UNIVERSITY
OF
LIS
2222 Archival Appraisal, Spring 2006
Term
Instructor: Richard J.
Cox
Office
Number/Telephone:
SIS 614;
Office
Hours: Mondays
E-mail:
rcox@mail.sis.pitt.edu or rjcox111@comcast.net
Homepage: http://www2.sis.pitt.edu/~rcox/
Course
Rationale
Archival
appraisal is the most critical task of the archivist. The archivist’s process in
determining continuing value affects all other archival functions, as well as
makes an impact on individual, organizational, and societal memory. Since this
is one of the most important responsibilities of the archivist, anyone intending
to work as an archivist must be knowledgeable about
appraisal.
Archival
appraisal, and the techniques and models that have developed to support this
function, also represents one of the unique contributions of the archivist to
the information professions -- the ability to determine what portion of
information and evidence needs to be saved to document institutions,
communities, society, and the people who make them up. The process
involves not just thinking of historical issues, but also about the value of
records for accountability and evidence.
Course
Goals
The
purposes of this course are to introduce students to the basic theories,
principles, techniques, and methods that archivists use for identifying and
selecting (appraising) information or evidence with continuing or enduring value
and to enable students to compare and contrast archival appraisal to related
activities in other fields, such as library collection management and
development, artifact selection by museum curators, and the analysis of
documentary evidence by historians.
Students
will learn about
§
various
methods archivists use in making appraisal decisions
§
societal,
legal, and organizational aspects affecting the appraising of
records
§
different
opinions held by archivists in conducting appraisal
§
new
and emerging approaches to appraising records
§
how
to evaluate any archives appraisal and acquisition policy and
activities
Course
Outline
The
course is divided into several sections, including:
§
introduction
to the definitions, theories, and principles that support archival appraisal
with discussion about the classic writings on appraisal theory and principles,
the challenges of selecting records that possess continuing or enduring value
and the main debates about the purpose and practice of appraisal (especially the
issue of the ideology of appraisal and the objectivity versus subjectivity of
archival appraisal decisions);
§
review
of the prevalent appraisal practices and methods, from analysis of individual
documents to institutional approaches to multi-institutional, cooperative
efforts to appraise; and
§
case
studies on archival appraisal, including institutional appraisal (government and
college and university), topical areas (science and technology; medicine and
health), the geographic context of appraisal (documenting localities), and the
impact and challenges of recording media on archival appraisal (electronic,
audio-visual, and visual records).
Throughout
the course archival appraisal will be compared to similar functions in other
disciplines as well as other archival functions it impacts within archival
programs. Within each section, one class session is devoted to debates and
controversies involving archival appraisal, an archival function that is not
only the most important but also the most contested archival
process.
Course
Requirements and Grading: Masters Students
Each
student will be expected to complete a lengthy set of readings and to
participate regularly in class discussions. The course will consist of lectures
by the instructor in the first part of each class, followed by a discussion of
the assigned readings and other issues raised by the lectures or of interest to
the students.
A
significant portion of the student's grade will be based on his or her
participation in class; any student not participating in the class discussions
will receive no higher than a "B" for the course. The remaining portion of the
grade will be based upon successful completion of the appraisal project
(described below) by formally declared archives students or a longer paper (also
described below) by the other (non-archives) students taking the
course.
The
final grade will be based on the following:
§
Class
participation and discussion 40%
§
Appraisal
project or Research Paper 60%
All
declared archives students must do the appraisal report assignment. The appraisal report should evaluate the
acquisition or appraisal policy of a
1.
Describe the institution's policy (or practice if it lacks a formal
policy)
2.
Evaluate the institution's policy and practice based on appropriate archival and
records management standards (with citations and
discussion)
3.
Propose ways that the policy and practice could be
strengthened
4.
Propose ways that the "success" of the policy and practice could be measured or
evaluated
Students
should structure this paper according to the four elements listed above. Each
student should visit the institution, interview appropriate staff, and immerse
him or herself in the relevant appraisal literature. A student can evaluate the
policy of an archives or historical manuscripts program in another area of the
country, conducting the relevant interview by telephone and examining appraisal
policy documents provided by the institution. The paper is due on Week 13 (April
17). Students should hand in to the instructor the institution they have
selected by Week 4 (February 6) of the course. The instructor is willing to consider
other research paper topics for students building on papers completed in the
Records and Knowledge Management course (LIS 2220) during the Fall term or
related to particular career objectives held by the
student.
Non-archives
students who are taking this course must complete the research paper
assignment. The research paper
should relate to an in-depth treatment of some aspect of archival appraisal or
the relationship of archival appraisal to other disciplines’ selection
methodologies (such as library collection development). This paper is
intended to enable the student to do in-depth reading and study on a single
aspect of archival appraisal. These papers should provide critical definitions
as needed; review the literature that reflects both key points of this aspect of
archival administration and the development of archival theory on this principle
or function; and evaluate the literature's strengths and weaknesses, including
any conclusions about needs in the profession. Students must show evidence
of having read thoroughly at least twenty articles and, if appropriate, several
monographs or textbooks for this paper; in reality, students will probably need
to scan the professional literature on any given topic far beyond this quantity
of publications in order to identify the most important writings, research, and
theory on the topic. Students should plan on meeting with the instructor to
discuss their paper in order to evaluate their progress; this meeting can be
in-person or via e- mail. This paper is due on Week 13, April
17).
All
masters level students are required to hand in a one to two page statement of
the intended topic of their paper at Week 4 (February 6) for the Instructor's
approval.
Course
Requirements and Grading: Doctoral Students
The
final grade for Doctoral students will be based on the
following:
§
Class
participation and discussion 30%
§
Research
Paper 70%
Doctoral
students taking this course will be required to prepare a paper (25-35 pages) on
some aspect of archival appraisal that interests them, relates to their broader
dissertation research, and that is publishable.
The
research paper should be an in-depth review of a particular issue, technique or
application, or principle that is essential to the archival appraisal function.
Examples of acceptable subjects for this kind of paper include the matter of
objectivity in the appraisal process, the appropriateness of sampling as an
appraisal tool, and the importance of provenance to conducting archival
appraisal. The choice of the topic should have some relevance to the
doctoral student’s own research interests.
Students
may also opt to write a comparative analysis of archival appraisal with some
other library or information science function. Examples of acceptable
subjects for this kind of paper include a comparison of archival appraisal
criteria to library preservation selection criteria and the archival concept of
intrinsic value as compared to evaluation criteria used by material culture
experts.
This
paper is due on Week 13 (April 17). The preparation of an essay of
publishable quality will be the main evaluation criterion by the instructor.
Doctoral students are required to hand in a one to two page statement of the
intended topic of their paper at Week 4 (February 6) for the Instructor's
approval.
Students
should adhere to the latest edition of the Chicago Manual of Style in the
preparation of their papers. Students should acquire, if they do not have
a copy already, the most recent edition of Kate L. Turabian, A Manual for Writers of Term Papers, Theses,
and Dissertations published by the
Students
also should be aware of the School’s Academic Integrity guidelines regarding
this and all other matters concerning grades. These guidelines are
available at http://www2.sis.pitt.edu/sisinfo/sisacint.html.
Course
Requirements and Grading: Class Participation and
Discussion
Class
participation and discussion, as the final grade weighing reflects, are
extremely essential for this course's success and the student's educational
experience:
Each
student will be expected to participate fully and regularly in class discussions
about the readings, session topics, and other matters related to archival
studies.
Each
student will be expected to meet at least once during the course with the
Instructor in order to discuss his or her progress and work on the
assignments.
Students
who do not fully participate in class
discussions will receive no higher than a "B" for this
course.
The
Instructor will take into account the possibility of a larger class size
affecting class participation when considering the grade for the
course.
Course
Requirements and Grading: Incompletes
If
students need to take an incomplete, they must request permission to do so from
the Instructor by Week 13 (April 17). Students, unless there are extremely
adverse or emergency situations, will have until
Course
Requirements: Book Purchases
While
there is a considerable amount of readings, the articles and books provide only an introduction to the complexities
and challenges of conducting archival appraisal. The literature is also intended
to introduce the student to the debates within the archival community about how
appraisal should be carried out. The students can purchase a number of the
texts from any online book dealer.
A small quantity of copies has been secured of the following for sale in
the
Michael
F. Brown, Who Owns Native
Culture? (
Richard
J. Cox, Documenting Localities: A
Practical Model for American Archivists and Manuscripts Curators (Metuchen:
Scarecrow Press, 1996). Also available through the Society of American
Archivists. A small number of
copies are available at the Pitt Bookstore.
Richard
J. Cox, No Innocent Deposits: Forming
Archives by Rethinking Appraisal (
Helen
W. Samuels, Varsity Letters: Documenting
Students
might wish to buy other volumes on Reserve or listed as recommended readings,
but that is up to each individual.
Students
should order the Society of American Archivists publications directly from the
Society (check http://www.archivists.org
for ordering information). These publications include the
following:
Frank
Boles, Selecting & Appraising
Archives & Manuscripts (
Richard
J. Cox, ed., Lester J. Cappon and the
Relationship of History, Archives, and Scholarship in the Golden Age of Archival
Theory (
Clark
A. Elliott, ed., Understanding Progress
as Process: Documentation of the History of Post-War Science and Technology in
the
Joan
K. Haas, Helen W. Samuels, and Barbara T. Simmons, Appraising the Records of Modern Science and
Technology: A Guide (Cambridge: Massachusetts Institute of Technology,
1985).
James
M. O’Toole, ed., The Records of
American Business (Chicago: Society of American Archivists,
1997).
S.
Muller, J.A. Feith, and R. Fruin. Manual for the Arrangement and Description
of Archives (
All
readings will be on Reserve in the SIS Library.
A
Note About the
Students
need to focus on the required readings in each section. The Instructor
will comment on the list of readings designated as recommended, but the student
is not expected to read these (unless they may be of value in their writing
assignment).
Course
Schedule
INTRODUCTION
Session
1 (January 9, 2006)
Lecture:
“The Evolving Nature of Archival Appraisal: A Framework for the
Course”
Recommended
Richard
J. Cox, No Innocent Deposits: Forming
Archives by Rethinking Appraisal (
DEFINITIONS,
THEORIES, AND PRINCIPLES
Session
2 (January 23, 2006)
Lecture:
“The Place of Appraisal in Archival Administration, the Information Professions,
and Society”
Required
Nancy
E. Peace, "Deciding What to Save: Fifty Years of Theory and Practice," in Archival Choices: Managing the Historical
Record in an Age of Abundance, ed. Nancy E. Peace (Lexington: D.C. Heath,
1984), pp. 1-18.
Maynard
J. Brichford, Archives & Manuscripts:
Appraisal & Accessioning (Chicago: Society of American Archivists,
1977). A copy is on Reserve.
Peruse.
F.
Gerald Ham, Selecting and Appraising
Archives and Manuscripts (Chicago: Society of American Archivists,
1992). A copy is on Reserve. Peruse.
Frank
Boles, Selecting & Appraising
Archives & Manuscripts (
Terry
Cook, "Mind Over Matter: Towards A New Theory of Archival Appraisal," in Barbara
L. Craig, ed., The Archival Imagination:
Essays in Honour of Hugh A. Taylor (Ottawa: Association of Canadian
Archivists, 1992), pp. 38-70.
Recommended
John
Seely Brown and Paul Duguid, "The Social Life of Documents," First Monday, available
at
http://www.firstmonday.dk/issues/issue1/documents/index.html.
Terry
Cook and Gordon Dodds, eds., Imagining
Archives: Essays and Reflections by Hugh Taylor (
Terry
Cook, "What is Past is Prologue: A History of Archival Ideas Since 1898, and the
Future Paradigm Shift," Archivaria 43
(Spring 1997): 17-63.
Richard
J. Cox and Helen W. Samuels, "The Archivists' First Responsibility: A Research
Agenda for the Identification and Retention of Records of Enduring Value," American Archivist 51 (Winter/Spring
1988): 28-42.
Terry
Eastwood, "Toward a Social Theory of Appraisal," in Barbara L. Craig, ed., The Archival Imagination: Essays in Honour
of Hugh A. Taylor (Ottawa: Association of Canadian Archivists, 1992), pp.
71-89.
Margaret
Hedstrom, "New Appraisal Techniques: The Effect of Theory on Practice," Provenance 7 (Fall 1989):
1-21.
Michael
Piggott, “ Appraisal: The State of the Art,” Paper delivered at a professional
development workshop presented by ASA South Australia Branch 26 March 2001,
available at http://www.archivists.org.au/sem/misc/piggott.html.
Session
3 (January 30, 2006)
Lecture:
“The Historic Foundations of Archival Appraisal Theory and
Practice”
Required
S.
Muller, J.A. Feith, and R. Fruin. Manual for the Arrangement and Description
of Archives (New York: H.W. Wilson, 1968), chapter one. Students
should acquire a copy of this Manual for
the Arrangement and Description of Archives with new introductions by Peter Horsman,
Eric Ketelaar, Theo Thomassen and Marjorie Barritt published by the Society of
American Archivists in 2003.
Sir
Hilary Jenkinson, A Manual of Archive
Administration, rev. 2nd ed. (London: Percy Lund, Humphries & Co., Ltd.,
1966), pp. 136-55.
T.
R. Schellenberg, "The Appraisal of Modern Public Records," National
Archives Bulletin 8 (Washington:
National Archives and Records Service, 1956). You can read this online at
the
Barbara
Craig, Archival Appraisal: Theory and
Practice (Munchen: K. G. Saur, 2004), chapters one and four. On Reserve.
Recommended
Leonard
Boyle, "Diplomatics," in James M. Powell, ed., Medieval Studies: An Introduction, 2nd
ed. (Syracuse: Syracuse University Press, 1992), pp.
82-113.
Leslie
W. Dunlap, American Historical
Societies 1790-1860 (Madison, Wisconsin: Privately Printed,
1944).
H.
G. Jones, For History’s Sake: The
Preservation and Publication of
George
H. Callcott, History in the
Kevin
M. Guthrie, The New-York Historical
Society: Lessons from One Nonprofit’s Long Struggle for Survival (San
Francisco: Jossey-Bass Publishers, 1996).
Jed
I. Bergman in collaboration with William G. Bowen and Thomas I. Nygren, Managing Change in the Nonprofit Sector:
Lessons from the Evolution of Five Independent Research Libraries (San
Francisco: Jossey-Bass Publishers, 1996).
H.
G. Jones, ed., Historical Consciousness
in the Early Republic: The Origins of State Historical Societies, Museums, and
Collections, 1791-1861 (Chapel Hill: North Caroliniana Society, Inc. and
North Carolina Collection, 1995)
David
D. Van Tassel, Recording
Louis
Leonard Tucker, Clio’s Consort: Jeremy
Belknap and the Founding of the Massachusetts Historical Society (Boston:
Massachusetts Historical Society, 1990).
Ole
Kolsrud, "The Evolution of Basic Appraisal Principles -Some Comparative
Observations," American Archivist 55
(Winter 1992): 26-39.
Walter
Muir Whitehill, Independent Historical
Societies: An Enquiry Into Their Research and Publication Functions and Their
Financial Future (Boston: Boston Athenaeum, 1962).
Eilean
Hooper-Greenhill, Museums and the Shaping
of Knowledge (New York: Routledge, 1992).
Susan
M. Pearce, Museums, Objects, and
Collections: A Cultural Study (Washington, D.C.: Smithsonian Press,
1993).
Gary Nash,
Sally
F. Griffith, Serving History in a
Changing World: The Historical Society of
Session
4 (February 6, 2006)
Lecture:
“The Problem of Historical Knowledge and Documenting the
Past”
Required
Daniel
Boorstin, "A Wrestler with the Angel," in Hidden History (New York, 1988), pp.
3-23.
Kenneth
E. Foote, "To Remember and Forget: Archives, Memory, and Culture," American Archivist 53 (Summer 1990):
378-92.
Hans
Booms, "Society and the Formation of a Documentary Heritage," Archivaria 24 (Summer 1987):
69-107.
Elisabeth
Kaplan, “We Are What We Collect, We Collect What We Are: Archives and the
Construction of Identity,” American
Archivist 63 (Spring/Summer 2000): 126-151.
F.
Gerald Ham, "The Archival Edge," American
Archivist 38 (January 1975): 5-13.
Richard
J. Cox, "Archival Anchorites: Building Public Memory in the Era of the Culture
Wars,” Multicultural Review 7
(June 1998): 52-60.
Barbara
Craig, Archival Appraisal: Theory and
Practice (Munchen: K. G. Saur, 2004), chapters three and
five.
Recommended
Joyce
Appleby, Lynn Hunt, Margaret Jacob, "Truth and Objectivity," in Telling the Truth About History (New
York: W.W. Norton & Co., 1994), pp. 241-270.
Gary
B. Nash, Charlotte Crabtree, and Ross E. Dunn, History on Trial: Culture Wars and the
Teaching of the Past (New York: Alfred B. Knopf, 1997)
Peter
N. Stearns, Meaning Over Memory:
Recasting the Teaching of Culture and History (Chapel Hill: University of
North Carolina Press, 1993).
Hans
Booms, "Uberlieferungsbildung: Keeping Archives as a Social and Political
Activity," Archivaria 33 (Winter
1991-92): 25-33.
Carlo
Ginsburg, "Checking the Evidence: The Judge and the Historian," Critical Inquiry 18 (Autumn 1991):
79-92.
F.
Gerald Ham, "Archival Strategies for the Post-Custodial Era," American Archivist 44 (Summer 1981):
207-16.
F.
Gerald Ham, "Archival Choices: Managing the Historical Record in an Age of
Abundance," in Archival Choices: Managing
the Historical Record in an Age of Abundance, ed. Nancy E. Peace (Lexington:
D.C. Heath, 1984), pp. 133-147.