The Functional Approach to Appraisal
The Experience of the National Archives of Australia
Anne-Marie SCHWIRTLICH
National Archives of Australia
Why adopt a functional approach to appraisal?
In April 2000, the National Archives of Australia formally adopted a functional approach to appraisal with the launch of the e-permanence campaign. As part of this campaign, the Archives issued a range of standards, tools and guidelines, with a focus on record- keeping, for the use of federal government agencies.
The key drivers for adopting a functional approach were as follows:
- evidence that our existing appraisal regime, which was records-based, was ill equipped to deal with the far broader range of recordkeping media in existence in the electronic environment;
- the realization that our previous approach to appraisal had resulted in the retention of large quantities of records. Extrapolation of this demonstrated that it would be beyond our capacity to preserve, and make accessible, records selected as archives; and
- an expectation that appraisal decisions based on functions would be easier to apply by staff in federal government agencies because the link to their administrative context would be clearer.
What did the Archives do before?
The National Archives appraisal regime had been records-based. This involved developing an understanding of the range of records created by agencies and then allocating these records to disposal classes. This approach dealt with records post facto. The limitations of this approach were the drivers, mentioned above, for considering alternative approaches to appraisal.
How functional appraisal has changed what the Archives does.
The major changes include the following:
- that partnership with the records creators is fundamental to the appraisal process ¡V this has many implications for our work;
- that record-keeping is the focus of our work rather than dealing only with the accumulated documentation of agency work;
- that appraisal archivists begin with an analysis of the functions and activities of organizations rather than assessing accumulations of records ¡V this analysis means that the need for records, and the possible uses of records, are documented before and independently of the creation of records;
- that concept of risk management has been introduced into decision-making about whether records are selected as national archives; and
- that consultation with stakeholders is now an expected and intrinsic part of the process.
How functional appraisal has changed what Government agencies do.
From the perspective of federal government agencies or records creators the major changes are the following:
- that partnership equals responsibility, and the respective obligations of records creators and those of the National Archives have been specified;
- that situating appraisal within ecordkeeping requires agencies to view their records in an integrated way and to realign resources and priorities; and
- that consultation with stakeholders is required.
Results and issues
Twelve months on, the National Archives has signed the first functions-based records disposal authority. Seventy federal government agencies have indicated that they plan to embark on the preparation of a functions-based authority and have registered this intention on our work plan.
A rigorous assessment of progress against the key drivers for adopting a functional approach may not be possible for another year, but the paper can offer preliminary comment.
Over the last twelve months we have learned or had confirmed that
- implementation is a job that is never done;
- there is interest in and pressure for a critical mass of functional authorities;
- the researching public is interested in appraisal/reappraisal; and
- developing the monitoring and compliance regime for appraisal work is vital ¡V it is currently our weakest point.
Key Bibliographic references
- National Archives of AustraliaƒzƒnWhy Records are Kept: Directions in Appraisal, 2000 ¡V at www.naa.gov.au/recordkeeping/disposal/why_keep/contents.html
- National Archives of Australia, Appraisal Guidelines for Commonwealth Records, 2000 - at
- Russell Kelly, "The National Archives of Australia¡¦s New Approach to Appraisal,"Archives and Manuscripts, Volume 29, Number1, May 2001, pp 72-85.
Anne-Marie Schwirtlich
Since October 2000 Anne Marie Schwirtlich has been the Acting Director-General of the National Archives of Australia.
Her substantive position is Assistant Director-General of the Public and Reader Services Branch at the National Archives.
Anne-Marie and her colleagues in the Branch strive to encourage community understanding of the role the National Archives, and archives more generally, play in society and to ensure that there is satisfying access to the Archives¡¦ collection. They do this by:
- marketing the National Archives and archives in general;
- developing, mounting and travelling exhibitions;
- running a publishing program which includes the Archives websites;
- delivering reference services to people interested in using the Archives¡¦ collection and developing tools that allow them to use the collection easily; and
- making decisions about whether material in the collection can be made available under the provisions of the Archives Act 1983.
Anne-Marie has held senior positions at the National Library of Australia and at the Australian War Memorial.
She has been the Secretary and the President of the Australian Society of Archivists and President of the Australian Council of Archives. Over the last four years she has been a member of the ICA¡¦s Committee on Archival Legal Matters.