The PRO’s Acquisition and Disposition Policies
Duncan SIMPSON
Public Record Office, United Kingdom
In 1997 the PRO launched a review of its approach to the selection of records for permanent preservation. Having followed the Grigg system of first and second reviews since the 1950s we decided that our approach should be reviewed to ensure that it can meet the challenges of electronic records and the large volume of modern records created in the age of the photocopier. In common with other national archives we decided that there was a need to shift from a records-focused, bottom up approach to a more strategic one.
The approach we have adopted is based on the two themes: transparency and partnership. We aim to work in partnership with researchers, the creating government departments and with other archives to draw upon the knowledge and expertise of each community, and to open up the process of selection to wider debate.
Using this approach, the PRO has developed its acquisition and disposition policies. The former outlines the values and themes which will guide the selection of public records for preservation in the national archive. The latter provides a framework for deciding which public records to offer to archival institutions other than the PRO. Both of these policies were developed using public consultation exercises and are available for comment at any time.
Following the framework set by these top-level policies, we are now developing more detailed operational selection policies. These are statements of appraisal plans as they apply to certain departments or agencies or to categories of records which are to be found in more than one central government organization. Each policy is the subject of a limited consultation exercise. Using this approach we have so far published 10 operational selection policies, for example on the Security Service, Nature Conservation in Great Britain and Fiscal Policy. This is a rolling programme which will continue to be developed over the coming few years; policies planned for the future include one on the life cycle of the individual and another on the Budget process.
The PRO’s new approach to appraisal is a top-down approach, involving detailed research into the history/functions/issues relevant to the topic concerned. This research identifies the key themes for which records will be selected. Further research into the structure, filing systems and functions of the creating organisations is then used to identify which records relating to those key themes should be preserved. Selection decisions are verified by an examination of the records. For existing records the approach is based on provenance and content rather than function - the emphasis is on identifying the lead records for a particular area of interest.
At the same time as we are expanding the coverage of operational selection policies, the PRO is working with government departments to develop new methodologies for the identification of records which merit permanent preservation. There are two streams to this work:
- Dealing with the legacy of approximately 25 years’ of paper records still awaiting review in accordance with the terms of the Grigg system.
- The identification of future electronic records which will merit permanent preservation. UK government departments have a target that by 2004 all new public records will be created and managed electronically. This target has significant implications for the conduct of review, most notably as we intend to identify records for preservation at series level at the time of creation if not earlier.
Bibliography
- The PRO’s acquisition and disposition policies and the operational selection policies published to date can be found at:
http://www.pro.gov.uk/recordsmanagement/acquisition/default.htm. - The PRO’s previous approaches to appraisal were derived from the work of Jenkinson & Schellenberg:
Sir Hilary Jenkinson (1965) A Manual of Archive Administration, 2nd ed.
T R Schellenberg (1956) Modern Archives: Principles and Techniques. - The system of first and second review was put in place in response to the recommendations of the Grigg Committee:
Report of the Committee on Departmental Records [Grigg Committee] Cmd 9163 HMSO 1954.
Other international approaches to appraisal include:
- Canada
Terry Cook, "Towards a new theory of archival appraisal" in Barbara Craig (ed) The Canadian Archival Imagination: Essays in Honour of Hugh Taylor pp 38-70 Ottawa, 1992. - Holland
R C Hol & A G de Vries, "PIVOT Down Under: A Report", Archives and Manuscripts vol 26 May 1998 pp 78-102. - Australia
http://www.naa.gov.au/recordkeeping/disposal/appraisal/intro.html.
Duncan SIMPSON
Duncan Simpson is Director of Archiving, Government and Corporate Services at the Public Record Office in London. He is a member of the Public Record Office’s Management Board and his responsibilities include:
- Working with all government departments to ensure that appraisal, selection and accessioning of records is properly managed; this includes developing policies for selection and disposal of records;
- Giving advice and guidance to government departments on electronic records management and ensuring that all departments install effective electronic records management systems by 2004 (a target set by the UK government);
- Ensuring that the archival implications of the new Freedom of Information and Data Protection Acts are met;
- Directing the PRO’s conservation and preservation work;
- Directing the management of all repositories and records storage facilities;
- Ensuring that the PRO develops proper arrangements for the accessioning and long-term storage and preservation of electronic records;
- Managing the PRO’s information and communications technology;
- Overseeing the PRO’s financial and personnel services.
He was the PRO Director responsible for the construction of the PRO new archive building at Kew, which was opened in 1996, and managed the transfer to Kew of 35 km of records formerly held at the old Public Record Office building in central London.
He is a member of the ICA’s Information Technology Committee, with a particular interest in digital preservation.
Duncan Simpson has been a Director of the PRO since 1993. Before that he worked for English Heritage, the government organisation responsible for protecting historic buildings and archaeological sites in England and managing historic sites and buildings owned by the government. He has also worked in museums. His academic background is in architectural history and he has a doctorate in that subject. He has published and contributed to catalogues and books on the history of architecture.