University of Maryland
College of Information Studies
LBSC 785
Documentation, Collection and Appraisal of Records
Course Syllabus
Fall 2012
Bruce Ambacher
4117J Hornbake
Tel: 301-405-2043
E-mail:
Class: Tuesday, 12:30-3:15 pm, HBK 2119
Office Hours: Tuesday, 3:30-4:30 pm and by appointment
Course Objectives
Students will understand the theory and practice surrounding the selection and appraisal of records (in all forms) with enduring value. Archival repositories can retain only a small fraction of the available documentation. This makes appraisal a core function for the profession. The decisions made determine what survives as society’s documentary and cultural heritage. Through readings, lecture, discussion, and visits to archives, students will understand how appraisal is carried out in different institutional contexts and how archivists apply appraisal concepts to build collections in various formats.
Readings
The following books or manuals are available from the UniversityBookCenter. Members of the Society of American Archivists can order these books from SAA at the member (discount) price. Other required readings are available on the class elms blackboard site under Course Documents, as e-reserve, or through the McKeldin Library reserve system. Additional readings and other materials may be distributed during the semester. Most of the reserve readings will be available electronically through the course elms blackboard site.
Boles, Frank. Selecting and Appraising Archives and Manuscripts, Chicago: SAA, 2005.
Cox, Richard J. No Innocent Deposits: Forming Archives by Rethinking Appraisal. Lanham, MD: Scarecrow Press, 2004
Course Structure
Each week the class will consist of lecture/discussion, led by the instructor or a guest lecturer. There will be no formal student presentations on the readings, but students are expected to have done the reading and to participate in the discussions in class or on
elms (blackboard). In addition, there will be visits to area repositories, all scheduled during class time
Course Requirements
1. Class Participation (10%):
Students are expected to attend class, having read the assigned readings and participate in the discussions. Student presence and punctuality are also expected at the off campus repository visits, out of respect for our hosts.
2. Appraisal Project (30%)
: Students will conduct an appraisal project on the. Specific details on that assignment will be provided on September 11. Due: October 9
3. Acquisition Policy Report (30%)
Each student will select a repository and evaluate its acquisition and/or appraisal policies. While it is probably simpler to select a local repository from the list of Cooperating Archives Practicum Institutions at any archives (except those covered by guest lectures in class and/or class site visits) is acceptable. As usual, it is best to avoid one’s place of previous or current employment. The report should be 5-7 pages, double-spaced, and should:
a. Describe the institution’s collecting policy (or practice if it lacks a formal policy).
b. Place the collecting policy within the context of the institution.
c. Evaluate the institution’s policy/practice based on appropriate archival and records management standards.
d. Examine a sample of the institution’s collection and series descriptions and determine if they conform with the stated collection policy or practice.
e. Reference the literature on collecting policies as appropriate.
f. Propose ways that the policy and practice could be strengthened.
g. Propose ways that the “success” of the policy and practice could be measured or evaluated. Due: November 6.
4. Research Report (30%)
Each student will write a research paper of 10-15 pages, double-spaced, on a topic of his/her choosing. Since students are already conducting analyses of the acquisition and appraisal policies of specific repositories, this paper should focus on a specific archival topic, type of material, or theme in the archival literature,relating to the documentation, selection, or appraisal of records, rather than a specific repository. Repository examples can, however, be used to illustrate points in the paper, which should also utilize archival literature beyond what we read in class. Topic Abstract due (via email) by October 2.Paper Due: December 11
Grade
The course grade will be assigned in accordance with University and iSchool guidelines:
A=Outstanding; B=Satisfactory; C=Barely Adequate; D/F=Failure; I=Incomplete. The grade will be computed as follows: Class participation=20%; Appraisal project=25%; Repository report=25%; Research paper=30%.
Requirements for Written Work
Quality of Writing
Excellent written communication skills are essential to the provision of information in professional contexts. Written work will therefore be graded on the quality of writing as well as on the content and evidence of critical analysis. Grades for work that is not well written, clearly organized, and grammatically correct will be reduced accordingly.
Formatting:
Double space, in Times New Roman 12 point type with one inch margins
Include a list of sources consulted
Cite sources, both in the text or as footnotes/endnotes, and in the list of sources consulted in conformity with the most recent edition of the Chicago Manual of Style, or the Publication Manual of the American Psychological Association. Be sure to include page numbers for all citations.
Number the pages and staple the pages together. Do not place in a folder or binder
Classroom Environment: The classroom environment should be professional and respectful. Punctual arrival for class, especially when we visit other sites or have a guest lecturer, contributes to the smooth operation of the class and the quality of the learning experience. Late arrivals, early departures, and unavoidable breaks are disruptive and distracting. If you know you be late or have to leave early, please let the instructor know in advance. Please turn off or mute all cell phones and other communication devices during each class. You also should limit computer usage to course-related work (i.e. taking notes).
Academic Integrity: The University of Maryland, College Park has a nationally recognized Code of Academic Integrity, administered by the Student Honor Council. This Code sets standards for academic integrity at Maryland for all undergraduate and graduate students. As a student you are responsible for upholding these standards for this course. It is very important for you to be aware of the consequences of cheating, fabrication, facilitation, and plagiarism. For more information on the Code of Academic Integrity or the Student Honor Council, please visit
The Code of Academic Integrity strictly prohibits students from cheating on exams, plagiarizing, submitting the same paper for credit in two courses without authorization, buying papers, submitting fraudulent documents, and forging signatures. Plagiarism is of particular concern in the networked digital environment. Students must write their own essays and assignments in their own words. Whenever students take an idea or a passage of text from another author, they must acknowledge their debt both by using quotation marks where appropriate and by proper referencing using footnotes or in-text citations.
Instances of any suspected academic dishonesty will be reported and handled according to University policy and procedures. For a more detailed description of the University’s definition of academic dishonesty, visit
To further exhibit your commitment to academic integrity, remember to include and sign the Honor Pledge on all examinations and assignments: "I pledge on my honor that I have not given or received any unauthorized assistance on this examination (assignment).”
Website: shc.umd.edu
This course follows all University policies and procedures, including adherence to the Honor Code, accommodation for students with disabilities, and consideration for religious holidays.
CourseEvalUM Fall 2012
Your participation in the evaluation of courses through CourseEvalUM is a responsibility you hold as a student member of our academic community. Your feedback is confidential and important to the improvement of teaching and learning at the University as well as to the tenure and promotion process. CourseEvalUM will be open for you to complete your evaluations for fall semester courses late in the semester. You will receive an email notice. Please go directly to the website. By completing all of your evaluations each semester, you will have the privilege of accessing online, at Testudo, the evaluation reports for the thousands of courses for which 70% or more students submitted their evaluations. You also will help shape this course for future students.
LBSC 785 Fall 2012 Schedule
4 Sept / Introduction to Course/Introduction to Basic Appraisal Concepts11 Sept / Historical Development of Appraisal Theory
Vin Novara / Introduction to appraisal project.
18 Sept / Appraisal Methods and Practices I: Records Management/Functional Analysis
25 Sept / Appraisal Methods and Practices II: Collection Development and Collecting Policies
2 Oct / Appraisal Methods & Practices III: Documentation Strategies and other Cooperative Approaches / Research Paper Abstract due
9 Oct / Appraisal Methods & Practices IV: Sampling, “Black Box,” and Case Files / Appraisal project report due
16 Oct / Appraisal Contexts I: Records of Science and Technology
Host: Joe Anderson / Class at AIP
23 Oct / Appraisal Contexts II: College and University Archives
Guest: Anne Turkos
30 Oct / Appraisal Contexts III: Government Archives
Host: Karen Paul / Class at U.S. Senate Historical Office
6 Nov / Appraisal Contexts IV: Records of Business / Acquisition Policy Report due
13 Nov / Special Formats I: Non-print media
Guest: Chuck Howell
20 Nov / Special Formats II: Electronic Records
Guest: Mark Conrad
27 Nov / Special Formats III: Websites
4 Dec / Social Context, Activism, the Post-Custodial Era, and Postmodernism
11 Dec / Reappraisal, Deaccessioning, and Ethics / Research Paper due
Schedule of Classes, Readings and Topics
4 September
Unit 1: Introduction to Course/Introduction to Basic Appraisal Concepts
Readings:
Boles, Frank. Selecting and Appraising Archives and Manuscripts, Chicago: SAA, 2005, Chapters 1-3, pp. 1-73.
Cox, Richard J. No Innocent Deposits: Forming Archives by Rethinking Appraisal, Lanham, MD: Scarecrow Press, 2004, Chapters 1-2, pp.1-46.
11 September
Unit 2: Historical Development of Appraisal Theory
Introduction to appraisal project.– Vin Novara
Readings:
Schellenberg, T.R. “The Appraisal of Modern Public Records,” Available at:
or (Course Documents).
Jenkinson, Hilary. A Manual of Archival Administration, London: Percy Lund, Humphries & Co., 1966, pp. 1-16, 136-155. (e-reserve)
Duranti, Luciana. “The Concept of Appraisal and Archival Theory,” American Archivist 57(Spring 1994): 328-344. Available at:
Boles, Frank and Mark A. Greene.“Et TuSchellenberg? Thoughts on the Dagger of American Appraisal Theory,” American Archivist 59(Summer 1996): 298-310. Available at:
18 September
Unit 3: Appraisal Methods and Practices I: Records Management/Functional Analysis
Readings:
Cox, Richard J. No Innocent Deposits, Chapter 4, 6, pp. 87-113, 147-163.
Robinson, Catherine, “Records Control and Disposal Using Functional Analysis,” Archives and Manuscripts 25 (November 1997): 288-303.Available at:
Cook, Terry. “Macro-appraisal and Functional Analysis: Documenting Governance Rather than Government,” Journal of the Society of Archivists, 25(2004): 5-18. (e-reserve)
Roberts, John. “One Size Fits All? The Portability of Macro-Appraisal by a Comparative Analysis of Canada, South Africa, and New Zealand,” Archivaria52(Fall 2001): 47-68. Available at:
Marcus C. Robyns and Jason Woolman, “Institutional Functional Analysis at Northern Michigan University: A New Process of Appraisal and Arrangement of Archival Records,”American Archivist, 74:1 (Spring/Summer 2011) p. 241-256. (e-reserve)
Juan Ilerbaig, “Specimens as Records: Scientific Practice and Recordkeeping in Natural History Research,”American Archivist, 73:2 (Fall/Winter 2010) p. 463-482 (e-reserve).
25 September
Unit 4: Appraisal Methods and Practices II: Collection Development and Collecting Policies
Readings:
Endelman, Judith E. “Looking Backward to Plan for the Future: Collection Analysis for Manuscript Repositories,” American Archivist 50(Summer 1987): 340-355. Available at:
Ericson, Timothy L. “At the ‘Rim of Creative Dissatisfaction’: Archivists and Acquisition Development,” Archivaria33 (Winter 1991-1992): 66-77. Available at:
Max, D.T. “Final Destination,” The New Yorker, June 11 & 18, 2007, pp. 54-71, available at:
Boles, Frank. Selecting and Appraising Archives and Manuscripts, Chapter 5, pp. 97-120.
Cox, Richard J. No Innocent Deposits, Chapter 5, pp. 115-145.
Faundeen, John L., “Appraising U.S. Geological Survey Science Records,” Archival Issues, 32:1 (2010): 7-22, available at: (use research port) or Course Documents.
Sullivan, Tim. “An Artifact or a Payday?” New York Times, July 21, 2012. Available at:
2 October
Unit 5: Appraisal Methods & Practices III: Documentation Strategies and other Cooperative Approaches
[Paper topic abstract due by e-mail
Readings:
Hackman, Larry J. “The Documentation Strategy Process: A Model,” American Archivist 50(Winter 1987): 12-29. Available at:
Ericson, Timothy L. “’To Approximate June Pasture’: The Documentation Strategy in the Real World,” Archival Issues 22(1997): 5-20. (e-reserve)
Marshall, Jennifer A. “Documentation Strategies in the Twenty-First Century?: Rethinking Institutional Priorities and Professional Limitations,” Archival Issues 23(1998): 59-74. (e-reserve)
Johnson, Elizabeth S. “Our Archives, Our Selves: Documentation Strategy and the Re-Appraisal of Professional Identity,” American Archivist 71:1 (Spring/Summer 2008) 190-202. (Course Documents) Available at:
Malkmus, Doris J., “Documentation Strategy: Mastodon or Retro-Success?” American Archivist, 71:2 (Fall/Winter 2008): 384-409. (Course Documents) Available at:
Hackman, Larry. “The Origins of Documentation Strategies in Context: Recollections and Reflections,” American Archivist 72:2 (Fall/Winter 2009) 436-459. (e-reserve) Available for current SAA members at
9 October
Unit 6: Appraisal Methods & Practices IV: Sampling, “Black Box,”and Case Files
Readings:
Cook, Terry. “’Many are Called, but Few are Chosen’: Appraisal Guidelines for Sampling and Selecting Case Files,” Archivaria32(Summer 1991): 25-50. Available at:
Klaassen, David. “The Provenance of Social Work Case Records: Implications for Archival Appraisal and Access,” Provenance 1(Spring 1983): 5-30. (e-reserve)
Boles, Frank. Selecting and Appraising Archives and Manuscripts, Chapter 4 and Appendix 2, pp. 75-96 and 149-157.
James Gregory Bradsher and Bruce I. Ambacher, Archival Sampling: A Method of Appraisal, MARAC TechnicalLeaflet No. 8, 1992. (Course Documents)
16 October
Unit 7: Appraisal Contexts II: Records of Science and Technology
Visit to American Institute of Physics
Host: Joe Anderson
Readings:
R. Joseph Anderson and Orville R. Butler, M.Juris, Ph.D., History of Physicists in Industry Final Report, September 2008. (Course Documents)
Hotz, Robert Lee. “A Data Deluge Swamps Science Historians:As Paper Trails Fade, Digital Material Grows in Size and Complexity; How to Decipher Those 80-Column Punch Cards,” Wall Street Journal, August 28, 2009. (Course Documents)
23 October
Unit 8: Appraisal Contexts I: College and University Archives
Guest lecturer: Anne Turkos, University Archivist, University of Maryland
[Appraisal assignment due]
Readings:
Boles, Frank and Young, Julia Marks. “Exploring the Black Box: The Appraisal of University Administrative Records,” American Archivist 48 (Spring 1985): 121-140.Available at:
Sarah Buchanan, Sarah and Richardson, Katie. “Representation through Documentation: Acquiring Student and Campus Life Records through the Bruin Archives Project.”American Archivist, Vol. 75, 1 (Spring/Summer 2012): 205-224. (e-reserves) Available for SAA members at:
30 October
Unit 9: Appraisal Contexts III: Government Archives
Visit to U.S. Senate Historical Office
Site visit in Hart Senate Office Building
Host: Karen Paul, Senate Historical Office
Readings:
Vogt, Sheryl B.“Richard B. Russell Library for Political Research and Studies: An Evolutionary Mode;. In Karen DawleyPaul , Glenn R Gray , and L. Rebecca Johnson Melvin (ed.) , An American Political Archives Reader, Scarecrow Press, 2009. (e-reserves) or Course Documents.
.
Butler , Elizabeth and Karen Paul, “Electronic Record Systems on Capitol Hill: Finding and Obtaining What You Want to Collect.” In Karen DawleyPaul , Glenn R Gray , and L. Rebecca Johnson Melvin (ed.) , An American Political Archives Reader, Scarecrow Press, 2009. (e-reserves) or Course Documents.
Aronsson, Patricia. “Appraisal of Twentieth-Century Congressional Collections,” in Archival Choices: Managing the Historical Record in an Age of Abundance, Nancy E. Peace, ed., HeathCo., 1984, Chapter 4, pp. 81-104. (e-reserve)
Brown, Lauren R. “Present at the Tenth Hour: Appraising and Accessioning the Papers of Congresswoman Marjorie S. Holt,” Rare Books and Manuscripts Librarianship (1987): 95-102. (e-reserve)
6November
Unit 10: Appraisal Contexts IV: Records of Business
Readings:
2012: [Institutional report due]
Lutzker, Michael A. “Max Weber and the Analysis of Modern Bureaucratic Organization: Notes Toward a Theory of Appraisal,” American Archivist 45(Spring 1982): 119-130. Available at:
Yates, JoAnne. “Internal Communication Systems in American Business Structures: A Framework to Aid Appraisal,” American Archivist 48(Spring 1985): 141-158. Available at:
Bruemmer, Bruce. “Avoiding Accidents of Evidence: Functional Analysis in the Appraisal of Business Records,” in The Records of American Business, James O’Toole, ed., Chicago: SAA, 1997, Chapter 6, pp. 137-160. (e-reserve)
Greene, Mark A. and Daniels-Howell, Todd J. “Documentation with an Attitude: A Pragmatist’s Guide to the Selection and Acquisition of Modern Business Records,” in The Records of American Business, Chapter 7, pp. 161-229. (e-reserve)
13November
Unit 11: Special Formats I: Non-print media
Guest lecturer: Chuck Howell, National Public Broadcasting Archives
Readings:
Connors, Thomas. “Appraising Public Television Programs: Toward an Interpretive and Comparative Evaluation Model,” American Archivist 63(Spring/Summer 2000): 152-174. Available at:
Ide, Mary and Weisse, Leah. “Developing Appraisal Criteria for a Public Broadcasting Station,” Moving Image 3(Spring 2003): 146-157. (e-reserve)
Ritzenthaler, Mary Lynn and Diane Vogt-O’Connor.Photographs: Archival Care and Management, (Chicago:SAA, 2006), Chapter 4, pp. 78-133. (e-reserve)
Boles, Frank. Selecting and Appraising Archives and Manuscripts, Chapter 6, pp. 121-135.
20November
Unit 12: Special Formats II: Electronic Records
Guest lecturer: Mark Conrad, Center for Advanced Systems and Technologies, NARA
Readings:
Cook, Terry. “Electronic Records, Paper Minds: The Revolution in Information Management and Archives in the Post-Custodial and Post-Modernist Era,” Archives and Manuscripts 22(November 1994): 300-329. (e-reserve)
Davis, Lidija “Who will Preserve Your Digital Data?” December 13, 2008 (Course Documents).
Fowler, Geoffrey A. “Buyer's E-Morse: 'Owning' Digital Books Purchasing Electronic Tomes Online Gives Readers Fewer Legal Rights to Share and Resell Than Hard-Copy Customers Enjoy.” Wall Street Journal, July 23, 2009. (Course Documents)
Paquet, Lucie. “Appraisal, Acquisition and Control of Personal Electronic Records: From Myth to Reality,” Archives and Manuscripts 28(November 2000): 71-91. (e-reserve)
The National Archives (UK), Appraisal Policy, Version 1, August 2004. Available at:
27 November
Unit 13: Special Formats II: Electronic Records Websites