CT
Monday 8th March
9.00-9.30
Welcome and introduction to the program
George Nichols, Director General, National Archives of
Australia
9.30-10.30 An overview of appraisal: what is it? What's wrong with the
taxonomical approach? What does it mean that something has
archival or permanent or lasting value? Is appraisal objective
and scientific or subjective and relative? What aspects of
sobiety or government should be reflected in archival holdings?
Why is this on the agenda? What is functional appraisal?
Terry Cook
10.30-11.0 Tea
11.30-12.30 A continuum view of appraisal.
Barbara Reed
12.30-1.45 Lunch
1.45-3.15
Workshop on identifying issues of concern: where are the areas
of conflict etc
Outcome: a list of things to be addressed, worked through over
the week
3.15-3.45 Tea
3.45-5.0Case Study 1:
EveningMeet the people and networking
COF STA Program
Tuesday 9th March
9.00-10.0
Appraisal in the electronic environment:
The issues (levels of aggregation, disposal schedules as tools,
applying sentences at creation, the problems encountered GRS 20)
David Roberts, Director, State Records Authority NSW
10.00-10.30 Morning Tea
10.30-11.30 A vendors view of the software and its capacity to apply
standard archival appraisal tools in the electronic environment.
An invitation for the vendors to tell us what types of tools might
work and critique our existing professional paradigms.
Brand Hoff, Tower Software
11.30-12.30 The view from the workplace. Can agency staff be 'trusted' with
appraisal? What are the reactions/the problems when this stuff
happens in the workplace?
SLI--ff -
The devil's advocate point or view: Barbara Reed and Terry
Cook
Discussion
12.30-1.0Short lunch
1.00-2.0Transport to NAA East Block
2.00-4.0Address to the National Archives Staff:
Terry Cook and Rick Barry
4.00 4.30A public programming view: a tour of the exhibitions of NAA
(with commentary from Gabrielle Hyslop on what types of
records are needed and how we might identify them)
-
4.30-5.30 Back to Bungendore
Evening:And so, gently to work on the set task....
COFSTA Program
2
Wednesday 10th March
9.00-10.30 The methodologies in implementation. Traditional approaches
contrasted to the Canadian experience (with reference also to
the PIVOT project and other international initiatives)
Terry Cook
10.30-11.0 Tea
11.00-12.30 Defining and constituting an appraisal regime: What does it
mean, what are the issues?
John Roberts National Archives of NZ
Input from participants on their own state situation
Outcome: a working document outlining the realities for each
state participating (to be consolidated and circulated during
School)
12.30-1.45 Lunch
1.45-3.15
Coping with changes to the regime: privatisation and
globalisation
Privatising the Victorian power industry: Lisa Enright, ASAP
ARC
Privatising the Queensland Gas industry: Lee MacGregor,
State Archivist, Queensland State Archives
3.15-3.45 Tea
3.45-5.15 Case study
Evening:Networking etc
COFSTA Program 3
Thursday 11 th March
9.00-10.0 On line Government: Current initiatives and emerging
directions.
Jim Aked, Office for Government Online
10.00-10.30 Are the administrative and cultural values of archives
compatible?
Terry Cook
10.30-11.0 Tea
11,00-12.30 Articulating our understandings:
NM's Making Choices
Kathryn Dan, National Archives of Australia
Reports from the States on the basis of their decision making at
present: are these articulated, how firmly are they followed etc
12.30-1.45 Lunch
1.45-3.15
The Stakeholders:
• a reference/access view : Anne Marie Schwirtlich
• the historians view : Hilary Golder
• a regulator: to be advised
• A user group: ATSI or genealogist?
3.15-3.45Tea
3.45-5.0Case Study 3:
Evening:Networking etc
COFSTA Program
_
Friday 12th March
9.00-10.30
Reappraisal: what is the impetus? Why? What criteria? How do
we revisit the decisions of the past?
Jim Stokes, National Archives of Australia
Tony Newton, Manager, Government Recordkeeping,
State Records Authority, NSW
10.30-11.0
Tea
11.00-12.30 Documenting decisions: the interventionist and visible hand of
recordkeepers; contestable decisions; who reviews; involving
stakeholders; accountability of archivists to mission and future;
where do decisions get made/implemented
Barbara Reed
A rep from Australian National Audit Office
Discussion input from participants on their review mechanisms
12.30-1.45
Lunch
1.45-2.15
2.15-3.16
Training and skills for appraisal: the competency standards and
their adequacy/ professional education
Barbara Reed
Workshop on appraisal/reappraisal criteria and what we need to
know/be able to do: building from case studies, evening
discussions etc
Outcome: The Bungendore Blueprint
3.15-3.45
Tea
3.45-4.15
And where are we: rounding up comments from Terry
4.15
Close
COFSTA Program 5
List of Delegates for the 1999 NM / COFSTA Residential School
Accommodated at the 'Carrington of Bungendore'
Mr Terry Cook
(Spa Suite)
4 nights
Monday — Thursday
Ms Marie Adams
4 nights
Monday — Thursday
Ms Eileen Boy!dew
4 nights
Monday — Thursday
Mr Simon Davis
5 nights
Sunday — Thursday
Ms Colleen McEwen
5 nights
Sunday — Thursday
Ms Enid Netting
5 nights
Sunday — Thursday
Ms Anne Robertson
4 nights
Monday — Thursday
Mr Geoff Smith
5 nights
Sunday — Thursday
Mr John Roberts
nights
Sunday — Thursday
(Note: Late arrival on Sunday evening — approx. 2230 hrs)
Ms Jackie Bettington
5 nights
Sunday — Thursday
Ms Barbara Reed
(Spa Suite)
5 nights
Sunday — Thursday
Mr Bill Orr
5 nights
Sunday — Thursday
Ms Hilary Golder
1 night
Thursday
Page 1 of 1
"
Orr
Barbara Reed [[email protected] ]
From:
Sent:Saturday, 13 February 1999 18:14
To:Steve Stuckey; Bill Orr; Peter Meadley
Cc:terry.cook@sympatico
Subject: COFSTA program revision
Dear Steve et al
Attached is a redraft of the COFSTA program which incorporates comments received from both Terry and
Steve. (I'll be sending a seperate email to Terry outlining what I think is going on in the sessions). But if it
looks OK to you I'd like to get approval with the proviso that the speakers are a wish list and there may be
changes due to availability etc.
I look forward to hearing from you. The sooner the better, as I think I need to line up the speakers pretty
quickly. Just for your information: I'm out of the office from Tuesday to Friday this coming week and won't
be reading email).
Barbara
•
Barbara Reed
Recordkeeping Systems Pty Ltd
44 Grosvenor St, Woollahra, 2025, NSW
Ph: 61 2 9369 2343
[email protected]
15/02/99
Monday 8th March
9.00-9.30
Welcome and introduction to the program
George Nichols, Director General, National Archives of
Australia
9,30-10.30 An overview of appraisal: what is it? What's wrong with the
taxonomical approach? What does it mean that something has
archival or permanent or lasting value? Is appraisal objective
and scientific or subjective and relative? What aspects of
society or government should be reflected in archival holdings?
Why is this on the agenda? What is functional appraisal?
Terry Cook
10.30-11.0 Tea
11.30-12.30 A continuum view of appraisal.
Barbara Reed
12.30-1.45 Lunch
1.45-3.15
Workshop on identifying issues of concern: where are the
areas of conflict etc
Outcome: a list of things to be addressed, worked through over
the week
3.15-3.45 Tea
3.45-5.0
Case Study 1:
* Barbara to write something that seeks to draw out the issues across the whole - also linked to electronic records as a feeder
to Tuesday morning.
Evening Meet the people and networking
COFSTA Program: Draft 2, 13th February.
1
Tuesday 9th March
9.00-10.0
Appraisal in the electronic environment:
The issues (levels of aggregation, disposal schedules as tools,
applying sentences at creation, the problems encountered GRS 20)
David Roberts, Director, State Records Authority NSW
10.00-10.30 Morning Tea
10.30-11.30 A vendors view of the software and its capacity to apply
standard archival appraisal tools in the electronic environment.
An invitation for the vendors to tell us what types of tools might •
work and critique our existing professional paradigms.
Brand Hoff Tower Software
StkI
11.30-12.30 The view from the workplace. Can agency staff be 'trusted' with
appraisal? What are the reactions/the problems when this stuff
happens in the workplace?
A devil's advocate point of view: Barbara or Terry or both?
Discussion
12.30-1.0 Short lunch
1.00-2.0Transport to NM East Block
2.00-4.0Address to the National Archives Staff: Terry Cook and Rick
Barry
4.00-4.30A public programming view: a tour of the exhibitions of NM
(with commentary from ?Gabrielle on what types of records are
needed and how we might identify them?)
4.30-5.30Back to Bungendore
Evening:And so, gently to work on the set task....
COFSTA Program: Draft 2, 13 th February. 2
Wednesday 10th March
9.00-10.30 The methodologies in implementation. Traditional approaches
contrasted to the Canadian experience (with reference also to
the PIVOT project and othgr international initiatives)
Terry Cook
10.30-11.0 Tea
11.00-12.30 Defining and constituting an appraisal regime: What does it
mean, what are the issues?
John Roberts National Archives of NZ
Input from participants on their own state situation
Outcome: a working document outlining the realities for each
state participating (to be consolidated and circulated during
School)
12.30-1.45Lunch
1.45-3.15
Coping with changes to the regime: privatisation and
globalisation
Privatising the Victorian power industry: Lisa Enright, ASAP
Privatising the Queensland Gas industry: • •••••
3.15-3.45 Tea
3.45-5.15
Case study (probably continuation) taking into privatisation,
getting them to discuss regimes, methodologies and
implementation issues
Evening:Networking etc
COFSTA Program: ,Praft 2, 13 th February.
3
Thursday 11W March
9.00-10.0 Emerging directions: On line Government: Peter Hallams, Office
for Government Online
10.00-10.30 Are the administrative and cultural values of archives
compatible?
Terry Cook
10.30-11.0 Tea
11.00-12.30 Articulating our understandings:
NAA's Making Choices
Kathryn Dan, National Archives of Australia
Reports from the States on the basis of their decision making at
present: are these articulated, how firmly are they followed etc
12.30-1.45 Lunch
1.45-3.15
The Stakeholders:
• a reference/access view : Anne Marie Schwirtlich
• the historians view : Hilary Golder
• a regulator: to be advised
• A user group: ATSI or genealogist?
3.15-3.45Tea
3.45-5.0
Case Study 2:
**Barbara to write something that tries to pull boring records into
socially important contexts - maybe use newspaper analysis;
IOC; Stasi records etc
Evening:Networking etc
COFSTA Program: Draft 2, 13 th February. 4
Friday 12 1" March
9.00-10.30 Reappraisal: what is the impetus? Why? What criteria? How do
we revisit the decisions of the past?
Jim Stokes, National Archives of Australia
?Tony Newton, Government Recordkeeping, State Records
Authority, NSW or
?Margaret Burns, PROV
•
10.30-11.0 Tea
11.00-12.30 Documenting decisions: the interventionist and visible hand of
recordkeepers; contestable decisions; who reviews; involving
stakeholders; accountability of archivists to mission and future;
where do decisions get made/implemented
Barbara
A rep from Auditor General's Department
Discussion input from participants on their review mechanisms
12.30-1.45 Lunch
1.45-2.15Training and skills for appraisal: the competency standards and
their adequacy/ professional education
2.15-3.15 Workshop on appraisal/reappraisal criteria and what we need to
know/be able to do: building from case studies, evening
discussions etc
Outcome: The Bungendore Blueprint
3.15-3.45Tea
3.45-4.15 And where are we: rounding up comments from Terry
4.15Close
COFSTA Program: Draft 2, 13 th February. 5
National Archives
MINUTE
Reference: 1998/762
Mr George Nichols
Director General
Mr Steve Stuckey
Assistant Director- General
Government Services
THE 1999 NAA/COFSTA RESIDENTIAL SCHOOL
At meeting 54 of COFSTA, held on 8 May 1998 in Canberra, a proposal was
presented by the NAA to conduct a Residential School in early 1999, based on the
model employed for similar schools conducted in 1996 and 1997 by the NAA and
COFSTA. Members endorsed the project unanimously.
The Venue
Provisional bookings have been made with the Carrington Motel at Bungendore, the
venue endorsed by COFSTA members at their 8 May 1998 meeting, for the week
commencing 8 March 1999 and the week beginning 15 March 1999.
Invited Expertise
Part of the proposal submitted to meeting 54 of COFSTA by the NAA involved
extending an invitation to Mr Terry Cook to attend the School as a guest presenter. He
has agreed to do so and as a consequence, the proposed date for the commencement of
the School is either the week beginning 8 March 1999 or the week beginning 15
March 1999.
It is anticipated that Mr Cook will participate in the opening and closing sessions of
the workshop with some, as yet undefined, involvement in the intervening period.
Appointment of a Director of Studies
Meeting 54 of COFSTA endorsed the proposal that a Director of Studies be appointed
to oversee the conduct of the School and assist with the development of the
curriculum. i lie Director
01
6tuuies will De requileu to vvuin. Liustay wpm.
L11L
vi Lie
NAA and Mr Cook in developing a course of study that meets the requirements of the
organisers.
2
A draft advertisement is being prepared to facilitate the appointment of an appropriate
person to the position. A draft project brief is also to be prepared for use in the
recruitment effort.
The proposed theme for the School is, 'Appraisal and Re-appraisal of Records —
Philosophy and Methodology'. It will be the responsibility of the Director of Studies
to coordinate development of a curriculum that adequately addresses this theme.
Financial Arrangements
Candidates
Experience has indicated that the optimal number of candidates for the conduct of the
School is 15. Equally, for predominantly financial reasons, the minimum justifiable
number of attendees is 10.
It is proposed that a call for candidates be made amongst COFSTA members
immediately. To this end, a draft letter to COFSTA members is attached for your
consideration.
At the 8 May 1998 meeting of COFSTA, it was agreed that an invitation to attend the
School might be extended to candidates from New Zealand. If we canvass support for
the School from within COFSTA at this point, we will be able to ascertain the
availability of places for candidates from New Zealand and issue invitations.
(Rill) R ()rr
Executive Officer
COFSTA
15 September 1998
M
II
Our reference:
1998/762
_
1
NATIONAL
ARCHIVES
OF AUSTRALIA
Mr David Roberts
Principal Archivist
Archives Office of NSW
2 Globe Street
The Rocks NSW 2000
Dear David
At the 54th meeting of COFSTA, held in Canberra on 8 May 1998, members agreed to a National
Archives proposal to conduct a Residential School in early 1999. The proposal received unanimous
approval from the members and we are now commencing planning and organisation for the conduct of
the School.
It is intended that the School should be conducted in the same manner as its predecessors in 1996 and
1997. The location chosen for its conduct is the Carrington of Bungendore, a well appointed
hotel/conference centre 30 km from Canberra and the venue utilised for the successful 1997 School.
We are planning for the School to commence either on 8 March 1999 or 15 March 1999, but precise
details are still being negotiated.
The suggested theme for the 1999 School is 'Appraisal and Re-appraisal — the Philosophy and
Methodology of Practice'. We have, as agreed at the 8 May 1998 meeting, approached Mr Terry
Cook, formally of the National Archives of Canada and now a faculty member of the Archival Studies
Progamme at the University of Manitoba, to assist with the presentation of the School. As a widely
respected and experienced member of the international archival community, his contribution to the
School will be valuable indeed.
We are currently involved in commencing a recruitment campaign to employ a Director of Studies for
the School. When this position is filled, the theme for the School will be expanded and a curriculum
developed.
Queen Victoria terrace, Parkes ACT 2600
PO Box 7425, Canberra Mail Ceritre.. ACT - 26 -10
Tel (02) 6212 3600 Fax.."(02). -. 6212 3699 [Inoti ar.thiye.sebnaa.gov.au
rh Ft, rim
Drtbkr
I would be grateful if you could, at this stage, proffer an estimate of the number of nominations your
organisation will be forwarding. This will assist with the organisation of the School and assist in
determining how to proceed with invitations to institutions in New Zealand, another possibility
outlined at the May meeting. Formal registration procedures will commence at a later date.
If you have any additional remarks or suggestions I would be grateful to hear them.
Yours sincerely
George Nichols
-- September 1998
Government Services reading circle
Welcome
The reading circle is an informal group of Government Services staff and GAAs who will
spend some time each fortnight reading and discussing a range of archival writings. The
presumption behind the circle is that archivists have a unique way of seeing their world
and that learning about archival thinking and writing is an integral part of your
professional development. Simon Davis and Anne Robertson will run the circle during
2000. If you are a GAA in Government Services you have to be involved in the reading
circle. Participation for other people is optional, although once you start it is expected
that you will see the program through.
With a few exceptions, the readings are about archivists talking to archivists about what
archiving is all about. Is what they are saying meaningful? Useful? Important? One of the
goals of the reading circle is to question why these readings say what they say and to
determine whether they are relevant to our day-to-day work.
Another goal of the reading circle is to introduce you to a range of different ideas about
what archiving is. How different are these ideas on archiving from what we do at NAA?
How come NAA ended up doing what it is doing and not what some of these other
archivists think an archival institution should be doing?
The final goal is to make you aware of some of the major sources of writings on archives.
You will find articles from the three major (for Australians at least) archival journals:
Archives and manuscripts, Archivaria, and The American Archivist. There are also
references to other journals in the field and chapters from important monographs and
readers. Like many other fields of endeavor there are classic readings from dead white
males: you'll be introduced to Jenkinson (from Britain) and Schellenberg (from the
USA). More contemporary writers you read are Cook and Taylor (from Canada), Duranti
(from Canada via Italy), Bearman (from the USA), and Scott, McKemmish and Upward
(some of our own).
Simon selected the readings we are looking at (with some help from one or two others).
He's not an archival academic or theoretician and his choices, in both topics and
readings, were designed to stimulate discussion rather than to present the archival canon.
We should view the reading circle as a rather idiosyncratic starting point rather than an
exhaustive course in its own right.
At first the list of readings may appear daunting. Don't panic! Firstly, a lot of the articles
are really short. Secondly, you don't have to read everything. The most important
readings for each meeting are presented at the top, so just work your way down the list
and stop when you run out of time or energy. (Please try to read at least the first item for
each meeting!) It is not necessary to meticulously follow all the arguments of every
article. We're looking for general themes and ideas—to give you a background. You may
want to re-visit some of these articles later on for a closer read (some of them pay re-
visiting several times). Whilst you should use work time to prepare for the reading circle
meetings, remember that your first priority is the work you are directed to do by your
rotation supervisor.
Reading circle meetings will be held every second Friday at 12:30 in the Holt Room.
Each meeting should last for about an hour—please bring your lunch. With the exception
of the first meeting's reading (a short book by Hilary Golder) all the readings have been
scanned into the RkS and are available on the file 2000/171. (You can either read them
on screen or you can print out your own copy.)
If you begin to feel a little disorientated just talk to Simon or Anne. If you would like to
read some introductory textbooks to get your own bearings, try the following:
Judith Ellis (ed), Keeping archives, Melbourne: Thorpe, 1993, 2nd ed.
A mainstream handbook on contemporary archiving published on behalf of the
Australian Society of Archivists. You may find chapter 1 and its glossary especially
useful.
Jay Kennedy and Cherryl Schauder, Records management: a guide to corporate
recordkeeping, Melbourne: Longman, 1998, 2nd ed.
An Australian university textbook heavily influenced by recent debates and the
Australian Standard for Records Management, AS4390. Again the first few chapters may
be the most useful for the reading circle.
Both these books are available in the NAA Library. In fact, just about all the readings
below are in the NAA library, as well as a whole heap more. Speak to Eileen Tannachion
for help with the library.
1. Friday 3 March: Some corporate history
Before we get in too deep, just who and why is the National Archives? Golder's book
was a commissioned history to celebrate the Archives' fiftieth birthday. It is only
seventy-odd pages long and very easy to read.
Hilary Golder, Documenting a nation: Australian Archives—the first fifty years,
Canberra: Australian Archives in Association with AGPS, 1994.
2. Friday 17 March; Some archival history
Where have archivists been in the past? What ideas have people had about archiving in
the past? Posner provides a brief survey of the development of late modern archival
principles. Duranti is a whirlwind tour from clay tablets to today.
Ernst Posner, 'Some aspects of archival development since the French
Revolution', in, Maygene F. Daniels and Timothy Walch (eds), A modern
archives reader: basic readings on archival theory and practice, Washington:
National Archives Trust Board, 1984, 3-14.
Luciana Duranti, 'The odyssey of records managers', in, Tom Nesmith (ed),
Canadian archival studies and the rediscovery of provenance, Metuchen:
Scarecrow Press, 1993, 29-60.
3. Friday 31 March: We live in interesting times
Some commentators claim that the last few decades will be the worst documented period
of the twentieth century because of rapid technological change. Is there are problem with
contemporary recordkeeping? And are computers really to blame?
Although there are quite a few articles, many are very short. Reading Burke's article is a
must—it isn't just about technology! (What are the implications of Burke's article for the
view that archivists should retain a strong link with records managers?) Reynolds,
Rothenberg and Roberts help to set the scene. Sharman is about the nadir of Australian
public recordkeeping—WA Inc. Yorke provides an interesting archival case study.
Frank G. Burke, 'Chaos through communications: archivists, records managers
and the communications phenomenon', in, Barbara L. Craig (ed), Archival
imagination: essays in honour of Hugh A. Taylor, Ottawa: Association of
Canadian Archivists, 1992, 154-177.
Chris Reynolds, 'Just for the record', New Scientist, 28 April 1990, [1 p.]
Dick Pountain, 'Out of data', PC authority, July 1999, 16
Peter Cochrane, 'Toss e-mail on the uniheap', The Australian, October 13 1998,
'The cutting edge', p.8
Jeff Rothenberg, 'Ensuring the longevity of digital documents', Scientific
American, January 1995, 42-47
David Roberts, 'Sports rorts", recordkeeping and accountability', Informaa
Quarterly, August 1994, 11-14.
Bob Sharman, 'The hollow crown', Archives and Manuscripts, 21(2), November
1993, 196-207.
Terry Cook, 'It's 10 o'clock: do you know where your data are?', Technology
review, 53, January 1995, 48-53
Stephen Yorke, 'Management of petroleum data records in the custody of
Australian Archives', Archives and manuscripts, 25(1), 1997, 62-73
4. Friday 14 April: The record
An old chestnut. What is a record? And—much more importantly—why are archivists so
obsessed about the concept of the record? Is there a sense of common ground here? Are
these arguments justifiable? Well thought-out? What do you think non-archivists would
think of these articles?
Hilary Jenkinson, A manual of archive administration, London: Lund,
Humphries, 1965 2nd ed. Part 1 ('Introductory', 1-16)
'Documenting the business of the department on files', Appendix 9, Senate Select
Committee on Matters arising from Pay TV tendering, December 1993, 131-138.
Luciana Duranti, 'Reliability and authenticity: the concepts and their
implications', Archivaria, 39, 5-10.
Sue McKemmish, 'Evidence of me', Archives and manuscripts, 24(1), 1996, 2845.
Luciana Duranti, 'The archival bond', Archives and museum informatics, 11,
1997, 213-218.
Robert Saunders, 'Record, pre-record, non-record', Records management
quarterly, 28(3), 1994, 52-57
David Roberts, 'Defining electronic records, documents and data', Archives and
manuscripts, 22(1), 1994-14-26.
5. Friday 28 April: Classic ideas on the role of the archive and the archivist
Classic ideas about what the 'archive' is. It shouldn't take too long to read Jenkinson:
remember you are reading for themes and ideas not for his technical detail (that can be
looked at another day). What does Jenkinson mean by the 'moral' and 'physical' defence
of the archives? Follow-up by reading McLean. His contribution was vital to the early
years of the Commonwealth Archive Office and many of his ideas about Jenkinson help
to explain why NAA is the way it is today. For a change look at the Canadian concept of
'total archives'. What is the difference between 'total archives' and what NAA does?
Schellenberg discusses the difference between archives and records management from an
archival perspective.
Hilary Jenkinson, A manual of archive administration, London: Lund,
Humphries, 1965 2nd ed. Part 2 ('Origin and development of archives and rules
for archive keeping', 23-135).
Ian McLean, 'An analysis of Jenkinson's "Manual of archive administration" in
the light of Australian experience', in, Peter Biskup et al (ed), Debates and
discourses: selected Australian writings on archival theory, 1951-1990, Canberra:
Australian Society of Archivists, 1995, 53-78.
Wilfred I. Smith, 'Total archives": the Canadian experience', in, Tom Nesmith
(ed), Canadian archival studies and the rediscovery of provenance, Metuchen:
Scarecrow Press, 1993, 133-150
An introduction to the Canadian concept of 'total archives' via a potted history of
the development of the Public Archives of Canada.
T.R. Schellenberg, Modern archives: principles and techniques, Chicago:
University of Chicago Press, 1956. Part 1 ('Introduction', 3-32).
Richard Stapleton, `Jenkinson and Schellenberg: a comparison', Archivaria, 17,
75-85.
A brief compare and contrast essay on Jenkinson and Schellenberg.
On the archive—
Writings about history that tell use a lot about the nature of the archive and the record.
Only if you have the time and energy.
Paul Hasluck, 'Problems of research on contemporary official records', in, Peter
Biskup et al (ed), Debates and discourses: selected Australian writings on
archival theory, 1951-1990, Canberra: Australian Society of Archivists, 1995, 1529.
R.C. Sharman, 'Causation in historical study', in, Peter Biskup et al (ed), Debates
and discourses: selected Australian writings on archival theory, 1951-1990,
Canberra: Australian Society of Archivists, 1995, 101-115
6. Friday 12 May: Understanding recordkeeping through description
Describing records isn't about cataloguing. It is all about naming, controlling and
understanding. If you never read anything else during the year, read Scott's famous
article! A lot of the material here is presented for you own reference later on. Apart from
Scott, Wagland and Kelly gives you some NAA background, Duchein represents a totally
different perspective. Simes, Hurley, and Kelly present, in their own ways, different
implications of Scott's ideas.
Peter J. Scott, 'The record group concept: a case for abandonment', in, Peter
Biskup et al (ed), Debates and discourses: selected Australian writings on
archival theory, 1951-1990, Canberra: Australian Society of Archivists, 1995, 7990.
The seminal article on the modern intellectual control of archives. This article is
really less about how to arrange and describe stuff than on changing our
understanding about what that stuff is in the first place.
Mark Wagland and Russell Kelly, 'The series systems—a revolution in archival
control', in, Sue McKemmish and Michael Piggott (eds), The records continuum:
Ian McLean and Australian Archives, first fifty years, Melbourne: Ancora Press in
association with Australian Archives, 1994, 131-149.
A good introduction to the history of NAA practices since Scott's article.
Cheryl Simes, 'The record group is dead—long live the record group!', Archives
and manuscripts, 20(1), 1992, 19-24.
A decade-and-a-half after the work of Scott and others at NAA, the rest of the
world begins to catch up.
Michel Duchein, 'Theoretical principles and practical problems of respect des
fonds in archival science', Archivaria, 16, 1983, 64-92.
Duchein presents a classical European understanding on archives and their
description. The absolute antithesis of Scott.
Chris Hurley, 'The Australian ('series') system: an exposition', in, Sue
McKemmish and Michael Piggott (eds), The records continuum: Ian McLean and
Australian Archives, first fifty years, Melbourne: Ancora Press in association with
Australian Archives, 1994, 150-172.
An excellent, if sometimes difficult to read, discussion of the implications of
Scott's ideas.
Sue McKemmish, 'Are records ever actual?', in, Sue McKemmish and Michael
Piggott (eds), The records continuum: Ian McLean and Australian Archives, first
fifty years, Melbourne: Ancora Press in association with Australian Archives,
1994, 187-203.
One of my all-time favourite articles. A challenging, but flawed, discussion about
what records actually are, again based on Scott's ideas. Worth reading several
times.
7. Friday 26 May: Appraisal—deciding what to keep
For many Americans Schellenberg is to appraisal what Scott is to description. Steinwell
raises some questions about mainstream appraisal theory (ideology?). Are her criticisms
valid? Duranti presents the view that archivists shouldn't be involved in the appraisal of
records. Is her position justifiable?
T.R. Schellenberg, The appraisal of modern public records, Bulletins of the National
Archives No.8, Washington: NARA, 1956. [46 pp.].
Susan D. Steinwall, 'Appraisal and the FBI files case: for whom do archivists retain
records?', American archivist, 49, 1986, 52-63.
Luciana Duranti, 'The concept of appraisal and archival theory', American archivist,
57, 1994, 328-344.
8. Friday 9 June: Appraisal redux
Appraisal received a lot of attention since the 1970s. One of the major concerns of many
archivists was that appraisal practices were too narrowly focussed on small groups of
records—the trees—and therefore couldn't cope with forest of modern documentation.
. -,s1-"" •
Cook and Cox present two different approaches to this problem. Macpherson challenges
many modern ideas about appraisal. Finally, is reappraisal a good thing?
Terry Cook, 'Mind over matter: towards a new theory of archival appraisal', in,
Barbara L. Craig (ed), Archival imagination: essays in honour of Hugh A. Taylor,
Ottawa: Association of Canadian Archivists, 1992, 38-70.
The new classic on appraisal.
Richard J. Cox, 'Documentation strategy and archival appraisal principles: a different
perspective', Archivaria, 38, 1994, 11-36.
Paul Macpherson, 'What records should we keep?', Informma Quarterly, 15(4), 1999,
6-9.
Are Macpherson's criticisms about current appraisal ideas justified?
Leonard Rapport, 'No grandfather clause: reappraising accessioned records',
American archivist, 44, 1981, 143-150.
9. Friday 23 June: New ideas about archiving recordkeeping
Everyone should read the first three articles. The two Acland articles are very easy to
read and quite short. The Marsden article provides a comparison of two recent very high
profile academic projects into the issues of modern recordkeeping and their presumptions
about the concept of the record and archiving. If you have the time, energy, and
inclination, try reading two of the interventions in the 'historical shunt' debate held in
Canada during the 1980s.
Glenda Acland, 'Archivist: keeper, undertaker, or auditor', Archives and
manuscripts, 19(1), 1991, 9-15.
Glenda Acland, 'Managing the record rather than the relic', Archives and
manuscripts, 20(1), 1992, 57-63.
Hugh A. Taylor, 'Transformation in the Archives: technological adjustment or
paradigm shift?', in, Tom Nesmith (ed), Canadian archival studies and the
rediscovery of provenance, Metuchen: Scarecrow Press, 1993, 227-249
Paul Marsden, 'When is the future? Comparative notes on the electronic recordkeeping projects of the University of Pittsburgh and the University of British
Columbia', Archivaria, 43, 158-173.
The historical shunt—
Taylor argues that 'historian-archivists' have 'shunted' the archival mission to a cultural
sideline. As a result, archivists have been unable to prove their relevance to modern
recordkeeping issues and problems. Cook's reply emphasizes the crucial role of the
historical sensibility in the archival mission. Although not the main issue in the debate,
the way Taylor and Cook characterize records management is very interesting. How is
archival science and records management related? Has records management 'succeeded'?
What are the implications of this view of records management for archival tactics?
Hugh A Taylor, 'Information ecology and the archives of the 1980s', in, Tom
Nesmith (ed), Canadian archival studies and the rediscovery of provenance,
Metuchen: Scarecrow Press, 1993, 185-199.
Terry Cook, 'From information to knowledge: an intellectual paradigm for
archives', in, Tom Nesmith (ed), Canadian archival studies and the rediscovery
of provenance, Metuchen: Scarecrow Press, 1993, 201-226.
10. Friday 7 July: Two modern controversies
Pick a controversy ...
A non-custodial archives?—
One response to recent changes in recordkeeping technology has been to suggest that
archival institutions shouldn't take custody of records. In this response Bearman's article
is the classic: read Thibodeau and Hedstrom to provide some context. O'Shea and
Roberts is from a special issue of Archives and manuscripts on post-custodialism: how
valid are some of its criticisms and claims? Wiggins is from totally outside the archival
custodial debate and is a very useful counterpoint to some of the wilder post-custodial
arguments.
Kenneth Thibodeau, 'To be or not to be: archives for electronic records', Archival
management of electronic records (Archives and Museum Informatics Technical
Report 13, 1991), 1-13.
David Bearman, 'An indefensible bastion: archives as repositories in the
electronic age', Archival management of electronic records (Archives and
Museum Informatics Technical Report 13, 1991), 14-24.
Margaret Hedstrom, 'Archives as repositories - a commentary', Archival
management of electronic records (Archives and Museum Informatics Technical
Report 13, 1991), 25-30.
Greg O'Shea and David Roberts, 'Living in a digital world: recognising the
electronic and post-custodial realities', Archives and manuscripts, 24(2), 1996,
286-311.
Richard Wiggins, 'The mysterious disappearance of the White House speech
archive: a pioneering application of technology vanishes', First Monday, 1996
[11pp.]
The records continuum—
Archival responses to changes in recordkeeping practices and technologies have matured
into a new theoretical model of recordkeeping: the records continuum. Atherton is an
early critic of the limitations of the lifecycle. How similar is Atherton's view to those of
McLean in his comments about Jenkinson?
Upward takes ideas about the continuum to a new theoretical level. His work is often
cited, moderately read but (probably?) rarely understood. How well does Upward
understand his own continuum model? Are there elements that are internally
inconsistent? Does his graphical devices help or hinder the text? Sletten tries to present
many recent Australian developments in recordkeeping—including the continuum—to a
North American audience. After Upward, it is an easy read!
Jay Atherton, 'From life cycle to continuum: some thoughts on the records
management-archives relationship', Archivara, 21, 1985-986, 43-51.
How similar is Atherton's view to those of McLean in his comments about
Jenkinson?
Frank Upward, 'Structuring the records continuum', Archives and Manuscripts,
vol 24(2), November 1996 and 25(1), May 1997, 10-35.
Laurie Sletten, 'Lessons from Down Under: records management in Australia',
Information Management Journal, January 1999, 26-32.
11. Friday 21 July: Finis
Just for fun:
Trudy Huskamp Peterson, 'An archival bestiary', American archivist, 54, 1991, 192-205.
John W. Roberts, 'Archival theory: myth or banality?', American archivist, 53, 1990,
110-120.
OPERATIONS & PRESERVATION: 2012 ARCHIVAL SKILLS PROGRAM
Introduction
The Archival Skills Program comprises a group of Operations & Preservation staff
who meet each fortnight for discussions, seminars and practical workshops on a range
of archival topics. We will normally meet in the Scott or Maclean Rooms depending
on availability. I will send out an Outlook invitation a couple of weeks before each
session.
The aim of the program is to provide a solid foundation in archival theory and
practice. The program is structured in such a way that we learn in a stepped,
incremental way:
•
•
•
we start with the theoretical foundations of our work,
we examine the work practices at the Archives in some detail, and
we workshop common issues, problems and troubleshooting with real
records.
There are three types of sessions:
•
•
•
A discussion group involves reading and discussing set archival writings.
A seminar is a presentation with the opportunity for discussion.
A workshop is a practical demonstration with records with the opportunity
for questions and discussion.
The program is compulsory for new starters. Participation is optional for other staff,
although once you start it is expected that you will see the program through. Other
staff may be invited to the workshops on a needs basis.
Note that all of the reading material has been scanned and is available in the RKS in
2012/1041 unless otherwise indicated. The general text book to dip into is Bettington,
Eberhard, Loo and Smith, Keeping Archives, 31d edition, 2008 — a copy is available in
each section of Ops&Pres.
1. Tuesday 27 March 2012 - Discussion Group: Some Corporate History
Before we dive into archival theory, just who and why is the National Archives of
Australia? Hilary Golder's book was a commissioned history to celebrate the
Archives' fiftieth birthday. It is only seventy-odd pages long and very easy to read.
Stephen Ellis gave a talk on the history of the Archives at a Branch Tech Briefing in
November 2009.
Questions
How has the role of the Archives changed over time? Should the Archives be
involved in the interpretation of records? What are the Archives' custodial
responsibilities?
Reading
Hilary Golder, Documenting a Nation: Australian Archives—the first fifty years,
Canberra: Australian Archives in Association with AGPS, 1994. Copies are
available from the library, and I have a copy.
Additional Readings & Listenings
Dr Stephen Ellis, "The History of the National Archives", Technical Briefing,
November 2009. The DVD of the Tech Briefing is available from the library and
the library shelf in Room 20. Slides are at
http://infonet/organisation/op/pages/technical-briefings.asp
Michael Piggott, "Beginnings," Sue McKemmish & Michael Piggott (eds) The
Records Continuum (1994)
Key Concepts
Role of the Archives
Archives Act 1983
Custody
Access
2. Wednesday 11 April 2012 -: Discussion Group: The Giants of Archival
Theory: Jenkinson and Schellenberg
As background to a more detailed examination of archival control and the CRS
system, let's have a look the history of archival thinking, including the ideas of the
two leading figures in the field: Sir Hilary Jenkinson and Theordore R. Schellenberg.
Questions
Compare Schellenberg and Jenkinson's positions on the role of the archivist –
interventionist or 'passive custodian'? What is the business of an archivist? In what
ways have Jenkinson and Schellenberg been influential in the role and functions of
the NAA? Is it time to reconceptualise traditional archival principles?
Reading
Terry Cook, 'What is past is prologue: a history of archival ideas since 1898, and
the future paradigm shift,' Archivaria, no 43, 1997.
Richard Stapleton, `Jenkinson and Schellenberg: A Comparison', Archivaria, no
17, Winter 1983-84.
Ian Maclean, 'An Analysis of Jenkinson's 'Manual of Archive Administration' in
the Light of the Australian Experience,' in A.E.J. Hollander (ed), Essays in
Memory of Sir Hilary Jenkinson (London, 1962), pp. 128-152.
Ernst Posner, "Max Lehmann and the Genesis of the Principle of Provenance,"
Archives and the Public Interest: Selected Essays by Ernst Posner (2006)
Additional reading these are classics of their kind and well worth a look
Hilary Jenkinson, A Manual of Archives Administration, Lund Humphries,
London, 1965. 025.1714 JEN
–
T R Schellenberg, Modern Archives: Principles and Techniques, University of
Chicago Press, Chicago, 1956. 025.1714 SCH
Key Concepts
Provenance
Original order
Intellectual control
Appraisal
Record Group
Fonds
3. Tuesday 24 April 2012 - Discussion group: history of Commonwealth
administration from 1901
Understanding the history of Australian Government administration is crucial to
understanding how and why records are managed and controlled as they are in the
Archives. The Commonwealth Record Series system both records the history
of administrative change in the Commonwealth government and preserves
and restores recordkeeping systems as they existed in government agencies.
In this session we'll look at the nature of administrative change in Australia
and we'll look at some early recordkeeping systems and how they worked.
P.J. Scott and G. Finlay, "Administrative History Aspects (1978)," in The
Arrangement and Description of Archives Amid Technological Change: Essays and
Reflections By and About Peter J. Scott (2010), pp 119-133
P. Scott, "The Development and Role of the Records Registry Within the
Commonwealth Government."
4. Tuesday 8 May 2012 - Discussion Group: The Development of the CRS
System
CRS system isn't about cataloguing records, it's about understanding records in their
original context. In order to understand records you need to understand the
recordkeeping system in which they were created and used.
Questions
Why was Australia a fertile field for the development of a new system of archival
control in the 1960s? Why were previous archival control systems inadequate? What
was revolutionary about the CRS system? Do you think the CRS system is an
adequate system of control for digital records? What about audio visual records?
Reading
CRS Policy — scroll down and click on the link for the CRS Policy.
Peter J. Scott, 'The record group concept: a case for abandonment', in Peter
Biskup et al (ed), Debates and discourses: selected Australian writings on
archival theory, 1951-1990, Canberra: Australian Society of Archivists, 1995, 7990.
The seminal article about the CRS system by its creator — a must read!
Peter J. Scott, "Genesis of the CRS System," in The Arrangement and Description
of Archives Amid Technological Change: Essays and Reflections By and About
Peter J. Scott (2010), pp 10-21.
Barbara Reid, "The Australian Context Relationship (CRS or Series) System: An
Appreciation," in The Arrangement and Description of Archives Amid
Technological Change: Essays and Reflections By and About Peter J. Scott
(2010), pp 346 — 373.
Further reading
Lyn Milton, "Arrangement & Description," in Keeping Archives, 3' edition, 2008
Key Concepts
Intellectual control
Context
Recordkeeping systems
Agency
Series
Item
Accession system
Accession number
5. Tuesday 22 May 2012 — Seminar: An Introduction to RecordSearch
This seminar will provide an over of RecordSearch, the Archives' collection
management system. We will look at the structure and explain and demonstrate the
major functionality and modules of RecordSearch.
Key Concepts
Collection management system
RecordSearch
Modules
Metadata
CRS system
6. Tuesday 5 June 2012 — Seminar: Series registration and arrangement
In this seminar we'll be looking at the record series, which is the core element of the
CRS system. We will define "series" and identify the core elements that we use to
describe a series in the CRS system. We'll discuss archival arrangement in some
detail and why it is important.
Reading
Adrian Cunningham, "Recent Developments in Standards for Archival Description
Metadata," at http://asa.oxideinteractive.com.au/recent-developments-standardsarchival-description-and-metadata
Lyn Milton, "Arrangement & Description," in Keeping Archives, 31d edition, 2008
CRS Manual - chapter 7: Series registration and description
Key concepts
Series
Series metadata, eg:
Title
Start date
Accumulation date
System of Arrangement and Control
Range of control symbol
Agency recording
Agency controlling
7. Tuesday 19 June 2012 — Workshop: What makes a good series registration?
This workshop will be a practical session to discuss the process of serialisation and
what makes a good series description. Our subject matter expert, Brendan Somes,
Director, National Records Services and Preservation, will be on hand to offer advice
and expertise. We will look at existing series registrations and identify flaws,
deficiencies and ways of improving them. We will look at sources of information for
researching descriptive notes, and we will LOOK AT RECORDS!
Reading
Vince Burns, "Guidelines for Writing a Series Descriptive Note" at R442792007
Series chapter in CRS Manual
Technical Training Module on Arrangement and Description
Key concepts
Series
System of arrangement and control
Series files
Agency files
Descriptive note
Archivist's note
8. Tuesday 3 July 2012 — Workshop - Item registration
According to the CRS manual the item is the smallest unit of archival control.
However, the concept of the sub item and constituent item have been developed to
deal with certain physical and intellectual relationships. The session will look at the
item and will unravel the mysteries of parent/sub items and aggregate/constituent
items.
Reading
Item chapter in CRS Manual
Key concepts
Item
Parent/sub items
Aggregate/constituent items
9. Tuesday 17 July 2012 — Seminar — Recordkeeping systems and how they work
This seminar will provide broad background to records management systems
including traditional records management systems and electronic records management
systems. We will also look at standards for recordkeeping, and how recordkeeping in
government agencies has downstream effects on how we manage records at the
Archives.
Key concepts
Record
Electronic and document and records management systems
Commonwealth recordkeeping metadata standard
10. Tuesday 31 July 2012 — Discussion Group: Appraisal — deciding what to keep
Appraisal has long been one of the most contentious and hotly debated topics in our
profession. Determining which records will become archives and which should be
discarded is one of the most important responsibilities undertaken by an archivist.
Questions
What are the issues around the timing of appraisal, how appraisal is done, and the
criteria used for sentencing records?
Reading
Terry Cook, 'Mind over matter: towards a new theory of archival appraisal,' in
B.L. Craig (ed), Archival Imagination: Essays in Honour of Hugh A. Taylor,
Association of Canadian Archivists, Ottawa, 1992.
A seminal article on appraisal theory.
Lucianna Duranti, 'The concept of appraisal and archival theory,' American
Archivist, 57, 1994, 328-344
Digital Preservation Europe, "Why appraisal is not 'utterly' useless and why it's
not the way to go either: a provocative position paper."
Key concepts
Appraisal
Sentencing
Records Authority
Disposal schedule
Retain as National Archives (RNA)
Administrative Records
Core business records
11. Tuesday 14 August 2012 — Seminar: Transferring and accessioning records
Jenkinson memorably observed many years ago that archives are not collected, but
accumulated through successive transfers, in our case from Commonwealth agencies:
"Archives are not collected: I wish the word "Collection" could be banished from the
archivist's vocabulary, if only to establish that important fact...They came together,
and reached their final arrangement, by a natural process; are a growth; almost, you
might say, as much an organism as a tree or an animal." This session will look at the
legislative basis and the actual process of transferring records from government
agencies into the custody of the Archives.
Reading
Policy for transfer of Commonwealth records into the Archives' custody
Don Boadle, "Re-inventing the Archive in a Virtual Environment:
Australians and the Non-Custodial Management of Digital Records".
Maggie Shapley, "Accessioning," in Keeping Archives, 3rd edition, 2008.
Key concepts
Archives Act 1983
Transfer
Consignment
Transfer job
12. Tuesday 28 August 2012 — Discussion Group: digital preservation
A subject matter expert will provide an introduction to digital preservation, and the
Archives' response to the challenge of ensuring digital records remain accessible in
the long term.
Reading
Michael Carden, "The Benefit of Experience: the first four years of digital
archiving at the National Archives of Australia," paper presented to the XVI
Brazilian Congress on Archival Science (August 2010) at R696282010.
An approach to the preservation of digital records
The Archives' foundation document on digital preservation.
Jeff Rothenberg, "Ensuring the longevity of digital information."
A seminal article on digital preservation.
Concepts
Digital preservation
Hardware obsolescence
Software obsolescence
Formats
Open standards
Open source software
Xena
Digital Preservation Recorder
2000/1321
OFFICIAL RECORD OF READING CIRCLE #
Appraisal
10.30am, Friday 20 October 2000
Attendees: Anne Robertson, Simon Davis, Anna Middleton, Tracy Houston, Geoffrey Chambers, Guy
Allen, Kathryn Swan, Rachel Owens, Sandra Kentish, Helen Heslop, David Hearder, Andrew Wilson
Apologies: none
This week the Reading Circle was fortunate to have Terry Cook as our special guest star. Miss Anne
introduced Mr Cook with due deference and posed the first long-winded question. This distracted
participants for just enough time to allow Sandra to distribute the cakes and treats. Said refreshments were
deemed truly worthy of an International Visitor.
3 Questions
Mr Cook summarised our excited questions into 3 categories:
1. strategies for macro appraisal
2. implementation of theory
3. philosophical debate
Strategy
Mr Cook explained that the National Archives of Canada (NAC) approach is designed to minimise the
amount of resources required to achieve a better outcome (than that of previous methods). Disposal
authorities should have broader coverage, allow quick efficient destruction of records in all media and be
compliant with standards and legislation. Benefits for agencies — less storage costs and less accountability
problems in terms of FoI, Privacy etc.
This is achieved using a planned approach on a project management basis. A Chief Information Officer
(senior management level) holds responsibility and is "sold" on the promises of cost savings and
compliance.
Mr Cook stressed the importance of (a) having the support of senior people for appraisal projects; and (b)
rewriting job competencies in organisations to ensure that records managers have the skills and power
necessary to undertake the work. There was discussion of ancient times*, when a secretary was a "keeper
of secrets" and very important. Whilst many would like to see such importance again placed on
recordkeeping, others may see a higher profile as more of a threat than an opportunity. Mr Cook suggested
change management techniques such as making "successes" of those records managers who take on these
appraisal projects with enthusiasm. Include records managers in talks with an organisation's senior
management, auditors or legal specialists.
There was discussion of whether NAA may be conveying an unrealistic expectation with DIRKS. Changes
will not happen overnight, but will take time. Mr Cook advised that after 10 years, 1/3 of agencies are
cooperating with NAC, 1/3 are semi-cooperating (with a lot of help) and 1/3 are still reluctant to
participate. Most Canadian agencies are still classifying files by subject although management is becoming
interested in functional appraisal reports. This is research done by someone (archivist) at arm's length,
looking at functions across departments/structures, across institution, jurisdiction, time and space.
Mr Cook suggested it would be useful to sell DIRKS as the infrastructure behind online gateways/portals —
as in the Government Online initiative. As in the Vermont Information Systems Project (VISP), it is
possible to make 'virtual' linkages between parts of the same function carried out by different agencies.
This saves the public time (by only having to fill in one form, for example) and the government provides a
better service as well as saving resources (by only having to process one for, for example).
We should admit that we have not kept the whole record of an organisation, and make our appraisal reports
publicly available. Appraisal should take into account that the formal record is not the whole picture, by
considering organisational culture, including oral histories of long-serving employees and undertaking a
recordkeeping audit to examine at transaction level how policy differs from reality.
Implementation
There were many questions about the Beavan article, macro vs micro appraisal — especially the validity of
the latter. Mr Cook said the aim of appraisal is "the best record, in the best medium of the office of primary
interest of a particular function, which shows the operation of government and it interaction with citizens".
He noted that you have to look at actual records in order to do this. He also noted that proficient appraisers
need specific steps to follow, as well as lots of training and lots of checking.
Philosophy
Mr Cook was asked to explain and justify his claim that "the structures of the state thus reflect the
collective functions of society". He did this by noting the difference between governance and government
stating that preserved records must include those documenting citizen interaction and protest — the effect of
the government on society, of society on the government, and their interaction. To do this, archives should
collect records of private organisations, non-government organisations and individuals for a complete
national documentation collecting strategy. He noted that this is easier in Canada where there is one
collecting body, but stressed that Australia could achieve the same end through cooperation between
collecting bodies. David suggested an unused part of the Archives Act ("Keeping Records of the
Commonwealth") might be used for that purpose.
Other
•
•
•
•
•
Other topics of discussion touched on briefly were:
Methods for selecting case files for preservation — keeping "the norm" (tax and census records) allows
us to differentiate those that are outside the norm. Electronic media assist in the process of preservation
because you can store more files in less physical space.
The 5 categories in "Why Records Are Kept" are not linked to functions, are largely untested. Mr
Cook stressed the need for criteria to weigh the degree of impact of a function on society (eg amount
of legislation, number of staff, size of budget, sub-offices and reporting structures)
How does a collection review fit in with large appraisal projects? Mr Cook suggested a CR should be
done after all agency functions have been appraised — at the very least, the projects should go hand in
hand.
NAC appraisal projects are taking 2-4 months full-time (6 months part-time) per function, depending
on the size of the organisation and the experience of the archivist and records manager. Reports are
usually 40-50 pages in length.
We will meet again...
Mr Cook will meet with the Circle again on 20 November.
*refer to Bourke "Chaos Through Communication" a reading from the previous Circle
•
E-mail Message
From:
To:
Cc:
Sent:
Received: Subject: Attachments: Guy Allen [EX:10=AUSTRALlAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=Guyal
Anne Robertson [EXIO=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=ANNER1
7/11/2000 at 3:53 PM
7/11/2000 at 3:53 PM
corrected minutes of 11 August 2000
corrected minutes of 11 august 2000 'circle 12'.doc
From: Anne Robertson
Sent: Tuesday, November 07, 2000 1:39 PM
To: Sonya Sherman
Subject: RE: RC Minutes 20 October 2000
Terry Cook's was meeting 15. Archiving websites was meeting 14. I'll chase up the
^fC 4,—;= 1,F
= l c,
to the RC for endorsement at this Friday's meeting.
Anne
Original Message From: Sonya Sherman
Sent: Monday, 30 October 2000 18:58
To: Anne Robertson
file:///C/Users/LudeM/AppData/Local/1-lewlett-Packard/1-1P%2.0TRIM/TEMP/HPTR... 24/06/2015
fi1E77TC:/tisers/LifCieM/Arip- DatS/Lo-caPaeilvlett-Pdekird/TiP%2OTaIM/TEMP/HPTR:: . 24/06/2015
Minutes
Government Recordiceeping Management Board, 9 November 2000
Ma Lena' V IS-a-viz,
Diaries:
10 November — Kathryn, Kerrie at ACS 102000 conference
15 November — Adrian returns
16 November — All to meet with Jan Ferguson and Michael Hodder, SA State Records
17 November — Kathryn, Kerrie meet with Sarah Shepherd, KPMG re internal audits;
closing date for AS04/5 recruitment
20 November — Reading Circle with Terry Cook
27 November — Sandra Kentish starts final rotation with Co-ordination and Training
Next Meeting:
A 1 NT 711 -
57)-
'"-4-atus
Page 1 of
E-mail Message
From:
To:
Cc:
Sent:
Received:
Subject:
Venetia Beale rEk/O=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=venetiabl
Govt. Recordkeeoing Staff jEk/0=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=Govt. Recordkeeping
Staffl
18/10/2000 at 9:52 AM
1811012000 at 9:52 AM
Minutes of MB meeting on 12 Oct
Training
Anne will coordinate times/venue for both Reading Circle times for Terry Cook on
20 October and 20 November
Kerrie will organise general session with Terry Cook on 19 October. Kathryn to
send ideas for discussion to Terry before the meeting such as macro appraisal and
the focus of AS 4390 on evidentiary values.
,ffle:///C:11Jsers/LuciO4/AppData/Local/Hewlett-Packard/HP%20TRIM/TEMP/HPIRI... 3/06/2015
Page 2 of 2
- filefll/C:/Users/LticieM/AppData/Local/Hewlett-Packard/ITT%20TRIM/TEMP/HPTRI... 3/06/2015
ikkieWoLit 8.1YVt44 1
Lucie Marshall
From:
Sent:
To:
Cc:
Subject:
Simon Davis
Thursday, 16 November 2000 11:01 AM
Andrea Rosenbusch; Andrew Wilson; Anna Middleton; Anne Robertson; David Hearder;
Geoffrey Chambers; Guy Allen; Helen Carlile; Kathryn Swan; Mary Pollard; Rachel
Owens; Sandra Kentish; Sarah Lethbridge; Sonya Sherman; Tracy Houston
'Terry Cook (E-mail)'
Reading Circle on Monday 20 Nov
Importance: High
Hi everyone:
We meet again this Monday 20 November at 10:30 in the Holt Room. Terry Cook is back for his second visit and we
will be discussing archival description (or is it intellectual control?).
Personally I love archival description. I think it is one of the most important—the most core--things we do. It sits
alongside appraisal and preservation as the holy triumvirate of archival work. Of course, so do many (most?)
archivists. Sometimes however we seem to get confused about thinking that something is important and thinking that
something has already been perfected.
The two major readings this week are by Cook. The first is quite short, the second may be a bit of read if you are short
of time Then for something completely different, a very recent reading by Duffy and Johnson (thanks Andrea). The
Duffy/Johnson article is a research report; just skim the bits about the research methodology and concentrate on what
people asked for when accessing records. If you're still going (and hey! you've got all weekend) go to the Hurley
article (some of you may remember it from earlier in the year, not that anybody read it that time). As usual all in the
RkS.
Some questions to keep in mind:
Your job is to come up with at least one major question to ask Terry about either of his two papers.
My questions for your reflection:
1) Why do we do archival description? To make records accessible? To keep records authentic? So archivists can
more easily manage them? To employ archivists? Suggestion: why don't we scrap archival description. Instead we
could do just simple Dublin Core cataloguing for everything and run free-text searches engines over the content.
2) Often you will here people defend our archival description practices because it gives people the ability to search
'top-down' from context to content. This is considered the proper way to do research. Often people argue for function
based descriptive elements for the same reason: researchers can start with the function (which it is argued—they
'know') and then move 'down' to the actual records. Personally, I think 'top down approaches to archival retrieval are
one of the great delusional fantasies of all time. What do you think?
3) What do you think of the CRS system as a model of archival description? Is it good or bad? Does it need an
overhaul? How do you think it compares to the other systems alluded to in the readings above?
4) How important is description to the way we think as archivists?
And the readings are
Terry Cook, 'The concept of the archival fonds in the post-custodial era: theory, problems, solutions', Archivaria, 35,
1993, 24-37
See RkS:2000/1163;R197562000.
Terry Cook, 'What is past is prologue: a history of archival ideas since 1898, and the future paradigm shift', Archivaria,
43, 1996, 17-63 (yes it is long--this should be a Reading Circle in itself!--but Terry thought it would be a good article)
See RkS:2000/1163;R197572000.
Wendy Duffy and Catherine Johnson, 'A virtual expression of need: an analysis of email reference questions', [to
appear in American Archivist some time soon]. Duff and Johnson talk about the way users request access to archival
material. What are the implications of their findings for description?
See RkS:2000/1163;R197582000.
Chris Hurley, `The Australian ('series') system: an exposition', in, Sue McKemmish and Michael Piggott (eds), The
records continuum: Ian McLean and Australian Archives, first fifty years, Melbourne: Ancora Press in association with
Australian Archives, 1994, 150-172
See RkS:2000/171;R45902000.
1
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Archives/ou=ARCHIVES/cn=Recioients/cn=simondl.
'10/10/2000 at 4:30 PM 10/10/2000 at 4:30 PM
Wither the Pick Man and the future of the Reading Circle?
Our illustrious leader, Pick Man Davis, remains otherwise engaged on nursery duty
and has not deigned to share with us his reading list for the Circle. However I
am led to believe he will return to the archival fold next week - just in time
for our first intellectual encounter with the famous Terry Cook. Mr Cook is
scheduled to meet with us on two occasions - 20 October and 20 November.
Mr Cook enjoys cogitating on macro-appraisal and the place of archives in the
cultural heritage community. However Mr Cook is a fan of Elvis and Coca-Cola so
we have no real need to be afraid.
I have no idea what Pick Man Davis had in mind as our reading preparation for Mr
Cook's visit but in desperation I propose that you read the following papers
(pending further advice from the Pick Man himself):
* Terry Cook, Overview of Appraisal - Why are we here this week, Presentation to
COFSTA retreat, 8 March 1999
* Terry Cock, Mind over matter - towards a new theory Of archival appraisal
* Richard Brown, Macro-appraisal in transition, paper presented to National
Association of Government Archivists and Administrators, California, 18 July 1997
I will get these articles scanned into the RkS without delay.
You'll also find further musings by Mr Cook on Barbara Reed's website at
http://www.recordkeeping.com.au/courses_appraisa199.html
I suggest we postpone this week's circle and reschedule it for next week when Mr
Cook and the Pick Man will be available. Those who were to make and bake cake
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Guy Allen [EXIO=AUSTRALIAN
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[EXIO=AUSTRALIAN
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Simon Davis [EX:/o=Australian
Archives/ou=ARCHIVES/cn=Recigients/cn=simondl
1011212000 at 1:23 PM
10/12/2000 at 1:23 PM
Reading Circle(s) with Terry Cook
Further to previous advice the Reading Circles with Terry Cook will be held from
10.30-12.30pm on 20 October and 20 November in the Holt Room at East Block.
The readings fbr the first circle on macro-appraisal are now in the RKS, see
R50402000 (Mind Over Matter), R165142000 (Overview) and R165152000 (Macro-appraisal
in transition).
There is also one further reading on macro-appraisal which you should read in
preparation for the meeting : Brian Beaven, Macro-appraisal - from theory to
practice, in AtChivaria, 48, Fall 1999. This article is being scanned into file
2000/1163 in the RkS. Please look out for it.
Please make the time to do the readings and come to the meetings - as members of
the reading circle we are privileged to have the opportunity to Meet exclusively
with Terry.
Can you please confirm whether you will be attending the meetings so that I can
advise Terry of numbers.
Many thanks.
Anne Robertson
Acting Director
Recotdkeeping Standards and Policy
Ph 02-62123988
Email [email protected]
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Kathryn Dan [EXJ0=AUSTRALIAN
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Stephen Ellis [EX/O=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=STEPHENEL Simon
Davis [EX . /o=Australian Archives/ou=ARCHIVES/cn=Recipientsicn=simondt
10/12/2000 at 1:32 PM
10/12/2000 at 1:32 PM
Reading Circle with Terry Cook
Kathryn
I have made arrangements with Reading Circle participants and Stephen Ellis to
Meet with Terry Cook from 10.30am-12.30pm on 20 October and 20 November in the
Holt Room at East Block.
For the initial meeting I have suggested that participants read
* Terry Cook, Overview of Appraisal - Why are we here this week, Presentation to
COFSTA retreat, 8 March 1999 (R165142000)
* Terry Cook, Mind over matter - towards a new theory of archival appraisal ,
1992(R50402000)
* Richard Brown, Macro-appraisal in transition, paper presented to National
Association of Government Archivists and Administrators, California, 18 July 1997
(R165152000)
* Brian BeaVen, Macro-appraisal - from theory to practice, in Archivatia, 48,
Fall 1999 (being scanned into file 2000/1163 RkS)
Can you please confirm these dates/times with Terry and suggest that he may like
to prepare some discussion points for the Reading Circle. I assume we can
finalise the topic for the second circle once Simon returns.
Reading Circle participants are : Guy Allen; Geoffrey Chambers; David Hearder; ,
Helen Heslop; Tracy Houston; Sandra Kentish; Anna Middleton; Rachel Owens; Andrea
Rosenbusch; Kathryn Swan; Andrew Wilson; Sonya Sherman; Sarah Lethbridge; Simon
Davis; and myself.
Anne Robertson
Acting Director
Recordkeeping Standards and Policy
Ph 02-62123988
Email [email protected]
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lEXIO=AUSTRALIAN
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ARCHIVES/OU=ARCHIVES/ON=RECIPIENTS/CN=annaml, Rachel Owens
jEXIO=AUSTRALIAN
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Rosenbusch [EXIO=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=Andrearl, Kathryn Swan
fEk/O=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CNI=KATHRYNSL Andrew
Wilson EX:/0=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=ANDREVW4 Simon
Davis [Ek/o=Australian Archives/ou=ARCHIVES/cn=Recipients/cn=simondl,
Sonya Sherman [EXIO=AUSTRALIAN
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Kathryn Dan [EXIO=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=KATHRYND1, Venetia
Beale {EX/0=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CNI=RECIPIENTS/CN=venetiabl, Jim Stokes
fEX:/0=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=JIMS1
30110/2000 at 3:51 PM
30/10/2000 at 3:51 PM
Reading Circle - Appraisal articles by Terry Cook
At the recent Reading Circle with Terry Cook, Terry referred to various policy
and procedural documents on macro-appraisal that he was drafting for the National
Archives of Canada. Terry has been kind enough to provide copies of these
documents to us in the interests of our professional development. The documents
have been scanned into the RkS. See file 2000/1163 and records R179592000 Meeting 15 - Appraisal Methodology 2000 - Macroappraisal & Functional
Analysis Part A - Theory & Concepts
R179602000 Meeting 15 - Appraisal Methodology 2000 - Macroappraisal - Functional
Analysis Part B - Guidelines for Performing an Archival Appraisal on Government
Records
Anne Robertson
Acting Director
Recordkeeping Standards and Policy
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Subject: 23/10/2000 at 10:36 AM
23/10/2000 at 10:44 AM
Re: NAC Appraisal Guidelines
Hi Anne,
Thanks again for your hospitality and the Elvis ... I enjoyed myself, and
especially your interventions on both days. I'm attached what are still two
DRAFT documents that taken together are the NAC's revised Appraisl
Methodology. The actual functional appraisal criteria and appraisal steps
are in Part B, but Part A gives it context.
I look forWard to the reading circle of November. Could you please send me
Simon's e-mail address. Thanks again for having me, and best wishes, Terry
----Original Message Follows---From: Anne Robertson
To: 'Terry Cook'
Subject: MAC Appraisal Guidelines
Date: Fri, 20 Oct 2000 17:57:16 +1000
Hi Terry
At today's Reading Circle you offered to provide us with a copy of the
guidelines used by the National Archives of Canada to help assess records
of archival value (you referred to 12 criteria). This was in response to a
question from Rachel Owens regarding the difficulty for NAA staff in
assessing what may consititute our national archives.
Would it be possible for you to send me a copy of the guidelines for
distribution among the Reading Circle group?
Thanks again for your time today.
Anne Robertson
Acting Director
Recordkeeping Standards and Policy
Ph 02-62123988
Email [email protected]
Get Your Private, Free E-mail from MSN Hotmail at http://www.hotmail.com .
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Steve Stuckey f EXIO=AUSTRALIAN
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Jill Caldwell f EXIO=AUSTRALIAN
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Marian Hoy 1EXIO=AUSTRALIAN
ARCHIVES/OU=ARCHIVES/CN=RECIPIENTS/CN=MARIANH1
23/10/2000 at 11:54 AM
23/10/2000 at 11:54 AM
RE: Terry Cook and consultation
Steve
Original Message From: Jill Caldwell
Sent: Monday, 23 October 2000 12:44
To: Steve Stuckey
Cc: Marian Hoy
Subject: Terry Cook and consultation
Steve
As you know, Marian talked briefly to Terry Cook about the description of
electronic records during the 'Pres' session with Terry last week. Marian feels
that further discussion with Terry, with Andrea present, would be useful for the
project. What would it cost for another consultation - say 2 hours - and is Terry
likely to be available again?
I have asked Marian to come up with a list of questions for discussion to see
whether it really would be worth having another session, but there is no point in
her doing it if Terry is not likely to be available or the cost is too great. I
would attend any such session.
Would appreciate your advice.
Jill
Jill Caldwell
Director
Collection Documentation
Email: [email protected]
National Archives of Australia
PO Box 7425
LanDerra mall i.en -LreepiU
Tel: 02 6212 3913
Fax: 02 6212 3989
fi1e:///ClUsersfLucielVI/AppData/LocaUHeWleli:Packard/HP%2,0TRIIVI/TEMP/HPTR... 25/0.6/2015
2000/1055
Macroappraisal 1. The Concept - Top Down - Notes on a Discussion held
with Terry Cook 19 October 2000
These notes should be read in conjunction with Macroappraisal: 1. The Concept — Top Down
located in file 2000/1055.
The old approach to appraisal, to keep or destroy records was 'use' based. This approach to
records retention was obviously hard to defend when a user with a requirement for the destroyed
record appears sometime in the future. Additionally if records are inaccessible, they cannot be
used because they are not known to exist.
The Concept Today
Appraising context leads to function
Society
-
Today appraisal should reflect society, not how much the records are used, as use patterns
vary over time. For example: Australia represented through the records. However, this is
not a direct copy or clone, it is an image, a reflection of society.
-
Role of archivists is now integral to nature/type etc of records which will be kept, they need
to maintain documentation of rationale/basis of decisions taken.
-
Jenkinsonian perspective — creators of the record have the role of determining the life of the
record and societal memory creation.
-
Electronic records — must have their appraisal determined on creation. It won't be possible
or appropriate to sift through disks etc in 40 year's time.
-
Criteria for functions is dependent on the stakeholders involved.
-
If we document the norm, then we can document the variations. For example: the people
that stood up, those that were silenced, the voices of society, hot spots in society.
-
Capture electronic records on two different electronic media in case one cannot be read
later.
Parliament
Society speaks through government. However, there is time before a change in government is
seen from societies wishes.
Laws / regulations / orders
Parliament speaks through laws, regulations and orders that define functions.
Macro-Functions
(Cabinet-level envelopes, PM0, PCO)
Impact of Macro-Appraisal on Agencies — in Canada
Seen as essential for electronic records management
- Agencies do actually think in process more than structure — ie function rather than subject
Business re-engineering to make efficiency gains is a functional approach
- Agencies need their information thought of functionally to be in sync with how work is
perceived nowadays
-
Use IT re-engineering to uplift records management function
Functional Structures
(Departments, Boards, Agencies, Commissions, Councils...)
Canadian Archives — functional / structural approach, however function gets primacy
Archives brings on overarching perspective — ie cross linkages
- Cross-institutional
- Cross-jurisdictional
Cross time and space
- Take into account other agencies and how they interact
What kinds of records are in other departments = multi institutional dispositions
- take the best record, in the best media to reflect the citizens' interaction with the government
Internal Functions / Assigned
Office of Primary Interest (OPI)
Sub-Functions / Smaller Office of Primary Interest (OPI's)
Programs
— Continuing
— Special , one-time
Activities
Transactions
Citizens/Groups
The way the Canadian Archives undertake their functional appraisal is somewhat different from
how The National Archives of Australia undertake theirs. They simply tell the agency what should
be kept and what should be destroyed and do not set out specific retention periods, this is up to
the agency to establish. Their regulations and experience with the types of records they deal with
and expectations from citizens gives them a far better indication of how long different records
should be retained.
Macroappraisal: 2. The Strategy
'Planned Disposition' in three waves or tiers
Overview of the Disposition program at the National Archives of Canada.
A. Original Framework (once only)
Law (NA Act) = Acquisition (or collection) Policy = Appraisal and Acquisition Strategy
government (see below)Private (separate stream)
B. Macrofunctional Analysis and disposition Planning (periodic revision/updating)
Government wide plan (GWP)
updated (entire
government)
C.
Institutional Profiles (IP)
ongoing (entire institution)
Multi Year Disposition Plan
(MYDP)targets/goals and
implementation timetable (IT)
timing/steps/resources
(entire institution)
Disposition/ Appraisal Projects (regular, on-going work, functional targets within
institutions)
Records Disposition
Submission
('comprehensive')
-All media
-HQ, regions,
fields•
-Covers major
function or sub
function
Archival appraisal
1. Research
Functions
2. App. Hypothesis
3. Microappraisal
verification*
4. Other factors**
t Influenced by
° 'Appraisal
Methodology 2000'
° MIDA/GRDS/TRA
° Previous appraisals
- RDACS
° Criteria: case files,
electronic records,
science, intelligence
* Consideration also,
secondarily, of
intrinsic and research
informational values,
and any legal
retention
requirements
**Political, cost,
technical, migration,
space, preservation
factors, etc.
Agreement
Terms and Conditions
-Transfer
-Protection
-Monitoring
= STAR = follow up
or revision
-Assigns costs etc,
signed off at
senior corporate
records level,
lined to MYDP
Records Disposition
Authority
MIDA Multi
Institutional
Disposition Authority
TRA Transitory
Records Authority
—
—