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““TALKING WITH THE TAXMAN TALKING WITH THE TAXMAN ABOUT POETRY” ABOUT POETRY”

THE NAA’s EXPERIENCES THE NAA’s EXPERIENCES WITH CONSULTATION ON WITH CONSULTATION ON

MACRO-APPRAISAL MACRO-APPRAISAL Adrian Cunningham

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THIS TALK WILL COVER:THIS TALK WILL COVER:

• Aims of the macro-appraisal project• Project methodology• Consultation exercise• Issues and challenges

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AIM OF MACRO-APPRAISALAIM OF MACRO-APPRAISAL• “To identify the records that most clearly

reveal the nature of society, the dynamics of government and other institutions, the lives of ordinary people and the prevailing ideological currents of the age.” To transcend narrow legal or research interests and to instead document the broad spectrum of human experience. (Terry Cook)

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THE RISK OF IGNORING THE THE RISK OF IGNORING THE BIG PICTUREBIG PICTURE

• “I fear we tend to begin our analysis inside an institution and to set appraisal priorities too much in isolation… I fear archivists tend to become too immersed in the institution [they are appraising] and have a natural inclination to keep as much of its records as possible”(Bruce Wilson, National Archives of Canada)

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WHAT IS MACRO-APPRAISAL?WHAT IS MACRO-APPRAISAL?• A planned, systematic approach to helping build

the best archival record to document interactions between citizens and the State

• A whole of government (“top-down”) approach to helping determine society’s needs for records

• “Outside looking in” research to help determine areas of greatest public interest (“bottom-up’) and where records of archival value are more likely to be found

• A rigorous comparative approach to helping determine archival value classes

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WHY DID THE NAA DO MACRO-WHY DID THE NAA DO MACRO-APPRAISAL?APPRAISAL?

• To ensure that individual appraisal decisions are informed by a broader perspective and context

• To encourage overall coherence and consistency in our appraisal decisions – less ad hoccery

• To provide appraisal project teams with detailed guidance in deciding borderline archival classes

• To help make risk management decisions about levels of analysis/resourcing for individual appraisal projects (NAA and agencies)

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MORE REASONS FOR MORE REASONS FOR MACRO-APPRAISALMACRO-APPRAISAL

• To help identify functions performed by more than one agency and thus to plan multi-agency appraisal projects

• Minimise the risk of significant gaps and overlaps in our appraisal regime and collection

• To provide a transparent and accountable basis for setting priorities and making hard decisions in an environment of limited resources

• To reflect the values of society at large, not just the values of records creators and users

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PROJECT METHODOLOGY (1)PROJECT METHODOLOGY (1)• Research approaches to macro-appraisal in other

jurisdictions (esp. Canada and Holland)• Determine the ambient functions of the Australian

Government (25+273)• Identify indicators of relative significance (from various

perspectives) of these ambient functions that can be cost-effectively researched and collated

• Research the indicators of significance for each function, collate the results and produce provisional rankings of the comparative significance of the various functions

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PROJECT METHODOLOGY (2)PROJECT METHODOLOGY (2)• “Time slice” analysis of trends/variations in the

relative significance of the different functions over time and to identify “hot spots”

• Identify the agencies responsible for performing each function, and the “Offices of Primary Interest” for multi-agency functions

• On the basis of the provisional ranking of functions and the agency/function mapping, produce a draft Government-wide plan that indicates appraisal priorities for the various agencies and functions

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PROJECT METHODOLOGY (3)PROJECT METHODOLOGY (3)• Investigate possible uses of macro-appraisal across the full

range of archival functions (eg. transfer, A&D), but particularly how to make use of macro-appraisal to improve our appraisal outcomes

• Internal and external consultation on the methodology, results and uses of macro-appraisal

• Further research and refinement of functional rankings and government wide multi-year appraisal plan based on the results of the consultations

• Consider how to deal with significant themes, events, places within a macro-appraisal framework

• Revise internal procedures + Communication plan

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WHY RANK FUNCTIONS?WHY RANK FUNCTIONS?• We believe some functions are more important than

others and thus deserve more attention and are more likely to produce archival records

• We don’t have the resources to give the same level of attention and retention to every function

• Why Records Are Kept (March 2000): – Objective 1: “to preserve concise evidence ... relating to key functions

and programs and significant issues faced in governing Australia.”– Objective 4 talks about documenting the impact of major government

functions and programs.

• How do we know what are the key/major functions and programs and significant issues?

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INDICATORS OF SIGNIFICANCEINDICATORS OF SIGNIFICANCE• Public opinion polls• Budget expenditure by function• Ministerial hierarchy• Mentions in annual budget speeches• References in database of public affairs articles• Mentions in Parliamentary debates (Hansard)• References in transcripts of Parlt Committees• References in Parlt index to journal articles• References in Parliamentary media database

(Society’s wishes as expressed through Parliament)

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CONSULTATIONCONSULTATION

• Who did we consult?– Government agencies– NAA State Consultative Forums– NAA Advisory Council– ASA/Aus-archivists– Historians– General public

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HOW DID WE CONSULT?HOW DID WE CONSULT?

• Meetings and discussions• Presentations to groups• Memento (our glossy magazine)• NAA Website• Listserv postings

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KEY FEEDBACK/QUESTIONSKEY FEEDBACK/QUESTIONS• What does “macro-appraisal” mean?• What do the various functions mean?• Other indicators of significance?• Changes in significance over time?• How is NAA going to implement it – integration with

existing processes?• Ensuring results are not used uncritically• Appreciation for the consultation itself, providing NAA is

sincere + the trend towards greater discussion/transparency

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ISSUES WITH THE INDICATORSISSUES WITH THE INDICATORS• The data only goes back as far as 1975• How to present the rankings – in 6 tiers?• No one indicator is useful on its own, but collectively they

give a view of what society considers to be most important• Should some indicators be given a greater weighting than

others?• Are there other indicators that can be cost-effectively

researched?• Other approaches to significance assessment?

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OUTCOMES OF THE OUTCOMES OF THE CONSULTATIONCONSULTATION

• Changed the name of the framework from “Macro-Appraisal” to “Whole of Government Functional Analysis” – why?

• Decision to factor in research use of archives as a valid indicator of significance

• Linking the functions to scope notes• Continue with time slicing analysis• Look at approaches to dealing with events, places

and themes

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OTHER ISSUESOTHER ISSUES• Understanding why do we do appraisal? Not just for

legal/administrative reasons, but also to document society in a way that reflects its values and needs.

• How might macro-appraisal at the NAA fit into broader national collaborative approaches to documenting Australia?

• How relevant are govt appraisal paradigms for non-govt archives?

• Who should have the final say over appraisal decisions and how?

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CHALLENGESCHALLENGES• How to determine the values of society at large?• How to balance society’s diverse cultural

heritage values and accountability values?• Prospective appraisal – appraising today’s

activities today without the benefit of hindsight• How to engage non-archivists in appraisal?• Macro-appraisal should inform records creation

and management, not just retention/disposal

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WHY MIGHT ARCHIVISTS WHY MIGHT ARCHIVISTS CONSULT ON APPRAISAL?CONSULT ON APPRAISAL?

• To generate an illusion of consensus?• To promote greater understanding and appreciation of our

work?• To obtain useful input and advice?• To manage risk?• To be transparent and accountable?• Because we are uncomfortable about playing God?• As a means of keeping control?• Because, increasingly, we are expected to?

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WHY ARCHIVISTS MIGHT NOT WHY ARCHIVISTS MIGHT NOT CONSULT ON APPRAISALCONSULT ON APPRAISAL

• Because we are the experts and no one else can possibly understand it – we like playing God

• Because it consumes scarce time & resources• Because we don’t know how to talk about our work in

plain English • Because it might generate controversy• Because it might lead people to question our

judgement and expertise• Because it might destroy the illusion of consensus

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FINAL THOUGHTSFINAL THOUGHTS• Macro-appraisal can never be definitive, it is a tool –

a contingent and contestable work in progress – not an outcome in itself . When it comes to documenting society there are no absolute standards of value – we can try to be scientific and objective, but subjectivity is unavoidable. To pretend otherwise is to mislead others and delude ourselves.

• Given this, it is even more important for us to be open, transparent, collaborative and accountable for our appraisal decisions.

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