Category: Archival Management

Archival Appraisal

Also known as: Appraisal, Appraisal and Selection

Simply put

Archival appraisal is the process of deciding which records have lasting value and should be kept over the long term, and which do not. It focuses on the ongoing significance of records as evidence and information, not on their monetary or financial worth. This assessment helps organizations and archives determine what should be retained permanently and what can be dealt with by other means.

Formal definition

Archival appraisal is the process of evaluating records to determine whether they possess continuing or permanent (archival) value and should therefore be retained, typically as a precursor to selection and disposition decisions. It involves distinguishing records of continuing value from those of no continuing value, based on their significance as evidence and information rather than on monetary value. Appraisal should be distinguished from the subsequent step of selection, which identifies the specific records to be preserved, and it informs but is not synonymous with disposition, since disposition outcomes may include permanent preservation, transfer, or destruction depending on the assessed value. Criteria, guidelines, and authority for appraisal vary by jurisdiction and institution.

Why it matters

Archival appraisal determines which records survive as long-term evidence of an organization's activities and which are dealt with by other means. Because the outcomes of appraisal shape what is preserved permanently, the decisions made at this stage have consequences that extend well beyond the immediate operational life of the records. Poor or inconsistent appraisal can result in the loss of records that later prove significant, or conversely in the retention of large volumes of material of no continuing value, with attendant storage and management costs.

Appraisal focuses on the ongoing significance of records as evidence and information rather than on their monetary or financial worth, which distinguishes it from valuation exercises that professionals in adjacent fields might expect. This evidential focus matters because records identified as having continuing value may support accountability, organizational memory, and, as some archival guidance notes, the preservation of cultural heritage for future generations and the provision of a legal record for those whose rights or interests may later depend on it. The criteria and authority governing these judgments vary by jurisdiction and institution, so what qualifies as archival value is not uniform across settings.

Because appraisal informs but is not the same as disposition, its rigor also affects downstream decisions. Disposition outcomes may include permanent preservation, transfer, or destruction depending on the value assessed, and destruction in particular is generally irreversible. Sound appraisal practice therefore provides a defensible basis for these decisions and helps ensure that records are neither destroyed prematurely nor retained without justification.

Who it's relevant to

Archivists and Appraisal Practitioners

Archivists and those responsible for appraisal apply institutional criteria to determine whether records have continuing or permanent value. They carry out the core evaluative judgment that separates records of continuing value from those of no continuing value, and they distinguish appraisal from the subsequent selection of specific records for preservation.

Records Managers

Records managers rely on appraisal outcomes to inform disposition decisions across the records lifecycle. Because appraisal informs but is not synonymous with disposition, records managers must translate appraisal judgments into defensible actions that may include permanent preservation, transfer, or destruction, in line with institutional policy and applicable jurisdictional requirements.

Information Governance and Compliance Leads

Those responsible for governance and compliance have an interest in ensuring that appraisal is conducted consistently and under appropriate authority, since its results affect what evidence an organization retains. The applicable criteria and authority vary by jurisdiction and institution, so governance leads should ensure appraisal practice aligns with the organization's own rules and any relevant legal or regulatory obligations.

National Archives and Oversight Bodies

National archives and comparable oversight bodies may publish guidelines used to decide whether records have archival value and should be retained permanently. They set or influence the criteria and authority under which appraisal is conducted within their jurisdictions, though specific frameworks differ from one regime to another.

Inside Archival Appraisal

Value assessment

The core activity of evaluating records to determine their continuing value beyond their immediate operational use, which typically informs decisions about permanent preservation, transfer, or eventual destruction. This assessment often weighs evidential and informational value, though the specific criteria depend on organizational policy and jurisdictional archival frameworks.

Appraisal criteria

The documented factors used to reach appraisal decisions, which commonly include administrative, legal, fiscal, and historical or research value. The relative weighting of these criteria varies by sector, jurisdiction, and the mandate of the archival institution.

Disposition determination

The outcome of appraisal that links to the broader disposition process. It is important to note that appraisal informs disposition, which may result in transfer to an archive, permanent preservation, or authorized destruction; appraisal is not synonymous with destruction and should not be conflated with it.

Macro and micro approaches

Appraisal may be conducted at different levels, from assessing broad functions and record-creating activities (often termed macro-appraisal) to examining individual records or series. The approach chosen typically depends on organizational context and archival methodology.

Documentation of decisions

The recording of appraisal rationale and outcomes so that decisions are transparent, defensible, and repeatable. This supports accountability and helps preserve the authenticity and reliability of the records selected for retention.

Common questions

Answers to the questions practitioners most commonly ask about Archival Appraisal.

Is archival appraisal the same as deciding what to destroy?

No. Archival appraisal is the process of evaluating records to determine their value and, on that basis, their appropriate disposition. Disposition is a broader concept that may include transfer to archival custody or permanent preservation, not only destruction. Appraisal often identifies records worth retaining permanently as much as it identifies records eligible for destruction, so equating appraisal solely with a decision to destroy misrepresents its purpose.

Does archival appraisal only concern a record's usefulness to the organization that created it?

Not exclusively. While appraisal frequently considers ongoing administrative, legal, and operational value to the originating body, it also typically weighs broader and enduring values, which may include evidential and informational value beyond the immediate needs of the creator. The relative weight given to these considerations depends on organizational policy, mandate, and the applicable archival or recordkeeping framework, so treating appraisal as a narrowly internal exercise understates its scope.

When in the records lifecycle should appraisal typically be conducted?

Appraisal can be applied at different points depending on organizational policy and the approach adopted. It is often built into retention scheduling so that value and disposition are considered at or near the point of classification, rather than left entirely until records become inactive. Conducting appraisal earlier can support more consistent and defensible outcomes, though some appraisal decisions are necessarily made later when the significance of records is clearer. The chosen timing should be documented as part of the recordkeeping framework.

How is an appraisal decision typically documented so it is defensible?

Appraisal decisions are commonly recorded in a way that captures the rationale, the criteria applied, the scope of records affected, and the resulting disposition. This documentation, often held alongside retention schedules or disposition authorities, supports accountability and can help demonstrate that decisions were made systematically rather than arbitrarily. The specific form and level of detail depend on organizational policy and any applicable oversight requirements.

Who is generally involved in making appraisal decisions?

Appraisal typically draws on more than one perspective. Records and archives professionals often lead the process, but input from those with knowledge of the records' business context, legal and regulatory obligations, and, where relevant, privacy or risk considerations is commonly sought. In some settings an archival authority or governing body may also have a role in approving certain decisions. The precise allocation of responsibility varies by jurisdiction, sector, and organizational structure.

How does appraisal relate to retention schedules in practice?

Retention schedules are often the practical instrument through which appraisal outcomes are applied at scale. Appraisal informs the values and disposition actions expressed in a schedule, allowing consistent treatment of records that share characteristics rather than requiring individual assessment of every record. Schedules are typically reviewed periodically, since the values assigned during appraisal, and the legal or operational context, may change over time depending on organizational policy and applicable requirements.

Common misconceptions

Archival appraisal is simply the process of deciding what to destroy.

Appraisal is fundamentally about identifying continuing value and determining appropriate disposition, which may include permanent preservation or transfer rather than destruction. Destruction is only one possible outcome of the disposition process that appraisal informs.

Appraisal and retention scheduling are the same activity.

While related, appraisal is the evaluative judgment of value, whereas retention typically refers to keeping records for defined periods, often driven by statutory or operational requirements. Retention is also distinct from archiving, and the two should not be treated as identical.

Any information an organization holds is subject to archival appraisal as a record.

Appraisal generally concerns records, content that serves as evidence of activity and carries properties such as authenticity, reliability, integrity, and usability. Transitory information, drafts, and non-record copies fall largely outside the scope of formal archival appraisal, depending on organizational policy.

Best practices

Establish and document clear appraisal criteria before assessing records, so decisions are consistent, transparent, and defensible.

Record the rationale behind each appraisal decision to support accountability and to allow decisions to be reviewed or repeated over time.

Distinguish appraisal outcomes carefully, recognizing that disposition may lead to transfer or permanent preservation, not only destruction.

Consider both macro-level assessment of functions and activities and micro-level review of specific records or series, selecting the approach that suits the organizational context.

Account for jurisdictional and sector-specific requirements, as legal, fiscal, and regulatory obligations affecting value and retention vary and should shape appraisal judgments.

Ensure that records selected for retention preserve their authenticity, reliability, integrity, and usability, and confirm that non-record and transitory material is handled separately.