appraise is enhanced by understanding the activities through which records are created. HACKMAN, Larry J. and WARNOW-BLEWETT, Joan, ‘The Documentation Strategy Process: A Model and a Case Study’ American Archivist 50 (Winter 1987), pp. 12-47.


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How might the archival community strenghen its ability to analyze documentation needs and address these needs more efficiently? Is there a general approach to analysis and action that can help guide such work? This article describes a model addressing these goals and provides a case study illustrating the model at work. First the authors outline the case for broad, ongoing analysis of the adequacy of archival documentation and for coordinated action to improve the identification, retention, and treatment of records of enduring value. In the second section, Hackman presents an analytic model for an Archival Documentation Strategy Process, describing the development, refinement, and implication of documentation strategies. The model suggests broader analysis, increased communication and coordination, and more active use of a range of sources of influence to shape archival selection policies and programs. As the archival community evaluates the feasibility and potential effectiveness of documentation strategies, it may be especially useful to consider a case study of an institution that has already employed many aspects of the model. In the third section, Warnow-Blewett reviews the motivations that led the American Institute of Physics to design an initial documentation strategy in the 1960s and outlines the refinement, extension, and effectiveness of that strategy during the past twenty-five years. In the closing section the authors outline some of the implications of the dcumentation strategy process for established archival theory and practice, and call for discussion and testing in other areas of documentation. (American Archivist) (1. State Archivist of New York ; 2. Associate Director of the Center for History of Physics of the American Institute of Physics) HAM, F. Gerald, 'Archival Choices: Managing the Historical record in an Age of Abundance' American Archivist 47, (Winter, 1984), pp 11-22. After briefly identifying some of the problems archivists face in administrering modern records, the author discusses six elements of archival collection management: inter-institutional cooperation in collecting, disciplined and documented application of appraisal procedures, deaccessioning, pre-archival control of records, reducing record volume, and analysis and planning. The author suggests that there may well be other factors involved in collection management but concludes with an admonition to all archivists to seek alternative courses of action rather than habitually following practices of the past. ( American Archivist) (Ham is PhD, State Archivist and Head of the Division of Archives and Manuscripts, State Historical Society of Wisconsin, USA) HAM, F. Gerald, Selecting and Appraising Archives and Manuscripts. Society of American Archivists. Chicago 1993. HEDSTROM, Margaret, ‘New Appraisal techniques: The Effect of Theory on Practice’ Provenance, Vol. 7 (Fall 1989), pp. 1 - 21. HENRY, Linda, ‘Schellenberg in Cyberspace’ American Archivist 61 (Fall 1998), pp. 309-327. In the last few years, advocates of the ideas of David Bearman have written that archivists need a “new paradigm” for electronic records. The new ideas would change or overturn traditional archival theory and practice, as represented by T.R. Schellenberg and the first writers about electronic records. This article discusses several of the new ideas and the differences between traditional archival writers and those who support a new paradigm for electronic records. (American Archivist) (Henry is Archivist with the Center for Electronic Records of the National Archives and Records Administration, USA)


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HEREDIA HERRERA Antonia, “La identificación y la valoración documentales en la gestión administrativa de las instituciones públicas ” Boletín de ANABAD , 1999, XLIX, n° 1, pp. 19-50. This article presents, defines and relates the functions of documentary identification, valuation and selection as an introduction to the analysis of the qualifying commissions of administrative documents in Catalonia and Andalusia and relevant experiences in evaluation of documents in Spain. L’auteur précise et définie, situe et relie les fonctions d’identification, évaluation et sélection documentaires, en tant qu’introduction à l’analyse des commissions examinatrices de documents administratifs de la Catalogne et de l’Andalousie et aux expériences relatives aux procédés d’estimation documentaire en Espagne. La autora precisa y define, sitúa y relaciona las funciones de identificación, valoración y selección documentales, como introducción al análisis de las Comisiones calificadoras de documentos administrativos de Cataluña y Andalucía y a las experiencias relativas a los procesos de evaluación documental en España. HONER, Elizabeth & GRAHAM, Susan, 'Should Users Have a Role in Determining the Future Archive? The Approach Adopted by the Public Record Office, the UK National Archive, to the Selection of Records for Permanent Preservation', Liber Quarterly, Vol. 11, 2001, pp. 382-399 HORSMAN, Peter, Appraisal and Disposal as a Function of Records Management Systems. DLM-Experts’ Meeting in Tampere, Vov 11-12, 1999. Principles of Appraisal and Their Application in Electronic Environment - European Models and Concepts. Proceedings. Published by the National Archives of Finland, Helsinki 2000. ISBN 951-53-2201-4, pp. 57- 61. Also in: http://www.narc.fi/dlm/9.htm The author first defines the basic concepts used in his paper: “record keeping” and “record keeping system” instead of “records management” and “records management system” that were proposed by the organizers of the meeting (DLM-Forum). The author then positions appraisal of records in the framework of the records continuum. According to quality the author ranks record keeping systems in seven levels. One question is whether current appraisal theories, principles and methods are strong enough to anticipate future requirements. Few, if any research has been done into the evidential and informational values or richness of e-mail systems. E-mail is just one example for which rethinking appraisal criteria and methods are required. Other examples can be easily found as the technology come up with new ways of doing business, such as e-commerce or electronic governance. Finally, the author makes a question, can we develope criteria to be implemented upfront into record keeping systems with such uncertainty. (Markku Leppänen) (Horsman : the Netherlands Institute for Archival Education and Research) HORSMAN, Peter, ‘Appraisal on Wooden Shoes: The Netherlands PIVOT Project’ Janus 1997: 2. International Council on Archives, pp. 35-41. First the author goes into the background of the PIVOT project: the mission and position of the National Archives where PIVOT is applied. Secondly, he discusses developments in public administration and record keeping systems in which the PIVOT project originated. Thirdly, he outlines changes in legislation, which consolidated the PIVOT ideas and convinced authorities of the necessity of doing something. After this background, he explains the basic concepts of PIVOT and its tools, the clogs, so to speak. He includes the


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criticism of both historians and archivists. Finally he draws some conclusions, and posits a thesis for further discussions. (Markku Leppänen) HULL, Felix, The Use of Sampling Techniques in the Retention of Records: A RAMP Study with Guidelines. General Information Programme and UNISIST, UNESCO, Paris 1981. JENKINSON, Hilary, A Manual of Archive Administration London, 1966. KÖHNE-LINDENLAUB, ‘Renate, Erfassen, Bewerten und Übernehmen’ Handbuch für Wirtschaftsarchive. Theorie und Praxis. Ed. by Evelyn Kroker, Renate Köhne-Lindenlaub und Wilfried Reininghaus, München 1998, S.99-137. Appraisal in business archives. (JT) (in German) KOLISH, Evelyn, ‘Sampling Methodology and its Application: An Illustration of the Tension Between Theory and Practice’, Archivaria 38 (Fall 1994), pp. 61-73. In the context of a conference on archivists cought between “the rock and a hard place”, sampling offers several ways of illustrating the compromises that inevitable take place in the dialectic between theory and practice. This article examines briefly two of the ways in which sampling confronts us with the tension between theory and practice: first, the choice of sampling as a method of selection, in and of itself; second, the practical problems of applying a specific sampling methology to untidy reality of a mass of accumulated documents. Both these reflections are set in the specific context of Quebec’s retention decisions with regars to court records and the Archives nationales du Quebec’s recent experience in applying a particular sampling method to those records. Cet article étudie les tensions entre la théorie et la pratique de l’échantillonnage des dossiers de l’arriéré du projet d’échantillonnage des dossiers judiciaires du Québec. L’article examine d’abord les raisons qui ont motivé le choix de l’énchantillonnage statistique des dossiers des cours de justice comme instrument de tri tel qu’énoncé dans le Report of the Interministerial Committee on Court Records. Une secoexplique la méthode spécifique d’énhantillonnage développée par le Comité et se penche sur les diverses difficultés d’application recontrées durant les deux dernières années: système de classement maison hétérodoxe, classement alphabétique, juridictions partagées, et l’impact des pardons. L’article termine en suggérant que malgré le fait que plusiers problèmes peuvent être résolus sans compromettre la justesse de cette méthode, que quelques obstacles exigent un tel investissement de ressources humaines a surmonté, que l’énchantillonnage ne représente plus une solutions rentable. Les archivistes et les gestionnaires devront faire la part des choses entre les exigences de la représentativité et la précision et leurs coûts en ressources humaines et matérielles. (Archivaria) (Kolish is PhD in History, Archives nationales du Quebeck, Canada) KOLSRUD, Ole, ‘Archive Appraisal in an International Perspective’ Proceedings of the Baltic-Nordic Archival Seminar on Appraisal and Disposal in Pärnu, October 11-13, 1995. National Archives of Finland. Helsinki 1997, ISBN 951-53-1497-6, pp. 1-10. The author first analyses the differencies of the approaches to archive appraisal in two countries, Germany and Britain. The discussion of appraisal has revolved around two basic themes. The first, obviously, is what to appraise, while the second is who decides what to


ICA Bibliography on Appraisal Draft, Prepared by ICA Committee on Appraisal (ICA/CAP)

appraise. On this point, too, there are striking differences between Germany and Britain. The author then describes the theoretical approaches discussed in the USA, Canada and Sweden. He succeeds to show the similarities in theoretical thinking on both sides of the Atlantic. For example the similarities between the concepts of “documentation strategy”, “documentation plans” (in German Dokumentationsplänen), “documentation profiles” (in German Dokumentationsprofilen) and “intensive data areas” (in Swedish intensivdataområden) are evident. Finally the author describes the basic appraisal principles of the PIVOT project at the Netherlands. (Markku Leppänen) (Kolsrud is a Senior Archivist, National Archives of Norway) KOLSRUD, Ole, ‘A Brief History of Appraisal in Norway’ Janus 1997: 2, pp. 42-46. Twice in modern history have international events had a direct and decisive impact on the nation of Norway and its institutions. The impact is to be clearly observed even in the field of records management and records appraisal. The first influential event was the Napoleonic wars which resulted in the establishment of Norway as a fairly independent state in 1814, with the subsequent result of the establishing of a natinal archives institution in 1817. The second influential event was World War II and the German occupation of Norway between 1940-1945, the aftermath of which forced Norway to modernize her archival thinking and practice. The author describes the main impacts of those events and introduces finally the archival decrees of 1961 and 1988. (Markku Leppänen) KOLSRUD, Ole, ‘The Evolution of Basic Appraisal Principles - Some Comparative Observations’ American Archvist 55 (Winter 1992), pp. 26-38. The vast increase in the production of documents during and after World War I led to a reconsideration of the role of the archivist in the appraisal of records. This reconsideration took various and quite opposite directions, in particular among English and German archivists. The German archivist has always put preservation before destruction; the English archivists has wished to defer to the office of origin for decisions on records retention. In addition to these two national variations, the author expands his review to include the Norwegian, eastern European, and United States archival contexts. He probes the variety of archival theories and practices of these countries, and concludes with observations on the further development of appraisal criteria in light of automation, market value theory, and democratization in eastern Europe. L’évolution des principes de base de l’évaluation - quelques observations comparatives. La prodigieuse augmentation de la production de documents pendant et après la Première Guerre mondiale a entraîné la reconsidération du rôle de l’archiviste lors de l’évaluation des documents. Cette étude a pris diverses, voire même différentes directions, plus particulièrement parmi les archivistes allemands ont toujours misé sur la conservation des documents plutôt que sur leur destruction. Les archivistes britanniques ont espéré différer du principe de provenance dans les décisions de l’établissement des calendriers de conservation des documents. En plus de ces deux variantes nationales, l’auteur étend son étude afin d’y inclure les contextes norvégien, de l’Europe de l’Est et des États-Unis. Il explore la variété des théories et practiques archivistiques de ces pays, et conclut avec des observations sur le développement futur des critères d’evaluation à la lumière de l’automatisation, de la théorie de la valeur marchande ainsi que de la démocratisation de l’Europe de l’Est. Die Entwicklung grundlegender Bewertungsprinzipien - Einige vergleichende Bemerkungen. Die gewaltige Zunahme bei der Erstellung von Dokumenten während des


ICA Bibliography on Appraisal Draft, Prepared by ICA Committee on Appraisal (ICA/CAP)

ersten Weltkriegs und in der Zeit danach führte zu einer Neueinschätzung der Rolle der Archivare bei der Bewertung von Aufzeichnungen. Diese Neueinschätzung verlief in verschiedene und zum Teil ziemlich entgegengesetze Richtungen, besonders bei englischen und deutschen Archivaren. Für den deutschen Archivar hatte die Erhaltung von Beständen immer Vorrang vor der Vernichtung; der englische Archivar dagegen vetrat den Wunsch, Entscheidungen über die Erhaltung von Aufzeichnungen dem Amt zu überlassen, das die Dokumente angefertigt hatte. Der Autor erweitert die Besprechung dieser zwei nationalen Varianten, indem er den norwegischen, den osteuropäischen und den archivalischen Kontext der USA miteinbezieht. Er sondiert die Verschiedenheit der archivalischen Theorien und Praktiken dieser Länder und schliesst mit einigen Bemerkungen zur weiteren Entwicklung der Bewertungskriterien angesichts der Automation, der Theorien zum Marktwert und der Demokratisierung in Osteuropa. La evolución de los principios básicos de evaluación - algunas observaciones comparativas. El vasto aumento en la producción de documentos durante y después de la Primera Guerra Mundial, llevó a la reconsideración de la función del archivista en la evaluación de documentos. Esta reconsideración tomó direcciones variadas y totalmente opuestas, en particular entre los archivistas ingleses y alemanes. Los archivistas alemanes han puesto siempre la preservación antes que la destrucción; el archivista inglés ha querido ceder las decisiones a la oficina de origen sobre la retención de documentos. En adición a estas dos variaciones nacionales, el autor extiende su reseÁa para incluir a los noruegos, alos europeos orientales y a los contextos de archivos de los Estados Unidos. El autor prueba la variedad de teorías y prácticas archivológicas de estos países, y concluye con observaciones sobre el futuro desarrollo del criterio de evaluación a la luz de la automatización, de la teoría del valor en el mercado, y a la democratización en la Europa oriental. (American Archivist) (Kolsrud is Senior Archivist at the Norwegian National Archives) KREIKAMP, Hans-Dieter, ‘The Bundesarchiv’s Appraisal Model - The ‘Lead Department’ Function as an Appraisal Criterion’ INSAR (INformation Summary on ARchives) Number 3 (Summer 1997) p, 11. This paper describes the appraisal procedure used by the German Bundesarchiv for specific traditional areas, which attempts to manage a massive flow into the Bundesarchiv from the German national government. The paper outlines the ‘lead department’ function as an appraisal criterion. If the objective is to obtain the maximum information content from a minimum of information material, thereby achieving a high concentration of information, the records produced by the lead organization can be viewed as furnishing a suitable condensed account or explanation of all the stages in the decision and thus being potential archive material. However, the Bundesarchiv’s appraisal model seems to be insufficient, even moren formalized appraisal procedures are needed for the appraisal of governmental records. (Markku Leppänen) (Kreikamp is Dr, Bundesarchiv, Koblenz, Germany) KRETZSCHMAR, R., ‘Die neue archivische Bewertungsdiskussion und ihre Fußnoten. Zur Standortbestimmung einer fast zehnjährigen Kontroverse’ Archivalische Zeitschrift 82 (1999), 8-40. (in German) KRETZSCHMAR, Robert (Ed.), Historische Überlieferung aus Verwaltungsunterlagen. Zur Praxis der archivischen Bewertung in Baden-Württemberg (Werkhefte der Staatlichen Archivverwaltung Baden-Württemberg A 7) Stuttgart 1997.


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This work contains a number of records schedules, covering the appraisal of personnel files, job centres, health services, a forestry commission, schools and courts. (JT) (in German) KRETZSCHMAR, Robert (Ed.), Methoden und Ergebnisse archivübergreifende Bewertung. Beiträge der 1. Frühjahrstagung der Fachgruppe Archivarinnen und Archivare an staatlichen Archiven im Verband Deutscher Archivarinnen und Archivare in Zusammenarbeit mit dem Hauptstaatsarchiv Stuttgart am 20. März 2001 im Hauptstaatsarchiv Stuttgart. 2002 Describes a method of appraisal practised by the archivists of the State Baden-Württemberg in Germany ; ‘vertical and horizontal appraisal’. The archivist analyses the tasks and the competences of the authority, departments and gouverment to identify the most significant and informative documents/papers of a task or competence. (JT) (in German) KRISTINSDOTTIR, Kristjana, Appraisal and Disposal of Documents in Iceland. Proceedings of the Baltic-Nordic Archival Seminar on Appraisal and Disposal in Pärnu, October 11-13, 1995. Published by the National Archives of Finland. Helsinki 1997, ISBN 951-53-1497-6, pp. 38-42. The history of organised appraisal and disposal of records is not a particular long one in Iceland. The reason for the introduction of such measures was much the same in Iceland as elsewhere: a need to get some guidelines for the appraisal of large amounts of records from many different sources. This paper presents the legal framework and the basic principles for the appraisal of public records in Iceland. Finally, the author concludes that the basic rules for appraisal has yielded some good results. (Markku Leppänen) (Kristinsdottier is the Head of Department, National Archives of Iceland) LEMIEUX, Victoria, ‘Applying Mintzberg's Theories on Organizational Configuration to Archival Appraisal’ Archivaria No. 46 (Fall 1998), pp. 32 - 85. This article applies Henry Mintzberg's theories on organizational configuration to archival appraisal as a means of demonstrating how organizational theory can inform archival theory. The article presents a number of recordkeeping and archival appraisal hypotheses based on Mintzberg's theories. It then compares these hypotheses to appraisal case studies by Helen Samuels and JoAnne Yates as a means of verifying the validity of the hypotheses. Finally, a methodology is presented for applying Mintzberg's theories to conduct appraisal. The article concludes that Mintzberg's theories, and the recordkeeping and appraisal hypotheses derived from them, provide archivists with a faster and more precise means of identifying sites of archivally significant records than existing appraisal theories and strategies. It further concludes that, given the utility of Mintzberg's theories for archival appraisal, organizational theory offers great potential for informing archival theory. Cet article applique les théories de Henry Mintzberg sur la configuration organisationnelle à l'évaluation archivistique dans le but de démontrer comment la théorie des organisations peut aider l'archivistique. L'article présente un certain nombre d'hypothèses relatives à la gestion des documents et à l'évaluation archivistique sur la base des théories de Mintzberg. On les compare ensuite aux études de cas développées par Helen Samuels et JoAnne Yates dans le but d'en vérifier la validité. Finalement, on présente une méthodologie pour l'application des théories de Mintzberg à la réalisation d'évaluations archivistiques. L'article conclu que les théories de Mintzberg et les hypothèses relatives à la gestion des documents et à l'évaluation archivistique qui en découlent, offrent aux archivistes des moyens plus rapides et plus précis pour l'identification des documents de


ICA Bibliography on Appraisal Draft, Prepared by ICA Committee on Appraisal (ICA/CAP)

valeur archivistique que ceux offerts par les théories et stratégies actuelles. Enfin, on termine en affirmant que, compte tenu de l'utilité des théories de Mintzberg dans le cas de l'évaluation archivistique, la théorie de l'organisation offre un potentiel élevé dans le cadre du renouvellement de la théorie archivistique. (Archivaria) ( Lemieuz is University Archivist, University of West Indies, Canada) LEPPÄNEN, Markku, The Use of Sampling in the Appraisal and Disposal of Records. Proceedings of the Baltic-Nordic Archival Seminar on Appraisal and Disposal in Pärnu, October 11-13, 1995. Published by the National Archives of Finland. Helsinki 1997, ISBN 951-53-1497-6, pp.57-65. Also in : http://www.narc.fui/parnu/3.pdf The author first describes the basic terms and contexts of sampling of records. The sampling of records is described as a compromise that has been used especially in connection with large series or other groups of records. The author examines then applications of various sampling techniques used in Finland and in other Nordic countries. The purpose of this paper is to explore the pros and cons of various sampling techniques. As a background for the article was a comprehensive study of the practice of sampling in Nordic countries. Finally the author draws some conclusions and makes some recommendations for the sampling of records. (Markku Leppänen) ( Leppänen is Senior Research Officer, Records Management Unit, National Archives of Finland) LINDH, Björn, ‘Some Thoughts on Appraisal Terminology’ Janus 1997: 2, pp. 18-22. This brief survey of appraisal terminology concentrates on a very few terms - mainly the term appraisal itself and the term disposal. It is important to be able to distinguish between the meanings of these two terms, as it is apparent that they are often confused, at least in the European debate. Equivalents of these two terms, or at least terms close enough to be called related, are also be given in French and German. The author attempts to analyse these terms and to find similarities and possible disssimilarities between them. Some linquistic problems are confronted, and some distinctions dependent on the archival tradition within the language area are found. Some examples from the Scandinavian language are (Swedish, Danish and Norwegian) complete the survey. (Markku Leppänen) ( Lindh is Head of the Office of the Director-General, National Archives of Sweden) LOEWEN, Candace, ‘From Human Neglect to Planetary Survival: New Approaches to the Appraisal of Environmental Records’ Archivaria 33 (Winter 1991-1992), pp. 87-103. This article, divided into three main sections, first seeks to explain how our longstanding neglect of the consideration of the whole, or context, has led to the present deplorable state of environment - and of archives. In particular, archival appraisal decisions have often been piecemeal and fragmentary, rarely reflecting the context of the entire social construct within the records were created. The first part of the article explores the character of this past neglect - of the environment and of archives. The second section analyses some recent works of philosophers, feminists and historians who recognize the plight of the earth’s environment today. Drawing on the example of the recent appraisal of the paper and electronic records of the Atomic Energy Control Board, the third section suggests how we might consider holistic, “survival” values in the appraisal of environmental records, especially in the Information Age. Such new “values” may lead to the proper protection of these records, and thus ensure the well-being of the planet. (Archivaria) ( Loewen is M.A. in History ; Government Archives Division / National Archives of Canada)


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LÓPEZ GÓMEZ Pedro, ‘Identificación y valoración de documentos en España a partir de 1975’ Anales de documentación. Universidad de Murcia, 1998, vol.- 1, pp. 75-97. Some of the main problems of Spanish archives are linked to the accumulation of historical documents in the administrative archives and to the lack of a developed regulation about the valuation, selection, elimination and transfer of documents from the above mentioned administrative archives to the historical ones. Records management, recently introduced in Spain, contributes to efficiency of the system, through the techniques already mentioned. In this piece of work a detailed reference to their applications is made, especially a reference to identification and valuation, and considered at different levels of the Spanish administration. Le principal problème des archives espagnoles est lié à l’accumulation de documents historiques dans les archives administratives et au manque de régulation au sujet de l’estimation, la sélection, l’élimination et le transfert de documents des archives administratives aux archives historiques. L’introduction en Espagne des techniques avant citées a contribué à améliorer le fonctionnement du système. Dans cet ouvrage se voient détaillées les différentes applications, spécialement l’identification et l’estimation, tout en tenant compte des différentes catégories de l’administration espagnole. El principal problema de los archivos españoles esta relacionado con la acumulación de documentos históricos en los archivos administrativos y la falta de regulación sobre la evaluación, la selección, la eliminación y la transferencia de documentos del archivo administrativo al archivo histórico. La introducción en España de las técnicas anteriormente citadas ha contribuido a mejorar el funcionamiento del sistema. En este trabajo se detallan las diferentes aplicaciones en especial la identificación y la evaluación, teniendo en cuenta las diferentes categorías de la administración española. LYBECK, Jari, ‘Appraisal 2000: A Project of the Finnish National Archives and Its International Context’ DLM-Experts’ Meeting in Tampere, Nov 11-12, 1999. Principles of Appraisal and Their Application in Electronic Environment - European Models and Concepts. Proceedings. Published by the National Archives of Finland, Helsinki 2000, ISBN 951-53-2201-4, pp. 20-33. Also in: http://www.narc.fi/dlm/5.htm Appraisal 2000 is a major project of the Finnish National Archives that aims at definition and codification of the principles and criteria of appraisal. This paper is divided into four sections. First, the author makes a short terminological excursion which is followed by a survey of some trends in recent international debate on appraisal, seen from a Finnish perspective. The third section is about the characteristics of the Finnish appraisal tradition and the fourth about the project Appraisal 2000 itself, its organisation and content. (Markku Leppänen) ( Lybeck is Project Manager, Records Management Unit, National Archives of Finland) MASSABO-RICCI Isabella, ‘Théorie et pratique du tri dans l’archivistique italienne’, in Tri, sélection, conservation. Quel patrimoine pour l’avenir ? Actes de la table ronde organisée à l’Ecole nationale du Patrimoine les 23, 24 et 25 juin 1999, pp. 54-60. MEINERT, H., ‘Von archivarischer Kunst und Verantwortung’ Der Archivar 9 (1956), 281-286. In German)


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MEINERT, H., ‘Die Problematik des modernen Aktenwesens aus der Sicht eines Stadtarchivars’ Der Archivar 10 (1957), 240-241 und auch in Archivalische Zeitschrift 54 (1958), 97-102. (in German) MEISSNER, H. O., ‘Schutz und Pflege des staatlichen Archivguts mit besonderer Berücksichtigung des Kassationsproblems’ Archivalische Zeitschrift 45 (1939), 34-51. (in German) MENDOZA NAVARRO Aida Luz, ‘El valor legal de los documentos informáticos: avances legislativos’ Revista del Archivo General de la Nación, Lima, 2001, nº 22, pp. 27-62. The author analyses subject material from South America and other countries starting from the Peruvian experience which initiated the application of computer technology in 1991. It concentrates on electronic documentation and its legal value and concludes in how selection affects electronic documents. En partant de l’expérience du Pérou qui commence en 1991 par l’application de technologie informatique dans les Archives, l’auteur analyse les textes dispositifs dans matière dans les pays de l’Amérique espagnole et dans d’autres pays. Il s’arrête sur document électronique et sur sa valeur légale, pour conclure dans quelle mesure sélection touche les documents électroniques. la la le la

A partir de la experiencia peruana que inicia en 1991 la aplicación de la tecnología informática en los Archivos, la autora analiza los textos dispositivos en la materia en países hispanoamericanos y en otros países. Se detiene en el documento electrónico y en su valor legal, para concluir en cómo afecta la selección a los documentos electrónicos. MENNE-HARITZ, Angelika, ‘Appraisal and Disposal of Electronic Records and the Principle of Provenance: Appraisal for Access - not for Oblivion’ DLM-Experts’ Meeting in Tampere, Vov 11-12, 1999. Principles of Appraisal and Their Application in Electronic Environment - European Models and Concepts. Proceedings. Published by the National Archives of Finland, Helsinki 2000, ISBN 951-53-2201-4, pp. 73-80. Also in: http://www.narc.fi/dlm/9b.htm This paper examines the principle of provenance and the appraisal of records in electronic environment. After analysing the characteristics of electronic records the author concludes that the principle of provenance is especially useful for the appraisal of electronic records. As with paper records it assures the access to the archives. In this sense appraisal is not destruction of information. Instead it creates accessibility. Appraisal concentrates and structures the records so that they are open for investigations. (Markku Leppänen) ( Menne-Haritz is Director of the Archive School of Marburg, Germany) MENNE-HARITZ, Angelika, ‘Appraisal or Documentation: Can We Appraise Archives by Selecting Content?’ American Archivist 57 (Summer 1994), pp. 528-542. The author outlines the various roots of today’s appraisal theory and traces their influence on issues debated today. She describes the influence that early twentieth-century Weberian bureaucracy had on acrhival principles, and she suggests linkages with theories that precede the Second World War and were the basis for the Schellenberg bulletin. She shows how archival theories and debate were overlaid by the political impact of the Cold War confrontation before the fall of the Berlin Wall and the Iron Curtain, noting that since that time, archives have been able to assume their role as windows on government. Now archives must clarify their tools and methods to ensure that traces of decision-making


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processes are visible and transparent. Different methods, such as documentation strategy and acquisition strategy are discussed in the context of their impact on daily work in archives. (American Archivist) (Menne-Haritz is Director of the Archives School of Marburg, Germany) MENNE-HARITZ, Angelika, ‘Appraisal or Selection - Can a Content Oriented Appraisal be Harmonized with the Principle of Provenance?’ The Principle of Provenance. Report from the First Stockholm Conference on Archival Theory and the Principle of Provenance 2-3 September 1993. Skrifter utgivna av Svenska Riksarkivet 10. (Published by the National Archives of Sweden) Borås 1994, ISBN 91-88366-11-1, ISSN 0346-8488, pp. 103-131. In an attempt to formulate some elements of an answer, the author first considers the question of what we appraise and why we do so. Then, a look at historical roots can show the two conflicting goals of archival work in general and especially regarding appraisal. The German context for the theory of appraisal as the “selection of important material” will be explained and contrasted with concepts of a more formal approach on the basis of provenance. The author goes on to describe two major new concepts, the “documentation strategy” and the “acquisition strategy”, as examples of theories which try to adapt their premises to the Principle of provenance. These can show how far the harmonized of content oriented appraisal with the Principle of provenance can be taken, without real consequences for the end product of the appraisal activities. In her final conclusions, the author tries to show what a theory of appraisal in combination with the Principle of provenance can really mean, and, lastly, in five theses sum up the arguments. (Menne-Haritz) ( Menne-Haritz is Director of the German Archive School, Marburg) MENNE-HARITZ, Angelika, ‘Framework and Aims of Appraisal’ Janus 1997: 2, pp. 8-17. Archivists throughout the world have started to understand archives in a dialectic way, that means as a body of methods and techniques with the obligation to destroy in order to preserve. Preservation as a professional task results from this concept. By destroying, consciously and in a responsible way, the rest is kept and can be appreciated in all dimensions of its value. The purpose of this paper is to describe the paradigm shift going on in archives. This is true also in archival theory concerning the main objectives of archival work which in turn influences principles and methods. This paradigm shift does not mean a complete renewal of methods, but rather a more concise understanding and application of fundamental perceptions and principles, with sometimes fundamental consequences for specific areas of professional duties. (Markku Leppänen) MENNE-HARITZ, Angelika and BRÜBACH, Nils, The Intrinsic Value of Archive and Library Material. http://www.uni-marburg.de/archivschule/intrinsengl.html. (12.4.2003) From 1995 to the end of 1996 the Marburg Archive School carried out a project to determine the intrinsic value of archive and library material. The aim was to develope a list of criteria which would allow a speedy and rational selection of holdings requiring, on the one hand, measures to preserve the documents in their original state, or else conversion to durable materials. MEYER, Dietrich and HEY, Bernd (Ed.s), Akten betreuter Personen als archivische Aufgabe Beratungs und Patientenakten im Spannungsfeld von Persönlichkeitsschutz und historischer Forschung, Neustadt an der Aisch 1997.


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This German work relates to the appraisal of the files of patients in hospitals, including case reports and files of medical and psychological consultation. (JT) (in German) NORBERG, Erik & Johansson, Bertil, ‘Appraisal Policy in Sweden’ Proceedings of the Baltic-Nordic Archival Seminar on Appraisal and Disposal in Pärnu, October 11-13, 1995. Published by the National Archives of Finland. Helsinki 1997, ISBN 951-53-1497-6, pp. 46-51. The strategy of the National Archives of Sweden is one of preservation: elimination of any document must be defensible. The strategy for preservation thus contains guidelines for elimination. This paper addresses both elements, preservation and elimination. The paper reviews the general principles and criteria for appraisal with regard to research interests. Certain formal criteria are crucial in the determination of a document’s value to researchers. Evaluation is bound up with theory and depends on the questions asked by researchers. Finally, the paper provides an overview of the basic guidelines for the sampling of records. (Markku Leppänen) (1. Norberg is Director-General of the National Archives of Sweden ; 2. Johansson is Senior Archivist of the National Archives of Sweden) ORRMAN, Eljas, ‘Appraisal and Disposal of Public Records in Finland’ INSAR (Information Summary on Archives) Number 6 (Winter 1998-1999), p. 5. The purpose of this paper is to describe the framework and principles of appraisal and disposal of public records in Finland. At the beginning of 1990s a considerable change took place in Finnish administration. The new Archives Act in 1994 brought considerable changes in the archives system and practice. The aim of Finnish appraisal policy is to preserve a fair and many-sided documentation not only of the administrative activities and political life but also of the different population groups and social phenomena. In accordance with this aim, a general rule in appraisal practice is to try to get the whole of society represented in the permanently retained records with the same intensity and representativity. Finally, the paper offers for the appraisal of electronic records a strategic model according to which the recorded information worthy of permanent preservation would be divided into two categories. (Markku Leppänen) ( Orrman is Director of the Provincial Archives of Vasa, Finland) ORRMAN, Eljas, Structural Complexity of Electronic Records as a Factor Guiding Decisions on Permanent Retention. - DLM-Experts’ Meeting in Tampere, Nov 11-12, 1999. Principles of Appraisal and Their Application in Electronic Environment - European Models and Concepts. Proceedings. Published by the National Archives of Finland, Helsinki 2000, ISBN 951-53-2201-4, pp. 51-56. Also in: http://www.narc.fi/dlm/8.htm The integration of the cost assessment into the appraisal policy of electronic records could be useful in determining the development of the future costs with regard to the permanent preservation of information in electronic form. This is necessary because there is a great temptation to seek expensive technical solutions for permanently preserving all functional qualities of electronic systems. After analysing the characteristics of electronic information systems the author concludes that it seems to be necessary to pay more attention to the cost factor and its predictability for as long a time perspective as possible. (Markku Leppänen) (Orrman is Director of the Provincial Archives of Vasa, Finland) PENN, Ira A., PENNIX, Gail B., and COULSON, Jim, ‘Records Appraisal and Retention Scheduling’ Records Management Handbook, University Press. Cambridge 1998, ISBN 0-566-07510-5, pp. 107-128.


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(1. Penn is CRM, a Senior Management Analyst with the US Federal Government ; 2. Pennix is CRM, an independent consultant in Boston, Massachusetts, associated with the Records Improvement Institute ; 3. Coulson is CRM, President and Senior Consultant with Records Improvement Institute, Westboro, Massachusetss, USA) PETILLAT Christine, ‘La sélection dans les archives publiques : politique et pratique dans les administrations centrales de l’Etat’, Tri, sélection, conservation. Quel patrimoine pour l’avenir ? Actes de la table ronde organisée à l’Ecole nationale du Patrimoine les 23, 24 et 25 juin 1999, pp. 44-47. PETILLAT Christine et PRAX Hélène, ‘Les archives contemporaines ou l’arrivée du flux au quotidien’, in La pratique archivistique française. Direction des Archives de France, Paris, 1993, pp. 231-232. POWELL, Sheila, ‘Archival Reappraisal: The Immigration Case Files’ Archivaria 33 (Winter 1991-1992), pp. 104-116. (Powell is B.A (Hons.) and M.A., Acting Chief of Reference Services at the National Archives of Canada) PRAX Hélène, ‘Le tri archivistique. Les dossiers d’élèves à la commission scolaire des Chutes-de-la-Chaudière’, Archives (Association des Archivistes du Québec), volume XXVII, n° 1, été 1995, pp. 2-43. PUBLIC Record Office, United Kingdom, Records Management: Acquisition and Disposition Policies. Standard for the Management of Government Records. Published by the Public Record Office, United Kingdom, 2000. REED, Barbara, ‘Appraisal: An Overview of Theory and Practice’, Proceedings of ‘Past Caring’, the 2002 Annual Conference of the Australian Society of Archivists, Australian Society of Archivists Inc., 2002, pp. 199-211. This paper aims to provide an overview of background on the development of appraisal theory and practices which will allow informed discussion of the large questions raised in the twentieth century. The paper outlines appraisal traditions and practices from Roman Law through Jenkinson, the Prussian traditions, Schellenberg, Hans Booms, East German practice, documentation strategies and collecting strategies through to Terry Cook, functional appraisal and the current Australian interpretation of appraisal. It identifies different rationales that inform appraisal such as ‘documenting society’, ‘formulating documentary heritage’, ‘selecting archival records’, and ‘keeping records’. ROBERTS, John, ‘One Size Fits All? The Portability of Macro Appraisal by a Comparative Analysis of Canada, South Africa, and New Zealand’ Archivaria No. 52 (Fall 2001), pp. 47 - 68. This article examines the methodology of macro appraisal in environments other than the Canadian context in which it was originally developed. It considers the suitability of the model for government archives in Canada, South Africa, and New Zealand. Macro


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appraisal is discussed first as a theoretical framework and then as a response to practical difficulties arising from other approaches to appraisal. The change management issues surrounding the possible adoption of macro appraisal in other jurisdictions are explored. The article suggests that both theory and practice need to be addressed when considering the adoption of new models. While local conditions need to be considered, the possible value of overseas innovations should not be ignored. Cet article analyse la méthodologie de la macro évaluation ailleurs que dans le contexte canadien où cette approche a été développée et examine la pertinence du modèle pour les archives gouvernementales au Canada, en Afrique du Sud et en Nouvelle Zélande. L'auteur étudie la macro évaluation d'abord en tant que cadre théorique, puis comme une réponse aux difficultés d'ordre pratique qui découlent des autres approches d'évaluation archivistique. Il se penche ensuite sur les questions de gestion du changement entourant l'adoption de la macro évaluation dans d'autres juridictions. L'article conclut que tant la théorie que la pratique doivent être prises en compte lorsqu'on envisage l'adoption de nouveaux modèles et que, bien que les conditions locales doivent être considérées, la valeur possible des innovations provenant de l'étranger ne doit pas être ignorée. (Archivaria) (Roberts is Master of Information Management and Systems ; Senior Archives Policy Analyst with Archives of New Zealand) SAMUELS, Helen, ‘Appraising the Records of Modern Science and Technology’ Janus 1995: 2, pp. 8-19. In many countries, academic archives are regarded as of interest and value only to the home institution. Science and technology, however, are understood by all countries to be vital to their well being. Therefore, the collections in academic archives that capture the pursuit of science and technology - research and teaching - can be a significant resource for that nation. Why, how and when should academic archivist address the documentation of science and technology at their institution? This paper offers two ways to approach these questions: First, a new method of analysis entitled institutional functional analysis is described as a way of understanding the place and documentation of science and technology at academic institutions. Second, a closer examinations is offered of the documentation of science and technology. (Markku Leppänen) (Samuels : Massachusetts Institute of Technology, USA) SAMUELS, Helen W., ‘Improving Our Disposition: Documentation Strategy’ Archivaria 33 (Winter 1991-1992), pp. 125-140. This article begins with some explanation of the concept of documentation strategy and discusses its similarities to and differences from institutional functional analysis. (Markku Leppänen) (Samuels is Archivist and Head, Special Collections, at the Massachusetts Institute of Technology, USA) SANTE, G. W., ‘Archive und Verwaltung - historische Provenienz und Probleme der Gegenwart’ Der Archivar 10 (1957), 7-16. (in German) SANTE, G. W., Behörden ‘Akten - Archive. Alte Taktik und neue Strategie’ Archivalische Zeitschrift 54 (1958), 90-96. (in German) SCHAEFFER, Roy C., ‘Transcendent Concepts: Power, Appraisal, and the Archivist as Social


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Outcast’ American Archivist 55 (Fall 1992), pp. 608-619. The appropriate application of personal, professional, and societal values in archival appraisal has been the subject of analysis and speculation since the origin of programs of acquisition. The author provides a historical overview of the issue, discusses the principle of accountability in appraisal, and explores the notion of a distinct set of values that are the product of the unique knowledge and experience of the archival practitioner. (American Archivist) (Schaeffer is student in the Master of Archival Studies Program at the University of British Columbia in Vancouver) SCHEINBERG, Ellen, ‘Case Files Theory: Does It Work In Practice?’ Archivaria 38 (Fall 1994), pp. 45-60. After reviewing the pertinent literature in the area of selection, sampling, and appraisal, the author recounts her experience applying this information to a backlog project that involved approximately 525 metres of case files created by over one thousand Canada Employment Centres across Canada. In addition to illustrating the benefits of the macro-appraisal method, the backlog project provided an interesting model for investigating the relationship between and implications of records scheduling and backlog reduction. Finally, the author outlines and stresses the physical and intellectual benefits that arise from the implementation of this type of backlog initiative. Après avoir fait la revue de la littérature pertinente dans le domaine du tri, de l’échantillonnage, et de l’évaluation, l’auteure relate l’expérience qu’elle a faite de l’application de ces connaissances à un projet d’évaluation d’environ 525 m de dossiers individuels créés par plus de mille centres d’Emploi Canada à travers le pays. En plus d’illustrer les avantages de la méthode d’évaluation d’ensemble des fonctions d’un organisme (macro-appraisal), le projet d’évaluation des dossiers de l’arriéré d’Emploi Canada fournit un modèle intéressant pour examiner les implications et les rapports entre l’éstablissement des calendries de conservation et la réduction de l’arriéré. Enfin, l’auteure met en lumière les bénefices physiques et intellectuels de cette approche de l’arriéré des dossiers d’un organisme. (Archivaria) ( Scheinberg has Masters degree in History ; Government Archives Division / National Archives of Canada) SCHELLENBERG, T. R., ‘The Appraisal of Modern Public Records’ Bulletins of the National Archives. Number 8, National Archives Publication No. 57-5, Washington 1956. The author discusses the values of public records in relation to the evidence they contain on the organization and functioning of Government bodies and the information in them on persons, things, and phenomena that were concern of such bodies. While the bulletin contains no exact standards by which the value of records may be judged, it suggests certain broad approaches that should be taken in appraisal work. The bulletin also contains convincing evidence that the evaluation of records is not a simple task. Appraisal judgements will be competent to the degree that the appraiser is well trained, has studied the organization, functions, and procedures of the agency whose records he is evaluating, and is familiar with the total research resources and needs of the field in which he is working. (Markku Leppänen) SCHELLENBERG, Theodore R., ‘Die Bewertung modernen Verwaltungsschriftguts. Ûbersetz und herausgegeben von Angelika Menne-Haritz’ Veröffentlichung der Archivschule Marburg, Institut für Archivwissenschatf Nr. 17. Archivschule Marburg 1990. (in German)


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SCHELLENBERG, T. R., Modern Archives: Principles and Techniques, Chicago, 1956. SCHÄFER, U., Archivische Überlieferungsbildung in Kooperation zwischen Archiven und Behörden verschiedener Träger. Das Projekt zur vertikalen und horizontalen Bewertung in Baden-Württenberg. In: Vom Findbuch zum Internet. Erschließung von Archivgut vor neuen Herausforderungen. Referat des 68. Deutschen Archivtags, Der Archivar, Vol. 3 (Siegburg 1998), 165-173. (in German) SCOTT, Monica, ‘Functional Appraisal of Records: A Methodology’ Records Management Journal, Vol. 7, No 2 (August 1997), pp. 101-114. SHEPHERD, Elisabeth (ed.), Theories of Appraisal, London, University College London, The Scholl of Library, Archives and Information Studies, 1988. http://www.ucl.ac.uk/SLAIS/projects/level1.html SIGMOND, J. Peter, ‘Form, Function and Archival Value’ Archivaria 33 (Winter 1991-1992), pp. 141-147. This paper draws attention to some of the approaches now being developed in the Netherlands. The object of this paper is to show that use of structure, forms of material and functions, can aid the archivist in his/her work. Understanding the functions of the organization will provide archivists not only with information about the material involved, but also with a knowledge of the procedures, which in turn provides information about the records and their different forms. Institutional knowledge and knowledge about procedures and forms are of interest, not only to the archivist but to the researchers as well. It has often been argued that all our methods of today are outdated and that we must begin all over again. The author agrees that automation, in particular, causes problems and that new ways to tackle computer output have to be developed. The problem of appraisal is primarily a problem of value or values, figuring out what should be retained or destroyd. The determination of value here should be based on value for the organization that created the records, forst to ensure its continuity (juridical value) and secondly to be understood by future generations (evidential value). (Markku Leppänen) (Sigmond is PhD, Director of the National Army Museum in Delft, Netherlands) SKORKA Lise, ‘Tri et conservation : adapter les critères à une situation locale’, Tri, sélection, conservation. Quel patrimoine pour l’avenir? Actes de la table ronde organisée à l’Ecole nationale du Patrimoine les 23, 24 et 25 juin 1999, pp. 38-43. SPECKER, Hans Eugen, ‘Empfehlungen der Arbeitsgemeinschaft Kommunalarchivare im Städtetag Baden-Württemberg zur Bewertung von Massenschriftgut in Kommunalverwaltungen. Einführung und Textabdruck’, Der Archivar 43 (1990) Sp.375-388. This article includes some recommendation for the appraisal of case papers in local archives. (JT) (in German) STANDARDS Australia, Australian Standard AS4390-1996, Records Management, Part 5 : Appraisal and Disposal.


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This standard describes appraisal as a process of determining which records to capture into recordkeeping systems and the length of their retention. The appraisal of records for permanent retention as archives is included in this appraoch. Information on documenting the appraisal process is also included. (CF) STEINWALL, Susan, ‘Appraisal of the FBI Files Case: For whom do Archivists Retain Records ?’ American Archivist 49 (Winter 1986), pp. 52-64. STEPHENS, David O., ‘At the End of the Life Cycle: Electronic Records Retention’ Proceedings of the DLM-Forum on Electronic Records, Brussels, 18-20 December 1996, INSAR, Supplement II (1997), pp. 106-112. TARRAUBELLA i MIRABET Xavier, “La eliminación de documentos. Estado de la cuestión en la actual teoría archivística” LLIGALL, 1990, n° 2, pp. 149-157. After taking into consideration that the elimination of documents is tied to conservation and the volume of documents produced by public administration, it establishes the criteria for valuation and selection with the end being partial or total elimination. Après avoir considéré que l’élimination de documents est liée à la conservation et au volume documentaire produit par les administrations publiques, on établit des critères pour l’évaluation et la sélection dans le but de préciser la conservation et l’élimination, totale ou partielle. Después de considerar que la eliminación de documentos está ligada a la conservación y al volumen documental producido por las Administraciones públicas, establece, los criterios para la valoración y la selección con el fin de precisar la conservación o la eliminación, total o parcial. THIBODEAU, Kenneth, ‘International Research: Appraisal and Preservation of Scientific Databases’ Proceedings of the 13th International Congress on Archives, Beijing, 2-7 September 1996. - Archivum Vol. XLIII. International Council on Archives, München 1997, ISBN 3-598-21244-5, pp. 320-329. Over the past fifteen years in the United states there have been several collaborative studies of the archival value of scientific records. While these projects are distinct efforts, each undertaken in different organizational contexts, with varying focus and goals, they share in common a primary concern with the records of research and development activities as a resource for historical research. In these endeavors, the potential long-term value of the records of science and technology for further research in these fields themselves has been recognized, but it has not been explored in depth. Generally, consideration of enduring value for scientific research has focused on the data records generated in research and development activities. First the author discusses the involvement in appraising and preserving the records of science and technology by the National Archives of the United States presenting also some special projects and approaches to the appraisal of scientific records. Then he discusses appraising the usefulness of scientific records. Finally he gives us some recommendations for the appraisal of scientific records. (Markku Leppänen)


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THIELE, Harold E. Jr., Appraisal, Provenance and the Computer Revolution: An Examination of Organisational Records in the Electronic Age. http://www.lis.uiuc.edu/review/6/thiele.html TREFFEISEN, Jürgen, ‘Die Transparenz der Archivierung – Entscheidungsdokumentation bei der archivischen Bewertung’, Nils Brühbach (Ed.), Der Zugang zu Verwaltungsinformationen – Transparenz als archivische Dienstleistung. Beiträge des 5. Archivwissenschaftlichen Kolloquiums der Archivschule Marburg (Veröffentlichungen der Archivschule Marburg 33) Marburg 2000, S.177-197. This paper includes some remarks about transparency of appraisal, how to work together with colleaques, users and departments. (JT) (in German) TSCHAN, Reto, ‘A Comparison of Jenkinson and Schellenberg on Appraisal’ American Archivist 65 (Fall/Winter 2002), pp. 176-195. Sir Hilary Jenkinson and Theodore R.Schellenberg, the two leading archival theorists in the English-speaking world in the twentieth century, held strikingly different opinions on the subject of the appraisal of archival records. This paper examines their views on the nature of archival records, the reasons for their retention, and the role of the archivist in the appraisal process. It then traces the evolution of their ideas through the subsequent archival discourse on appraisal in order to identify their continued relevance and lasting contribution, particularly in light of the current debates surrounding the management of electronic records. (American Archivist) (Tschan is student at the School of Library, Archival and Information Studies, University of British Columbia) UHL, Bodo, Der Wandel in der archivischen Bewertungsdiskussion, Der Archivar 43 (1990), pp. 529-538. (in German) UHL, Bodo, Die Geschichte der Bewertungsdiskussion. In: A. Wettmann (hrg), Bilanz und Perspektiven archivischer Bewertung, Veröffentlichungen der Archivschule Marburg, Vol 21. Marburg 1994, 11-36. This is a history of appraisal in Germany until 1990. (JT) (in German) UHL Bodo, ‘Die Bedeutung des Provenienzprinzips für Archivwissenschaft Geschichtsforschung’, Zeitschrift für Bayerische Landesgeschichte 61 (1998) S.97-121. und

This article argues for the significance of the principle of provenance, and against documentation strategy. (JT) (in German) VAZQUEZ MURILLO Manuel, Manual de selección documental, SC ediciones, Carmona, 1995, 210 p. As the title suggests, this is a manual which studies theoretically the process of documentary evaluation. It has three parts. The first is an introduction which places selection in the essential cycle of documents and details terminology. The second concerns the analysis of different documentary values and the third selection techniques for instruments and advisory bodies.


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Il s’agit, ainsi que l’indique son titre, d’un manuel qui étudie, théoriquement, le procédé d’estimation documentaire. Il se présente en trois points. Le premier en guise d’introduction pour situer la sélection dans le cycle vital des documents et en préciser la terminologie. Le deuxième, consacré à l’analyse des différentes valeurs documentaires et le troisième, consacré aux techniques pour appliquer la sélection à partir des instruments et des organes d’assistance. Le texte d’un archiviste argentin est édité en Espagne. Se trata, como su propio título indica, de un manual que estudia, teóricamente, el proceso de evaluación documental. Está estructurado en tres apartados. El primero a modo de introducción para ubicar la selección dentro del ciclo vital de los documentos y precisar la terminología al respecto. El segundo, dedicado al análisis de los diferentes valores documentales y el tercero, dedicado, a las técnicas para aplicar la selección a partir de instrumentos y de órganos asesores. El texto de un archivero argentino está editado en España. WADLOW, T. W., The Disposition of Government Records. - Studies 1, International Council on Archives. ISBN 92-891-0001-X, Paris 1985. WALTERS, Tyler O., ‘Contemporary Archival Methods and Preservation Decision-Making’ American Archivist 59 (Summer 1996), pp. 322-338. This article reviews the literature covering archival appraisal’s role in the process of selection for preservation in archives, and addresses recent efforts to create archival preservation assessment and selection tools. It also provides overviews of some modern appraisal models which are intended for collections and preservation archivists who are working with selection-for-preservation issues. (American Archivist) (Walters is M.A. in Archival Management ; Interim Head, Special Collection Department, and Head, University Archives and Records Management, at Iowa State University Library, USA) WEBER, Peter K. ‘Dokumentationsziele lokaler Überlieferungsbildung’, Der Archivar 54 (2001) S.206-212. (in German) WIEMANN ERIKSEN, August, ‘The Debate on Appraisal - Recurrencies and Traps’ The Principle of Provenance. First Stockholm Conference on Archival Theory and the Principle of Provenance 2-3 sept 1993. Borås 1994, ISBN 91-88366-11-1, ISSN 0346-8488, pp. 133-138. (Weimann Eriksen is Deputy Director General of the Danish National Archives) WILSON, Bruce, ‘Systematic Appraisal of the Records of the Government of Canada at the National Archives of Canada’ Janus 1997: 2, pp. 23-34. This paper addresses the appraisal methodology of the National Archives of Canada. Before the mid-1980s appraisal received less emphasis at the National Archives than other archival functions such as custody and public service. Since 1990, the National Archives has made appraisal and disposition its highest priority for its work with government records. This paper discusses the “multi-year disposition plan” (MYDP) provided for each government institution. MYDPs are long term, involving a cycle of five years or even longer analysis and agreements to work through an institution. This paper describes the problems and benefits of the MYDPs. The long term planning and the scope of the plans it


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is proposing allows the National Archives to approach institutions initially at a much higher level than records managements operations. The paper discusses then the setting priorities for institutions, the appraisal method (a top-down, research-based process), the assesment of the process and the apparent succes at least compared with the results of the former records scheduling process. The MYDPs have brought the National Archives a large step forward in systematic planning of the appraisal of records. (Markku Leppänen) (Wilson is Control Standard Officer, Archives and Government Records Branch, National Archives of Canada) ZANI ROSIELLO, Isabella, Archives et mémoire historique, Bologna, Il Mulino, 1987, pp. 193 (La nuova scienza. Serie di storia). L’auteur confère dans cet ouvrage une importance particulière au tri dont il présente la réglementation et les pratiques, liées aux changements théoriques concernant le concept de mémoire historique. ZANI ROSIELLO, Isabella, ‘Purges et destructions de documents d’archives’, Quaderni storici, LIV (1983), 3, pp. 895-1017. L’auteur insiste sur le concept d’utilité de conservation à travers l’histoire de l’archivistique italienne et d’adaptation des politiques de conservation aux développements historiographiques ainsi que sur l’apport bénéfique de la sélection pour la recherche. ZIMMERMANN, Fritz W., ‘Theorie und Praxis der archivalischen Wertlehre’ Archivalische Zeitschrift, Band 75, S. 263-280. (in German)


ICA Bibliography on Appraisal Draft, Prepared by ICA Committee on Appraisal (ICA/CAP)

Index Architectural records, appraisal of Xiaomi Business records, appraisal of Greene Kohne-Lindenlaub Consultation with users / stakeholders Greene Honer and Graham Treffeisen Documentation strategy Alexander and Samuels American Institute of Physics Cook (1992) Cook (1989) Cox (1989) Cox (1994) Hackman and Warnon-Blewett Samuels Uhl Electronic records, appraisal of Burell Duranti Erlandsson Guercio Henry Mendoza Thiele Menne-Haritz (1999) Functional analysis Samuels (1991/92) Scott Sigmond Government records, appraisal of Brown Buttner, Kretzschmar and Stahlschmidt Dean and Southern Kretzschmar Bailey Wadlow Justice records, appraisal of Empfehlungen Mining records, appraisal of Carter Davies


ICA Bibliography on Appraisal Draft, Prepared by ICA Committee on Appraisal (ICA/CAP)

Macro appraisal Bailey Beaven Brown Roberts Scheinberg Political records, appraisal of Anthony Privacy Cook (UNESCO 1991)

Re-appraisal Powell Sampling Hull Kolish Leppanen Buchholz Buttner, Kretzschmar and Stahlschmidt Cook (National Archives of Canada 1991) Cook (Archivaria 1991) Dean and Southern Science, medicine and technology records, appraisal of American Institute of Physics Meyer and Hey Haas and Samuels Loewen Bailey Thibodeau