Mid Sweden University

Purpose

Digital records appraisal and aspects of archival values in theory, regularization and practice are explored. This paper aims to reflect upon the appraisal process, responsibility and norms for value creation in a digitalized environment. The research question was how do appraisal theory, normative rules and appraisal practice meet the aims of values in digital archives?

Design/methodology/approach

The study triangulated appraisal theory, normative values and participants’ views about archival values in appraisal practice in a Swedish setting. Content analysis were used to explore normative documents and interviews. Appraisal theories of the Swedish Nils Nilsson and the Canadian Terry Cook were interpreted. The result was related to theories on public values, the nature of responsibility and relations between the state and citizens.

Findings

The results show influences between theory, norms and practice. Changes in norms and practice do not follow the development of digitalization. Responsibility is focused on tasks, which exposes risks of accountability control and knowledge of appraisal grounds. The paper concludes that access requirements and user needs may prompt change in appraisal processes. In the light of digitalization, “primary and secondary value” are merely a matter of use and usability in a time and space (continuum) perspective.

Research limitations/implications

This study is based in Sweden where extensive right of access to public records and default preservation are norm.

Originality/value

The result shows how allocated responsibilities impinge on a re-active digital appraisal process.

Records appraisal in the digital environment becomes a multi-professional enterprise, undertaken in the line of business, in which non-archivists play a vital role, but appraisal practices are not adjusted to this electronic reality. One aspect of this problem is the use and understanding of terminology. This paper presents a study on the usage of records-related terms in steering documents that affect records appraisal in Sweden. It uses a structured model for the analysis of steering documents. Used data sources are authoritative term databases and terminology report and steering documents from the three levels of regulations, i.e. Legislation and Regulations, Policy decisions and Instructions and Retention decisions steering documents from the Swedish National Archives and Stockholm City Archives, both archival authorities within their jurisdictions. The steering documents represents levels of hierarchical impact and are the foundations upon which appraisal is done and effectuated. Analysis of term frequency show change in vocabulary at level of hierarchy as well as development in time. Analysis of focus, characteristics and common features in definitions of terms show a variety of possible interpretations of the included terms, a result that affects appraisal and underpins a need for common corporate understanding in areas with multi-professional influences. The paper concludes that legal terms have impact on term use at regulation level, which lessens at lower levels, where vocabulary broadens. Difference is found between the two archival institutions studied, especially at decision level. Analysis of focus, characteristics and common features in definitions of terms show a variety of possible interpretations of the included terms, a result that affects appraisal and underpins a need for common corporate understanding in areas with multi-professional influences. An action suggested to mitigate risk is to form Communities of Practice for the task of records appraisal. One part of the task for these communities should be to agree upon shared concepts on used terminology that support electronic records appraisal. This would be a step where everyone involved develop a solid ground for the setting of the scope of appraisal. The idea of introducing Communities of Practice for the records and archives appraisal task is wider than the subject of this article, and should be further developed.

The role of the archivist in exploiting and accessing open data as public records in an open government environment is explored.  The possible role, responsibilities and mandate of an archivist in this new public sector context are examined. Necessary knowledge, skills and competence are identified. 

Content:

Expectations of a more proactive release of public records and technical developments that support new ways of publishing and reusing digital information, for example as open data on the internet, create new challenges and change the way public records are managed and made accessible to citizens, which will also involve new professions in the management of records. Fundamentally this raises questions of how, in this new management environment, the trustworthiness of the records could be maintained and how the archives and records management profession could contribute to this, related to other professionals involved in these processes.

In Sweden there is a long tradition of openness and citizens´ right to access public records. But with the implementation of e-government follows a new perception of what openness means and “open government” is a concept that seems to go further and be more proactive. A part of this study will be to analyze and define what is meant by ‘open government’ and ‘open data’ as they are used in Sweden, i.e. how ‘open data’ differs from ‘public records’ for example. In Sweden there is no formal records manager profession, but the archivist often does the corresponding work. That is why this project also includes the archivists´ role in the open government environment.

This study will reflect upon the archivists´ role in this process and what is needed to ensure a trusted proactive release of public records. To identify what skills, guidelines, knowledge and mandate are needed. The study will focus on StockholmCity’s work on open data, which is an important part of the open government agenda, through the perspective of Stockholm City Archives.

Scientific contribution:

Case study methods are used to examine the role of the archivist in the domain of access to public records in an open government and open data environment. The study examines what role an archivist in the public sector currently has, and what knowledge, skills and competence are needed for these new challenges.

Interpretation of existing work and the perception of the situation by practicing archivists in this changing environment provide valuable data. The case study is based on the City of Stockholm because it is quite progressive in its work on open data. It is now running an open data project, in which the Stockholm City Archive plays an active role. The role of the archivist in practice, experiences and possible needs and missing factors will be explored. Data will be collected by interviews and text analysis. Needed strategies and guidelines will be identified.