UK archivists interested in appraisal (which I hope is all of us) will find
it is worth looking at this NAA discussion paper for the general principles
which are applicable outside Australia

Susan Healy
PRO

> ----------
> From: 	Fiona McInnes[SMTP:[log in to unmask]]
> Sent: 	04 September 1998 00:51
> To: 	[log in to unmask]
> Subject: 	Making Choices
> 
> Dear Aus-archivists
> 
> The National Archives has recently released for public comment a
> discussion paper on the philosophy behind our selection policy for
> records of archival value. It is titled "Making Choices: Deciding which
> Commonwealth records to keep for posterity - a discussion paper" (and is
> the 'longer paper' mentioned by Steve Stuckey in his posting of 15 July
> relating to the AHA conference).
> 
> The paper is accessible at
> http://www.naa.gov.au/govserv/techpub/choices/making_choices.htm
> and printed copies are also available.
> 
> I have also included below the Director-General's Foreword to the
> discussion paper and the Executive Summary, for your information. All
> comments are very welcome.
> 
> 
> MAKING CHOICES
> 
> Deciding which Commonwealth records to keep for posterity 
> - a discussion paper
> 
> 
> 
> FOREWORD
> 
> One of the most important functions of the National Archives of
> Australia is to select, on behalf of the nation, those Commonwealth
> records which have archival value and ought to be preserved for future
> generations. 
> 
> Keeping records well requires a considerable commitment of time and
> resources. At the Commonwealth government level, the scale of the task
> is enormous and complex. Records which are no longer needed by
> government agencies to conduct business, or to fulfil accountability
> requirements, quite properly need compelling reasons for their continued
> retention and maintenance. 
> 
> For many years the National Archives has used standard criteria and
> methods for determining the values of Commonwealth records. There are
> now, however, strong indications based on past and projected funding for
> government records that the criteria and methods are leading the
> Commonwealth towards an unsustainable level of retention of records
> nominated for posterity. We need to deepen our understanding of what
> constitutes 'archival' value records. We also need to identify, if
> possible, those situations where there is a compelling case for
> continued funding to preserve them.
> 
> It is timely, therefore, that the National Archives should review the
> basis for deciding which Commonwealth records should be kept and for how
> long.  Consulting you, the ultimate owners of Commonwealth records, has
> also been encouraged by the Advisory Council on the National Archives
> and by the Australian Law Reform Commission during its recent review of
> the Archives Act 1983. Partly to assist this consultation, the National
> Archives has prepared the following document. It outlines some of its
> assumptions about the appraisal of records and proposes a set of aims
> for the retention of records over and above the administrative needs of
> government agencies.  
> 
> It is important for us to know what others think about these matters and
> we would welcome your comments.
> 
> 
> 
> George Nichols
> Director-General
> 
> 
> 
> 
> 
> 
> 
> 
> 
> 
> 
> EXECUTIVE SUMMARY
> 
> 
> The challenge
> 
> The Commonwealth Government creates huge quantities of records each year
> - a wonderful resource documenting the activities of the Commonwealth
> Government and a huge range of incidental matters.  The Archives is
> actively involved in ensuring that Commonwealth agencies create full and
> accurate records in the first place.
> 
> However, it would be prohibitively expensive to keep (and to keep
> accessible) all of these records beyond the administrative need for
> them.  Also, the records document matters greatly varied in importance -
> from major Cabinet decisions to the servicing of photocopiers.
> 
> It is the role of the National Archives of Australia to reconcile the
> competing interests in keeping or destroying records.  The Archives acts
> as the decision-maker on behalf of society as a whole.  We consider the
> full range of reasons for keeping records and the variety of costs
> involved, and then decide which records to keep for posterity.  
> 
> The Archives currently holds some 250,000 metres of records designated
> for permanent retention and many more are in the custody of Commonwealth
> agencies.  The Archives' holdings alone are being added to at the rate
> of over 10,000 metres a year.  This represents only a fraction of the
> records ever created by the Commonwealth, although it is increasingly
> difficult to fund retention even at this level.
> 
> On what basis do we decide what is to be kept and what is to be
> destroyed?
> 
> We have recently identified three aims for keeping records permanently.
> These aims are broad, multi-focussed and not mutually exclusive.  We
> propose that these will be used as the basis, at the broadest level, for
> determining which records will be kept and which destroyed.  
> 
> 	The three aims are:
> 
> 	1.	to provide a concise record of the source of authority,
> machinery and most important decisions and activities of the
> Commonwealth and Commonwealth institutions;
> 
> 	2.	to enable future generations to gain knowledge about
> significant aspects of Australia's culture, heritage and people; and
> 
> 	3.	to retain other records which are very likely to be of
> substantial benefit to society at large.
> 
> The first aim is the unique responsibility of the National Archives -
> documenting the Commonwealth Government.  We interpret this aim broadly
> but it does focus on the value of records in relation to their original
> purpose.  A wide variety of types of records would be kept under this
> aim, for example, policy documents, evaluation reports, records of
> important decisions and some case records.  A fuller range of records
> will be kept to document the more important activities. A range of
> indicators will be used to assess importance but they centre on the
> magnitude of the impact of the Government activity involved.
> 
> The second aim recognises the enormous amount of use made of
> Commonwealth records for purposes apart from the original purpose of the
> records.  We will keep the best or most sought after records to document
> aspects of Australia's history and society generally.  Examples of such
> records include records which illustrate particular social attitudes at
> a particular time such as migrant selection case files; case records and
> other name identified records which document personal and family
> history; and photographic records such as photographs of post offices,
> customs houses and lighthouses.  
> 
> The third aim focuses on identifiable benefits to be gained from keeping
> records.  Of course, substantial benefits will be obtained from keeping
> records under the first two aims. However, additional records would be
> kept by considering this aim separately.  For example, records which are
> used as the basis for national boundaries, significant time series of
> environmental observational data and records of radioactive sites.
> 
> 
> The process
> 
> The assessment of values of Commonwealth records is the joint
> responsibility of Commonwealth agencies and the Archives. As part of the
> assessment process interest groups and experts in particular fields are
> sometimes consulted directly for their opinions and advice. The Archives
> is currently examining additional ways of identifying community
> expectations about recordkeeping.
> 
> Agencies make the initial assessment in accordance with criteria and
> procedures set down by the Archives.  The Archives reviews these
> proposals for retention and destruction of records and may negotiate
> changes. When the Archives is satisfied that the proposal is
> appropriate, a disposal authority is issued which has the dual purpose
> of authorising the destruction of some records and identifying others
> for permanent retention.
> 
> The Archives recognises that, at any point in time, we will be deciding
> what to keep for posterity on the basis of what we now consider to be
> important.  However, there is no way of predicting with 100% accuracy
> what will be wanted or valued in the future. 
> 
> There are a number of methods for assessing the value of records. These
> include analysing the nature and importance of the functions and
> activities documented in records, analysing the nature of past and
> current use of records and following trends and changes in the
> disciplines that make use of archival records.  It is the Archives' aim
> to use such methods to make sure that we get the best possible outcome.
> 
> 
> 
> 
> 
> FEEDBACK
> 
> We are seeking comments from the public and Commonwealth agencies on our
> proposed aims of retention and the process of assessing the value of
> records. We would be grateful if these comments could be received by 30
> November 1998.
> 
> Please direct comments to:
> 				Assistant Director-General 
> 				Government Services
> 				National Archives of Australia
> 				PO Box 7425
> 				Canberra Mail Centre
> 				ACT 2610
> 
> 				Or email :  [log in to unmask]
> 				Please type comments on appraisal in the
> subject header
> 
> 
> 
> Fiona McInnes
> Government Services Policy
> 
> National Archives of Australia
> PO Box 7425
> Canberra Mail Centre
> ACT 2610  Australia
> 
> tel: +61 2 62123679
> email:  [log in to unmask]
> 


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